Page Range | 48423-48682 | |
FR Document |
Page and Subject | |
---|---|
80 FR 48423 - National Health Center Week, 2015 | |
80 FR 48622 - Enhanced-Use Lease of Department of Veterans Affairs (VA) Real Property for the Development of a Housing Facility on Approximately 3 Acres of Land in St. Cloud, Minnesota. | |
80 FR 48529 - Proposed Agency Information Collection Request: Comment Request; Servicing of Motor Vehicle Air Conditioners, EPA ICR Number 1617.08, OMB Control Number 2060-0247 | |
80 FR 48522 - Waste Management System; Testing and Monitoring Activities; Notice of Availability of Final Update V of SW-846 | |
80 FR 48443 - Final Priority. Rehabilitation Training: Vocational Rehabilitation Workforce Innovation Technical Assistance Center | |
80 FR 48550 - Information Collection Request to Office of Management and Budget | |
80 FR 48511 - Applications for New Awards; Rehabilitation Training: Vocational Rehabilitation Workforce Innovation Technical Assistance Center | |
80 FR 48555 - Information Collection Request to Office of Management and Budget | |
80 FR 48552 - Information Collection Request to Office of Management and Budget | |
80 FR 48553 - Information Collection Request to Office of Management and Budget | |
80 FR 48554 - Information Collection Request to Office of Management and Budget | |
80 FR 48440 - Drawbridge Operation Regulation; Mokelumne River, East Isleton, CA | |
80 FR 48440 - Drawbridge Operation Regulation; Sacramento River, Sacramento, CA | |
80 FR 48499 - Countervailing Duty Investigations of Certain Corrosion-Resistant Steel Products From India, Italy, the People's Republic of China, the Republic of Korea, and Taiwan: Postponement of Preliminary Determinations | |
80 FR 48441 - Drawbridge Operation Regulation; China Basin, San Francisco, CA | |
80 FR 48441 - Safety Zone; Carly's Crossing; Outer Harbor, Gallagher Beach, Buffalo, NY | |
80 FR 48436 - Special Local Regulations; Marine Events Held in the Sector Long Island Sound Captain of the Port Zone | |
80 FR 48493 - Tapered Roller Bearings and Parts Thereof, Finished and Unfinished, From the People's Republic of China: Initiation of Antidumping Duty Changed Circumstances Review | |
80 FR 48559 - Notice of Intent To Prepare an Environmental Impact Statement for the Tejon Indian Tribe's Proposed Trust Acquisition and Casino Project, Kern County, California | |
80 FR 48559 - Indian Gaming | |
80 FR 48621 - Regional Rail Holdings, LLC-Acquisition of Control Exemption-Regional Rail, LLC | |
80 FR 48558 - Indian Gaming | |
80 FR 48618 - Texas Disaster Number TX-00448 | |
80 FR 48617 - Northern Mariana Islands Disaster #MP-00005 | |
80 FR 48617 - Northern Mariana Islands Disaster #MP-00006 | |
80 FR 48500 - Taking of Marine Mammals Incidental to Specified Activities; Front Street Transload Facility Construction | |
80 FR 48618 - Interagency Task Force on Veterans Small Business Development | |
80 FR 48617 - Advisory Committee on Veterans Business Affairs Meeting | |
80 FR 48619 - Notice of Intent To Release Certain Properties From All Terms, Conditions, Reservations and Restrictions of a Quitclaim Deed Agreement Between the City of Orlando and the Federal Aviation Administration for the Orlando International Airport, Orlando, FL | |
80 FR 48619 - Noise Exposure Map Notice, Fort Lauderdale Executive Airport, Fort Lauderdale, FL | |
80 FR 48450 - Additional Compensation on Account of Children Adopted Out of Veteran's Family | |
80 FR 48548 - National Institute of Allergy and Infectious Diseases; Notice of Closed Meeting | |
80 FR 48544 - National Institute on Aging; Notice of Closed Meeting | |
80 FR 48548 - National Institute on Aging; Notice of Closed Meeting | |
80 FR 48547 - National Institute on Aging; Notice of Meeting | |
80 FR 48547 - National Cancer Institute; Amended Notice of Meeting | |
80 FR 48547 - National Cancer Institute; Notice of Closed Meetings | |
80 FR 48548 - Center for Scientific Review; Notice of Closed Meetings | |
80 FR 48546 - National Institute of Diabetes and Digestive and Kidney Diseases; Notice of Meeting | |
80 FR 48567 - Agency Information Collection Activities: Proposed Collection, Comments Requested; Revision of a Currently Approved Collection; National Incident-Based Reporting System (NIBRS) | |
80 FR 48564 - Agency Information Collection Activities: Proposed eCollection, eComments Requested; Extension of a Currently Approved Collection Cargo Theft Incident Report | |
80 FR 48550 - Center for Substance Abuse Treatment: Notice of Meeting | |
80 FR 48532 - Information Collection Request Submitted to OMB for Review and Approval; Comment Request; NSPS for Nitric Acid Plants for Which Construction, Reconstruction or Modification Commenced After October 14, 2011 (Renewal) | |
80 FR 48529 - Information Collection Request Submitted to OMB for Review and Approval; Comment Request; EPA's Natural Gas STAR Program (Renewal) | |
80 FR 48533 - Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Holding Company | |
80 FR 48472 - Extension of Time to File Certain Information Returns | |
80 FR 48433 - Extension of Time To File Certain Information Returns | |
80 FR 48570 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Notification of Methane Detected in Underground Metal and Nonmetal Mine Atmospheres | |
80 FR 48571 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Reports of Injuries to Employees Operating Mechanical Power Presses | |
80 FR 48620 - Pipeline Safety: PHMSA Pipeline Risk Modeling Methodologies Public Workshop | |
80 FR 48476 - Fruit and Vegetable Industry Advisory Committee | |
80 FR 48467 - Fisheries of the Economic Exclusive Zone Off Alaska; Groundfish Fishery by Non-Rockfish Program Catcher Vessels Using Trawl Gear in the Western and Central Regulatory Area of the Gulf of Alaska | |
80 FR 48489 - Monsanto Company; Availability of Petition for Determination of Nonregulated Status for Maize Genetically Engineered for Resistance to Dicamba and Glufosinate | |
80 FR 48562 - Agency Information Collection Activities Under OMB Review; Renewal of a Currently Approved Information Collection | |
80 FR 48537 - Submission for OMB Review; Comment Request | |
80 FR 48536 - Submission for OMB Review; Comment Request | |
80 FR 48563 - Agency Information Collection Activities Under OMB Review; Renewal of a Currently Approved Information Collection | |
80 FR 48530 - Agency Information Collection Activities; PCBs, Consolidated Reporting and Record Keeping Requirements; Submitted to OMB for Review and Approval; Comment Request | |
80 FR 48528 - Cross-Media Electronic Reporting: Authorized Program Revision Approval, State of Washington | |
80 FR 48531 - Cross-Media Electronic Reporting: Authorized Program Revision Approval, State of Alaska | |
80 FR 48560 - Agency Information Collection Activities Under OMB Review; Renewal of a Currently Approved Information Collection (OMB Control Number 1006-0005) | |
80 FR 48544 - Government-Owned Inventions; Availability for Licensing | |
80 FR 48491 - Submission for OMB Review; Comment Request | |
80 FR 48622 - Application of Harris Aircraft Services, Inc. for Certificate Authority | |
80 FR 48565 - Agency Information Collection Activities; Proposed eCollection eComments Requested; Proposed Collection: Extension of Currently Approved Collection; Survey: National Corrections Reporting Program | |
80 FR 48568 - Agency Information Collection Activities; Proposed eCollection eComments Requested; 2016/2018 Identity Theft Supplement (ITS) | |
80 FR 48567 - Agency Information Collection Activities; Proposed eCollection eComments Requested; Extension of a Currently Approved Collection; Comments Requested Research To Support the National Crime Victimization Survey (NCVS) | |
80 FR 48565 - Agency Information Collection Activities: Proposed eCollection eComments Requested; Environmental Information | |
80 FR 48560 - Information Collection Request Sent to the Office of Management and Budget (OMB) for Approval; A Survey of National Parks and Federal Recreational Lands Pass Holders | |
80 FR 48490 - Submission for OMB Review; Comment Request | |
80 FR 48509 - Reserve Forces Policy Board (RFPB); Notice of Federal Advisory Committee Meeting | |
80 FR 48492 - Submission for OMB Review; Comment Request | |
80 FR 48515 - Agency Information Collection Activities; Submission to the Office of Management and Budget for Review and Approval; Comment Request; Assessing the Role of Noncognitive and School Environmental Factors in Students' Transitions to High School in New Mexico; Docket ID Number; Correction | |
80 FR 48510 - Agency Information Collection Activities; Comment Request; Gap Analysis Tool Implementation and Outcomes Evaluation (Future Ready Leaders Study) | |
80 FR 48515 - Boston Energy Trading and Marketing LLC v. Midcontinent Independent System Operator, Inc.; Notice of Complaint | |
80 FR 48517 - Indicated Market Participants v. PJM Interconnection, L.L.C.; Notice of Complaint | |
80 FR 48519 - Notice of Effectiveness of Exempt Wholesale Generator Status | |
80 FR 48517 - Columbia Gas Transmission, LLC; Notice of Request Under Blanket Authorization | |
80 FR 48519 - Transcontinental Gas Pipe Line Company, LLC; Notice of Application | |
80 FR 48516 - Combined Notice of Filings #2 | |
80 FR 48521 - Combined Notice of Filings #1 | |
80 FR 48518 - Aquenergy Systems, LLC; Notice of Intent To File License Application, Filing of Pre-Application Document, and Approving Use of the Traditional Licensing Process | |
80 FR 48520 - Willey Battery Utility, LLC; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization | |
80 FR 48521 - Energy.Me Midwest LLC; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization | |
80 FR 48520 - DBM Pipeline, LLC; Notice of Request Under Blanket Authorization | |
80 FR 48516 - Combined Notice of Filings #1 | |
80 FR 48471 - Adisseo France S.A.S.; Filing of Food Additive Petition (Animal Use) | |
80 FR 48558 - Renewal of Agency Information Collection for Data Elements for Student Enrollment in Bureau-Funded Schools | |
80 FR 48533 - Draft Funded Priorities List | |
80 FR 48492 - Proposed Information Collection; Comment Request; Services Surveys: BE-185, Quarterly Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons | |
80 FR 48611 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal to Update the Public Disclosure of Sources of Data BX Utilizes | |
80 FR 48600 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To Establish Rules Governing the Trading of Options on the EDGX Options Market | |
80 FR 48588 - Self-Regulatory Organizations; NYSE MKT, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which It Calculates Certain Volume and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Suspension of Trading on the Exchange on July 8, 2015 | |
80 FR 48583 - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which It Calculates Certain Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Suspension of Trading on the Exchange on July 8, 2015 | |
80 FR 48612 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates” | |
80 FR 48572 - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Revisions to the Content Outlines for the Municipal Fund Securities Limited Principal Qualification Examination, Municipal Securities Representative Qualification Examination and Municipal Securities Principal Qualification Examination and Revisions to the Selection Specifications for the Municipal Securities Principal Qualification Examination | |
80 FR 48590 - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Delay of Implementation Relate to the Volume-Based and Multi-Trigger Threshold | |
80 FR 48594 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 961 To Establish Exchange Rules Governing the Give Up of a Clearing Member by ATP Holders and Conforming Changes to Rules 960 and 954NY | |
80 FR 48577 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.15 To Establish Exchange Rules Governing the Give Up of a Clearing Member by Options Trading Permit Holders and OTP Firms and Conforming Changes to Rules 6.66 and 6.79 | |
80 FR 48592 - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Public Disclosure of Sources of Data Utilized by PSX | |
80 FR 48615 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) | |
80 FR 48586 - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data | |
80 FR 48569 - Webinar Meeting of the Federal Advisory Committee on Juvenile Justice | |
80 FR 48497 - Renewable Energy and Energy Efficiency Advisory Committee | |
80 FR 48572 - Product Change-Priority Mail Express and Priority Mail Negotiated Service Agreement | |
80 FR 48533 - Notice to All Interested Parties of the Termination of the Receivership of 10040, Pinnacle Bank Beaverton, OR | |
80 FR 48533 - Notice of Termination; 10014, Ameribank, Inc., Northfork, West Virginia | |
80 FR 48534 - Proposed Data Collection Submitted for Public Comment and Recommendations | |
80 FR 48498 - Cyber Security Business Development Mission to Japan, South Korea, and Taiwan; May 16-24, 2016 | |
80 FR 48557 - Notice of Second Extension of Time for Completion of Manufacturer Notification and Correction Plan | |
80 FR 48473 - Occupational Safety and Health Research and Related Activities; Administrative Functions, Practices, and Procedures | |
80 FR 48538 - Privacy Act of 1974; System of Records Notice | |
80 FR 48476 - Privacy Act of 1974; Systems of Records USDA/OIG-1 through USDA/OIG-9 | |
80 FR 48549 - Proposed Collection; 60-Day Comment Request: Scientific Information Reporting System (SIRS) NIGMS | |
80 FR 48620 - Agency Information Collection Activities: Requests for Comments; Clearance of Renewed Approval of Information Collection: Commercial Air Tour Operator Reports | |
80 FR 48490 - Siuslaw Resource Advisory Committee Meeting | |
80 FR 48624 - Energy Conservation Program: Energy Conservation Standards for Ceiling Fan Light Kits | |
80 FR 48451 - Hearing Process Concerning Acknowledgment of American Indian Tribes | |
80 FR 48425 - Amendment of Class E Airspace; Toledo, WA | |
80 FR 48430 - Amendment of Class E Airspace; Kelso, WA | |
80 FR 48429 - Amendment of Class E Airspace; Chehalis, WA | |
80 FR 48426 - Amendment of Class E Airspace; Santa Rosa, CA | |
80 FR 48427 - Amendment of VOR Federal Airways; Northeastern United States | |
80 FR 48470 - Proposed Establishment of Class E Airspace; Marshall, AR | |
80 FR 48469 - Proposed Establishment of Class E Airspace; Vidalia, LA | |
80 FR 48428 - Establishment of Class E Airspace, and Amendment of Class D Airspace; Ogden, Hill AFB, UT | |
80 FR 48431 - Establishment of Class E Airspace, and Amendment of Class D and E Airspace; Ogden-Hinckley Airport, UT |
Agricultural Marketing Service
Animal and Plant Health Inspection Service
Forest Service
Economic Analysis Bureau
International Trade Administration
National Oceanic and Atmospheric Administration
Federal Energy Regulatory Commission
Centers for Disease Control and Prevention
Children and Families Administration
Food and Drug Administration
National Institutes of Health
Substance Abuse and Mental Health Services Administration
Coast Guard
Indian Affairs Bureau
National Park Service
Reclamation Bureau
Justice Programs Office
Federal Aviation Administration
Pipeline and Hazardous Materials Safety Administration
Surface Transportation Board
Internal Revenue Service
Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice of recently enacted public laws.
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Federal Aviation Administration (FAA), DOT.
Final rule.
This action modifies Class E airspace extending upward from 700 feet above the surface at Ed Carlson Memorial Field-South Lewis County Airport, Toledo, WA, to accommodate new Standard Instrument Approach Procedures (SIAPs) at the airport due to a decrease in the radius of controlled airspace. The FAA is taking this action to enhance the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and ATC Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 29591; telephone: 202-267-8783.
Steve Haga, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue SW., Renton, WA 98057; telephone (425) 203-4563.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it amends controlled airspace at Ed Carlson Memorial Field-South Lewis County Airport, Toledo, WA.
On May 27, 2015, the FAA published in the
Class E airspace designations are published in paragraph 6005, of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Y, airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 modifies Class E airspace extending upward from 700 feet above the surface at Ed Carlson Memorial Field-South Lewis County Airport, Toledo, WA. A review of the airspace revealed new Standard Instrument Approach Procedures necessary for the safety and management of IFR operations at the airport. Class E airspace extending upward from 700 feet above the surface is decreased from the 6.0-mile radius to within a 4-mile radius of Ed Carlson Memorial-South Lewis County Airport, with segments extending from the 4-mile radius to 8 miles northeast of the airport, and 7 miles southwest of the airport. This action enhances the safety and management of controlled airspace within the NAS.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 311a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 4-mile radius of the Ed Carlson Memorial Field-South Lewis County Airport, and within 1.2 miles each side of the 073° bearing from the airport extending from the 4-mile radius to 8 miles northeast of the airport, and within 1.8 miles each side of the 256° bearing from the airport extending from the 4-mile radius to 7 miles southwest of the airport.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action modifies Class E airspace extending upward from 700 feet above the surface at Charles M. Schulz-Sonoma County Airport, Santa Rosa, CA. The FAA found modification of the airspace area above 1,200 feet is no longer needed for standard instrument approach procedures at the airport. This action is necessary for the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and ATC Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 29591; Telephone: (202) 267-8783.
Rob Riedl, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue SW., Renton, WA 98057; Telephone: (425) 203-4534.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106, describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it modifies controlled airspace at Santa Rosa, CA.
On May 27, 2015, the FAA published in the
Class E airspace designations are published in paragraph 6005, of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR part 71.1. The Class E airspace designation listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Y, Airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 modifies Class E airspace extending upward from 700 feet above the surface at Charles M. Schulz-Sonoma County Airport, Santa Rosa, CA. After a review of the airspace, the FAA found removal of the Class E airspace area above 1,200 feet necessary as this airspace is no longer required for standard instrument approach procedures at the airport. This action enhances the safety and
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial, and unlikely to result in adverse or negative comments. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 311a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation.
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g): 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface bounded by a line beginning at lat. 38°53′25″ N., long. 122°52′34″ W.; to lat. 38°37′07″ N., long. 122° 46′02″ W.; to lat. 38°22′08″ N., long. 122°38′28″ W.; to lat. 38°06′41″ N., long. 122°29′59″ W.; to lat. 38°02′10″ N., long. 122°44′09″ W.; to lat. 38°17′57″ N., long. 122°54′37″ W.; to lat. 38°22′58″ N., long. 123°02′34″ W.; lat. 38°29′12″ N., long. 122°56′32″ W.; lat. 38°33′48″ N., long. 123°00′47″ W.; lat. 38°50′14″ N., long. 123°07′20″ W.; thence to the point of origin.
Federal Aviation Administration (FAA), DOT.
Final rule; delay of effective date, and correction.
This action changes the effective date of a final rule published in the
The effective date of the final rule published on June 9, 2015, is delayed from August 20, 2015, to October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under 1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed online at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591; telephone: (202) 267-8783.
Paul Gallant, Airspace Policy and Regulations Group, Office of Airspace Services, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591; telephone: (202) 267-8783.
Docket No. FAA-2015-1650, Airspace Docket No. 14-AEA-8, published in the
Additionally, subsequent to publication of the final rule, it was determined that an error was made in the description of Federal airway V-36, whereby the airway segments between Thunder Bay, Ontario, Canada, and the intersection of radials from the Wiarton, Ontario, Canada, and the Toronto, Ontario, Canada, navigation aids were inadvertently removed. This action corrects the description of V-36 by reinserting the missing airway segments.
Domestic VOR Federal Airways are published in paragraph 6010(a) of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The VOR Federal Airway listed in this document will be published subsequently in the Order.
Accordingly, pursuant to the authority delegated to me, the effective
Accordingly, pursuant to the authority delegated to me, the description of VOR Federal airway V-36 as published in the
On page 32465, column 2, remove lines 39-42 and add in its place:
From Thunder Bay, ON, Canada; Wawa, ON, Canada; Sault Ste Marie, MI; Elliot Lake, ON, Canada; Wiarton, ON, Canada to INT Wiarton 150° and Toronto, ON, Canada, 304° radials.
From Buffalo; Elmira, NY; INT Elmira 110° and LaGuardia, NY, 310° radials; to INT LaGuardia 310° and Stillwater, NJ, 043° radials. The airspace in Canada is excluded.
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action establishes Class E airspace and modifies Class D airspace at Hill Air Force Base (AFB), Ogden, UT. The FAA's review of the airspace area revealed that modification of controlled airspace enhances the safety and management of Standard Instrument Approach Procedures for Instrument Flight Rules (IFR) operations at the airport. This action updates the geographic coordinates for Hill AFB, and Ogden-Hinckley Airport.
Effective 0901 UTC, October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and ATC Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 29591; telephone: 202-267-8783.
Steve Haga, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue SW., Renton, WA 98057; telephone (425) 203-4563.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it establishes controlled airspace at Hill AFB, Ogden, UT.
On May 1, 2015, the FAA published in the
Class D and Class E airspace designations are published in paragraph 5000 and 6004, respectively, of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class D and Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Y, airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 establishes Class E airspace as an extension to the Class D surface area and modifies Class D airspace Hill AFB, Ogden, UT. Class E airspace as an extension to the Class D surface area is established within a 4.5-mile radius of point in space coordinates, with a segment extending 1 mile southeast. Class D airspace is amended to within a 4.6-mile radius of Hill AFB, and the boundary between Hill AFB and Ogden-Hinckley Airport is moved 1 mile northwest. This action also updates the geographic coordinates for Hill AFB and Ogden-Hinckley Airport. This action enhances the safety and management of controlled airspace within the National Airspace System.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 311a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant preparation of an environmental assessment
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from the surface up to, but not including, 7,800 feet within a 4.6-mile radius of Hill AFB, excluding that airspace north of a line beginning at a point where the Ogden-Hinckley Airport 216° radial intersects the Hill AFB 4.6-mile radius; thence counter clockwise along the 4.6- mile radius to the point where the Ogden-Hinckley Airport 99° radial intersects the Hill AFB 4.6-mile radius, thence northwest to lat. 41°10′56″ N., long. 111°59′19″ W.; to lat. 41°10′21″ N., long. 112°00′55 W., to the point of beginning. This airspace is effective during the specific dates and times established in advance by a Notice to Airmen. The effective date and time will thereafter be published in the Airport/Facility Directory.
That airspace extending upward from the surface within a 4.5-mile radius of point in space coordinates at lat. 41°06′27″ N., long.111°57′43″ W., from the 077° bearing from the Hill AFB airport clockwise to the 230° bearing.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action modifies Class E airspace extending upward from 700 feet above the surface at Chehalis-Centralia Airport, Chehalis, WA, to accommodate new Standard Instrument Approach Procedures (SIAPs) at Chehalis-Centralia Airport. The FAA is taking this action to enhance the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and ATC Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 29591; telephone: 202-267-8783.
Steve Haga, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue SW., Renton, WA 98057; telephone (425) 203-4563.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it amends controlled airspace at Chehalis-Centralia Airport, Chehalis, WA.
On May 27, 2015, the FAA published in the
Class E airspace designations are published in paragraph 6005, of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Y, airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 modifies Class E airspace extending upward from 700 feet above the surface at Chehalis-Centralia Airport, Chehalis, WA. A review of the airspace revealed that new Standard Instrument Approach Procedures are necessary for the safety and management of IFR operations at the airport. Class E airspace extending upward from 700 feet above the surface is modified to within a 4-mile radius of Chehalis-Centralia Airport, with a segment extending from the 4-mile radius to 8.1 miles north of the airport. This action enhances the safety and management of controlled airspace within the NAS.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 311a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 4-mile radius of Chehalis-Centralia Airport, and within 1 mile each side of the 358° bearing of the airport extending from the 4-mile radius to 8.1 miles north of the airport.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action modifies Class E airspace extending upward from 700 feet above the surface at Southwest Washington Regional Airport, Kelso, WA, to accommodate new Standard Instrument Approach Procedures (SIAPs) developed at Southwest Washington Regional Airport, Kelso, WA, due to a decrease of controlled airspace. This action enhances the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and ATC Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 29591; telephone: 202-267-8783.
Steve Haga, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue SW., Renton, WA 98057; telephone (425) 203-4563.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of
On May 27, 2015, the FAA published in the
Class E airspace designations are published in paragraph 6005, of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Y, airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 modifies Class E airspace extending upward from 700 feet above the surface at Southwest Washington Regional Airport, Kelso, WA. A review of the airspace revealed modification necessary for new Standard Instrument Approach Procedures developed at the airport, the safety and management of IFR operations at the airport. Class E airspace extending upward from 700 feet above the surface is modified to within a 4-mile radius of the Southwest Washington Regional Airport, with segments extending from the 4-mile radius to 14.8 miles northwest of the airport, 20.7 miles north of the airport, and 13.2 miles northeast of the airport. This action enhances the safety and management of controlled airspace within the NAS.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 311a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 4-mile radius of Southwest Washington Regional Airport beginning at lat. 46°07′51″ N., long. 122°48′16″ W., clockwise along the 4-mile radius of the airport to lat. 46°04′25″ N., long. 122°58′10″ W.; to lat. 46°14′02″ N., long. 123°12′43″ W.; to lat. 46°24′21″ N., long. 123°10′19″ W.; to lat. 46°20′04″ N., long. 122°50′07″ W.; thence to the point of beginning.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action establishes Class E airspace as an extension to the Class D surface area, modifies Class D airspace, and Class E airspace extending from 700 feet above the surface at Ogden-Hinckley Airport, Ogden, UT. The FAA's review of the airspace area revealed that modification of controlled airspace enhances the safety and management of Standard Instrument Approach Procedures for Instrument Flight Rules (IFR) operations at the airport. This action updates the geographic coordinates of Ogden-Hinckley Airport and Hill AFB, Ogden, UT, and corrects an error in the regulatory text of the Class E airspace designated as an extension.
Effective 0901 UTC, October 15, 2015. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and ATC Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 29591; telephone: 202-267-8783.
Steve Haga, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue SW., Renton, WA 98057; telephone (425) 203-4563.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it establishes controlled airspace at Ogden-Hinckley Airport, Ogden, UT.
On May 1, 2015, the FAA published in the
Class D and Class E airspace designations are published in paragraph 5000, 6004, and 6005, respectively, of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class D and Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Y, airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 establishes Class E airspace as an extension to the Class D surface area, modifies Class D airspace, and Class E airspace extending upward from 700 feet above the surface at Ogden-Hinckley Airport, Ogden, UT. Class E airspace as an extension to the Class D surface area is established with a segment extending from the 4.3-mile radius of the airport to 16 miles southwest of the airport. The Class D airspace common boundary between Ogden-Hinckley Airport and Hill AFB, Ogden, UT, is moved 1 mile northwest. Class E airspace extending upward from 700 feet above the surface is modified to within a 5.3-mile radius of the airport, with segments extending from the 5.3-mile radius to 11 miles northwest, and 13 miles southwest of the airport. This action updates the geographic coordinates for Ogden-Hinckley Airport and Hill AFB, as well as corrects coordinates in the legal description for the Class E airspace area designated as an extension. This action enhances the safety and management of controlled airspace within the NAS.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures,” paragraph 311a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exist that warrant preparation of an environmental assessment
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from the surface up to, but not including, 7,800 feet within a 4.3-mile radius of the Ogden-Hinckley Airport, and that airspace beginning at a point where the Ogden-Hinckley 216° radial intersects the Hill AFB 4.6-mile radius to the point where the Ogden-Hinckley 231° radial intersects the 4.3-mile radius, thence clockwise along the 4.3-mile
That airspace extending upward from the surface 4 miles north and parallel to the 225° radial of the Ogden-Hinckley Airport, extending from the 4.3-mile radius to 16 miles southwest of the airport, thence southeast to lat. 40°57′3″ N., long. 112°12′44″ W., thence northeast to the point where the Ogden-Hinckley 99° radial intersects the Hill AFB 4.6-mile radius, thence to the point of beginning.
That airspace extending upward from 700 feet above the surface within a 5.3-mile radius of Ogden-Hinckley Airport, and that airspace 3 miles either side of the 294° radial from the airport extending from the 5.3-mile radius to 11 miles northwest of the airport, and that airspace 4 miles either side of the Ogden-Hinckley 226° radial from the 5.3-mile radius to 13 miles southwest of the airport.
Internal Revenue Service (IRS), Treasury.
Final and temporary regulations.
This document contains final and temporary regulations that remove the automatic extension of time to file information returns on forms in the W-2 series (except Form W-2G). The temporary regulations allow only a single 30-day non-automatic extension of time to file these information returns. These changes are being implemented to accelerate the filing of forms in the W-2 series (except Form W-2G) so they are available earlier in the filing season for use in the IRS's identity theft and refund fraud detection processes. In addition, the temporary regulations update the list of information returns subject to the rules regarding extensions of time to file. The temporary regulations affect taxpayers who are required to file the affected information returns and need an extension of time to file. The substance of the temporary regulations is included in the proposed regulations set forth in the notice of proposed rulemaking on this subject in the Proposed Rules section in this issue of the
Jonathan R. Black, (202) 317-6845 (not a toll-free number).
This document contains amendments to 26 CFR part 1 under section 6081 of the Internal Revenue Code (Code) regarding extensions of time to file certain information returns. Effective for filing season 2017, this document removes § 1.6081-8 and adds new § 1.6081-8T. Section 1.6081-8 will remain in effect for filing season 2016. Section 1.6081-8 currently provides an automatic 30-day extension of time to file information returns on forms in the W-2 series (including Forms W-2, W-2AS, W-2G, W-2GU, and W-2VI), 1095 series, 1098 series, 1099 series, and 5498 series, and on Forms 1042-S and 8027, and allows an additional 30-day non-automatic extension of time to file those information returns in certain cases.
The temporary regulations § 1.6081-8T are substantially identical to the regulations § 1.6081-8 that will be removed, except that the temporary regulations: (1) Add information returns on forms in the 1097 series and Forms 1094-C, 3921, and 3922 to the list of information returns with procedures prescribed by regulations for the extension of time to file; (2) remove information returns on forms in the W-2 series (except Form W-2G) from the list of information returns eligible for the automatic 30-day extension of time to file, and instead provide a single 30-day non-automatic extension of time to file those information returns; and (3) clarify that the procedures for requesting an extension of time to file in the case of forms in the 1095 series apply to information returns on Forms 1095-B and 1095-C, but not 1095-A.
The due dates imposed by statute, regulation, or form instruction for filing information returns on forms in the W-2 series, 1097 series, 1098 series, and 1099 series, and Forms 1094-C (when filed as a stand-alone information return), 1095-B, 1095-C, 3921, 3922, and 8027 on paper are either February 28 or the last day of February of the calendar year following the calendar year for which the information is being reported. The due date for filing these information returns electronically is March 31 of the calendar year following the calendar year for which the information is being reported. The information returns on forms in the 5498 series and the Form 1042-S, whether filed on paper or electronically, are due March 15 and May 31, respectively, of the calendar year following the calendar year for which the information is being reported. All of these information returns are filed with the IRS, except for information returns on forms in the W-2 series (other than Form W-2G), which are filed with the Social Security Administration. Filers who fail to timely and accurately file these information returns may be subject to penalties under section 6652 (regarding failure to file certain information returns), section 6693 (regarding failure to report on certain tax-favored accounts or annuities), or section 6721 (regarding failure to timely and accurately file information returns defined by section 6724(d)(1)).
Section 6081(a) generally provides that the Secretary may grant a reasonable extension of time, not to exceed 6 months, for filing any return,
Under § 1.6081-8(a), a person required to file certain information returns (the filer), or the person transmitting the return for the filer (the transmitter), can currently receive an automatic 30-day extension of time to file those information returns. A filer or transmitter obtains an automatic 30-day extension of time to file by submitting a Form 8809, “Application for Extension of Time to File Information Returns,” to the IRS on or before the due date of the information return.
Section 1.6081-8(d) also currently provides that a filer or transmitter that obtains an automatic 30-day extension of time to file may request an additional 30-day extension of time to file by submitting a second Form 8809 on or before the date that the automatic 30-day extension of time to file expires. That additional 30-day extension of time to file under § 1.6081-8(d) is not automatically granted by the IRS. Unlike requests to obtain an automatic 30-day extension of time to file under § 1.6081-8(a), a filer or transmitter that requests an additional 30-day extension of time to file under § 1.6081-8(d) is required to sign the Form 8809 under penalties of perjury and include an explanation of why an additional extension of time to file is needed. No further extensions of time to file are permitted under § 1.6081-8.
Employers eligible to file information returns on forms in the W-2 series on an expedited basis under § 31.6071(a)-1(a)(3)(ii) are not eligible to obtain the automatic 30-day extension of time to file those information returns under § 1.6081-8 because they received an automatic extension of time to file information returns on forms in the W-2 series under Rev. Proc. 96-57 (1996-2 CB 389), see § 601.601(d)(2)(ii)(
A filer or transmitter seeking an extension of time to furnish statements to recipients is required to separately request an extension of time to furnish the statements under rules applicable to those statements.
The IRS uses third-party information returns to increase voluntary compliance, verify accuracy of tax returns, improve collection of taxes, and combat fraud, including fraudulent refund claims filed by unscrupulous preparers and individuals using the stolen identities of legitimate taxpayers. Identity theft and refund fraud is a persistent and evolving threat to the nation's tax system. It places an enormous burden on the United States Government, with the most painful and immediate impact being on the victims whose personal information is used to commit the crime and the most pervasive impact being an erosion of public confidence in the tax system.
Identity thieves often electronically file their fraudulent refund claims early in the tax filing season, using fictitious wage and other information of legitimate taxpayers. Unscrupulous preparers also electronically file early in the tax filing season, over-claiming deductions and credits and underreporting income for unwitting, as well as complicit, taxpayers. In many cases, the IRS is unable to verify the wage and other information reported on tax returns filed before April 15th, in part because the IRS does not receive the information returns reporting this information until later in the filing season.
Although paper information returns are generally due to be filed by February 28 or the last day of February of the calendar year following the calendar year for which the information is reported, an extension of time to file under § 1.6081-8 may currently extend the due date until the end of March or, if a non-automatic extension is also granted, the end of April. Similarly, although electronically-filed information returns are generally due by March 31 of the calendar year following the calendar year for which the information is reported, an extension of time to file under § 1.6081-8 may extend the due date until the end of April or, if a non-automatic extension is also granted, the end of May.
Receipt of information returns earlier in the filing season will improve the IRS's ability to identify fraudulent refund claims and stop the refunds before they are paid. The United States Government Accountability Office (GAO) has cited the IRS's receipt of information returns late in the filing season as a contributing factor in payment of fraudulent refunds due to identity theft and preparer misconduct. See GAO Report GAO-14-633, Identity Theft, Additional Actions Could Help IRS Combat the Large, Evolving Threat of Refund Fraud. Removing the automatic 30-day extension of time to file is an affirmative step to accelerate the filing of information returns so they are available earlier in the filing season for use in the IRS's refund fraud detection processes.
Over the next several years, the IRS intends to remove the 30-day automatic extension of time to file certain information returns. Under § 1.6081-8T, which will not be effective until the 2017 filing season, the first information returns subject to these new rules are information returns on forms in the W-2 series (except Form W-2G). These information returns are particularly helpful to the IRS for identifying fraudulent identity theft refund claims and preventing their payout. This is because a significant portion of most taxpayers' income and withholding information is reported on Forms W-2. Forms W-2 are also a major source of the false income and withholding that is reported by identity thieves and unscrupulous preparers. Having access to Forms W-2 earlier in the filing season will improve the IRS's ability to conduct pre-refund matching and identify incidences of identity theft and tax refund fraud.
Accordingly, § 1.6081-8T provides a single 30-day non-automatic extension of time to file information returns on forms in the W-2 series (except Form W-2G) due in 2017 that the IRS may, in its discretion, grant if the IRS determines that an extension of time to file is warranted based on the filer's or transmitter's explanation attached to the Form 8809 signed under the penalties of perjury. The IRS anticipates that it will grant the non-automatic extension of time to file only in limited cases where the filer's or transmitter's explanation demonstrates that an extension of time to file is needed as a result of extraordinary circumstances or catastrophe, such as a natural disaster or fire destroying the books and records a filer needs for filing the information returns. If the IRS does not grant the extension of time to file, information returns filed after their due dates are not timely filed, regardless of whether the application for extension of time to file was filed timely.
The IRS intends to eventually remove the automatic 30-day extension of time to file the other forms listed in § 1.6081-8T and replace it with a single non-automatic 30-day extension of time to file. Therefore, proposed regulations set forth in the notice of proposed rulemaking on this subject in the Proposed Rules section in this issue of the
Treasury and the IRS request comments on the appropriate timing of the removal of the automatic extension of time to file information returns covered by § 1.6081-8T, such as Form 1042-S, including whether special transitional considerations should be given for any category or categories of forms or filers relative to other forms or filers. Please follow the instructions in the “Comments and Requests for Public Hearing” section in the notice of proposed rulemaking accompanying these temporary regulations in this issue of the
Section 1.6081-8T also updates the list of information returns that are currently covered by § 1.6081-8. Forms 3921 and 3922 are being added to § 1.6081-8T because these forms have been included on Form 8809 since the June 2009 revision, which coincided with the revision of the regulations requiring those forms under section 6039. See TD 9470 (74 FR 59087) November 17, 2009. Forms in the 1097 series are being added because they have similarly been included on Form 8809 since the September 2010 revision, which coincided with the publication of the notice requiring the filing of the only active form in the 1097 series, Notice 2010-28 (2010-15 IRB 541).
In addition, the Form 1094-C is being added to the list of forms in § 1.6081-8T. In most cases the Form 1094-C is filed as a mere transmittal with the Form 1095-C and, therefore, the due date of the Form 1094-C is the same as the Form 1095-C, including extensions. However, in certain cases, the Form 1094-C is filed as a stand-alone information return. See TD 9661, (79 FR 13231) March 10, 2014. When Form 1094-C is filed as a stand-alone information return, it is subject to the same rules regarding extensions of time to file as other information returns. Accordingly, Form 1094-C has been added to the list of forms subject to extension under § 1.6081-8T.
Section 1.6081-8T also replaces the general reference to the forms in the 1095 series that was added to § 1.6081-8 on March 10, 2014, by TD 9660 (79 FR 13220) with specific references to Forms 1095-B and 1095-C. Form 1095-A was not intended to be included in § 1.6081-8, because the timing rules for filing the Form 1095-A are governed by § 1.36B-5. See TD 9663 (79 FR 26113) May 7, 2014.
Certain IRS regulations, including this one, are exempt from the requirements of Executive Order 12866, as supplemented and reaffirmed by Executive Order 13563. Therefore, a regulatory assessment is not required. It has also been determined that section 553(b) of the Administrative Procedure Act (5 U.S.C. chapter 5) does not apply to these regulations.
Pursuant to the Regulatory Flexibility Act (5 U.S.C. chapter 6), it is hereby certified that this regulation will not have a significant economic impact on a substantial number of small entities. As stated in this preamble, these regulations remove the automatic 30-day extension of time to file information returns on Forms in the W-2 series (except for Form W-2G). Starting in filing season 2017, filers and transmitters may request only one 30-day extension of time to file Form W-2 by timely submitting a Form 8809, including an explanation of the reasons for requesting the extension and signed under penalty of perjury. Although the regulation may potentially affect a substantial number of small entities, the economic impact on these entities is not expected to be significant because filers who are unable to timely file as a result of extraordinary circumstances or catastrophe may continue to obtain a 30-day extension through the Form 8809 process. The form takes approximately 20 minutes to prepare and submit to the IRS. Pursuant to section 7805(f) of the Code, these regulations have been submitted to the Chief Counsel for Advocacy of the Small Business Administration for comment on their impact on small business.
The principal author of these regulations is Jonathan R. Black of the Office of the Associate Chief Counsel (Procedure and Administration).
Income taxes, Reporting and recordkeeping requirements.
Accordingly, 26 CFR part 1 is amended as follows:
26 U.S.C. 7805 * * *
[Reserved]. For further guidance, see § 1.6081-8T(a) through (g).
(a)
(2)
(c)
(i) Be submitted on Form 8809, “Request for Extension of Time to File Information Returns,” or in any other manner as may be prescribed by the Commissioner; and
(ii) Be filed with the Internal Revenue Service office designated in the application's instructions on or before the due date for filing the information return.
(2)
(i) Submit a complete application on Form 8809, or in any other manner prescribed by the Commissioner, including a detailed explanation of why additional time is needed;
(ii) File the application with the Internal Revenue Service in accordance with forms, instructions, or other appropriate guidance on or before the due date for filing the information return (for purposes of paragraph (a)(2) of this section, determined with regard to the extension of time to file under paragraph (a)(1) of this section); and
(iii) Sign the application under penalties of perjury.
(d)
(e)
(f)
(g)
(h)
Coast Guard, DHS.
Temporary final rule.
The Coast Guard is establishing five special local regulations for five separate marine events within the Coast Guard Sector Long Island Sound (LIS) Captain of the Port (COTP) Zone. This temporary final rule is necessary to provide for the safety of life on navigable waters during these events. Entry into, transit through, mooring or anchoring within these regulated areas is prohibited unless authorized by COTP Sector Long Island Sound.
This rule is effective without actual notice from August 13, 2015 until 4:30 p.m. on August 28, 2015. For the purposes of enforcement, actual notice will be used from the date the rule was signed, July 29, 2015, until August 13, 2015.
Documents mentioned in this preamble are part of docket [USCG-2015-0705]. To view documents mentioned in this preamble as being available in the docket, go to
If you have questions on this rule, contact Petty Officer Ian Fallon, Prevention Department, Coast Guard Sector Long Island Sound, telephone (203) 468-4565, email
This rulemaking establishes five special local regulations for three regattas and two swim events. Each event and its corresponding regulatory history are discussed below.
Smith Point Triathlon (Swim) is a reoccurring marine event with regulatory history. A safety zone was established for Smith Point Triathlon in 2014 when the Coast Guard issued a temporary final rule entitled, “Safety Zone; Smith Point Triathlon; Narrow Bay; Mastic Beach, NY.” The NPRM in that rulemaking was published on April, 25, 2014 in the
Island Beach Two Mile (Swim) is a recurring marine event with regulatory history. A safety zone was established for this event on August 9, 2014 via a temporary final rule entitled, “Special Local Regulations and Safety Zones; Marine Events in Captain of the Port Long Island Sound Zone.” This rule was published on August 12, 2014 in the
Riverside Yacht Club JSA of LIS Opti Champs (Regatta) is a new event with no regulatory history.
Riverfront Dragon Boat and Asian Festival (Regatta) is a recurring marine event with regulatory history. A special local regulation was established in 2014 for the Riverfront Dragon Boat and Asian Festival when the Coast Guard enforced 33 CFR 100.100(a)(1.7). This event has been included in this rule due to deviation from the location in this cite.
War Writers Campaign Kayak for Cause (Regatta) is a new event with no regulatory history.
The Coast Guard is issuing this temporary final rule without prior notice and opportunity to comment pursuant to authority under section 4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This provision authorizes an agency to issue a rule
Under 5 U.S.C. 553(d)(3), and for the same reasons stated in the preceding paragraph, the Coast Guard finds that good cause exists for making this rule effective less than 30 days after publication in the
The legal basis for this temporary rule is 33 U.S.C. 1233 which authorizes the Coast Guard to define regulatory special local regulations.
As discussed in the
This rule establishes five special local regulations for three regattas and two swim events. The locations of these special local regulations are as follows:
This rule establishes additional vessel movement rules within areas specifically under the jurisdiction of the special local regulations during the periods of enforcement unless authorized by the COTP or designated representative.
Public notifications will be made to the local maritime community prior to each event through the Local Notice to Mariners and Broadcast Notice to Mariners.
We developed this rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on these statutes and executive orders.
This rule is not a significant regulatory action under section 3(f) of Executive Order 12866, Regulatory Planning and Review, as supplemented by Executive Order 13563, Improving Regulation and Regulatory Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of Executive Order 12866 or under section 1 of Executive Order 13563. The Office of Management and Budget has not reviewed it under those Orders.
The Coast Guard determined that this rulemaking is not a significant regulatory action for the following reasons: (1) The enforcement of these regulated areas will be relatively short in duration, (2) persons or vessels desiring entry into the “No Entry” area or a deviance from the stipulations within the “Slow/No Wake Area” may be authorized to do so by the COTP Sector Long Island Sound or designated representative, (3) vessels can operate within the regulated area provided they do so in accordance with the regulation and (4) before the effective period,
The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as amended, requires federal agencies to consider the potential impact of regulations on small entities during rulemaking. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a significant economic impact on a substantial number of small entities.
This temporary final rule will affect the following entities, some of which may be small entities: The owners or operators of vessels intending to enter, transit, anchor, or moor within a regulated area during the periods of enforcement, from August 2, 2015 to August 28, 2015. However, this temporary final rule will not have a significant economic impact on a substantial number of small entities for the same reasons discussed in the Regulatory Planning and Review section.
Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we want to assist small entities in understanding this proposed rule. If the rule would affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please contact the person listed in the
This rule will not call for a new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. We have analyzed this rule under that Order and determined that this rule does not have implications for federalism.
The Coast Guard respects the First Amendment rights of protesters. Protesters are asked to contact the person listed in the
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or more in any one year. Though this rule will not result in such expenditure, we do discuss the effects of this rule elsewhere in this preamble.
This rule will not cause a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.
This rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.
We have analyzed this rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and does not create an environmental risk to health or risk to safety that may disproportionately affect children.
This rule does not have tribal implications under Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, because it does not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes.
This action is not a “significant energy action” under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use.
This rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards.
We have analyzed this rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have determined that this action is one of a category of actions that do not individually or cumulatively have a significant effect on the human environment. This rule involves the establishment of special local regulations. This rule is categorically excluded from further review under paragraph 34(h) of Figure 2-1 of the Commandant Instruction. An environmental analysis checklist supporting this determination and a Categorical Exclusion Determination are available in the docket where indicated under
Marine safety, Navigation (water), Reporting and recording requirements, Waterways.
For the reasons discussed in the preamble, the Coast Guard amends 33 CFR parts 100 as follows:
33 U.S.C. 1233.
(a)
(b)
(c)
(d) Operators of non-event vessels transiting through the area during the enforcement period are required to travel at no wake speeds or 6 knots, whichever is slower and that vessels shall not block or impede the transit of event participants, event safety vessels or official patrol vessels in the regulated area unless authorized by the Captain of the Port (COTP) or designated representatives.
(e) All persons and vessels shall comply with the instructions of the COTP Sector Long Island Sound or designated representative. These designated representatives are comprised of commissioned, warrant, and petty officers of the Coast Guard. Upon being hailed by a U.S. Coast Guard vessel by siren, radio, flashing lights or other means, the operator of a vessel shall proceed as directed.
(f) Non-event vessels desiring to transit through the “No Wake Area” at faster than no wake speeds must contact the COTP Sector Long Island Sound by telephone at (203)-468-4401, or designated representative via VHF radio on channel 16, to request authorization. A designated representative may be on an official patrol vessel or may be on shore and will communicate with vessels via VHF-FM radio or loudhailer. In addition, members of the Coast Guard Auxiliary may be present to inform vessel operators of this regulation. If authorization to transit through at faster than no wake speed within the regulated areas is granted by the COTP Sector Long Island Sound or designated representative, all persons and vessels receiving such authorization must comply with the instructions of the COTP Sector Long Island Sound or designated representative.
(g) The Coast Guard will provide notice of the regulated area prior to the event through appropriate means, which may include but is not limited to the Local Notice to Mariners and Broadcast Notice to Mariners.
(h) The additional stipulations listed in the table to § 100.35T01-0705 also apply for the event in which they are listed.
Coast Guard, DHS.
Notice of deviation from drawbridge regulation.
The Coast Guard has issued a temporary deviation from the operating schedule that governs the Tower Drawbridge across the Sacramento River, mile 59.0 at Sacramento, CA. The deviation is necessary to allow the community to participate in the Arches Run. This deviation allows the bridge to remain in the closed-to-navigation position during the deviation period.
This deviation is effective from 7:50 a.m. to 10 a.m. on August 16, 2015.
The docket for this deviation, [USCG-2015-0486], is available at
If you have questions on this temporary deviation, call or email David H. Sulouff, Chief, Bridge Section, Eleventh Coast Guard District; telephone 510-437-3516, email
California Department of Transportation has requested a temporary change to the operation of the Tower Drawbridge, mile 59.0, over Sacramento River, at Sacramento, CA. The drawbridge navigation span provides a vertical clearance of 30 feet above Mean High Water in the closed-to-navigation position. The draw opens on signal from May 1 through October 31 from 6 a.m. to 10 p.m. and from November 1 through April 30 from 9 a.m. to 5 p.m. At all other times the draw shall open on signal if at least four hours notice is given, as required by 33 CFR 117.189(a). Navigation on the waterway is commercial and recreational.
The drawspan will be secured in the closed-to-navigation position from 7:50 a.m. to 10 a.m. on August 16, 2015, to allow the community to participate in the Arches Run, benefiting the Ronald McDonald House and Shriners Hospitals for Children. This temporary deviation has been coordinated with the waterway users. No objections to the proposed temporary deviation were raised.
Vessels able to pass through the bridge in the closed position may do so at anytime. The bridge will be able to open for emergencies and there is no immediate alternate route for vessels to pass. The Coast Guard will also inform the users of the waterway through our Local and Broadcast Notices to Mariners of the change in operating schedule for the bridge so that vessels can arrange their transits to minimize any impact caused by the temporary deviation.
In accordance with 33 CFR 117.35(e), the drawbridge must return to its regular operating schedule immediately at the end of the effective period of this temporary deviation. This deviation from the operating regulations is authorized under 33 CFR 117.35.
Coast Guard, DHS.
Notice of deviation from drawbridge regulation.
The Coast Guard has issued a temporary deviation from the operating schedule that governs the California Department of Transportation highway drawbridge across the Mokelumne River, mile 3.0, at East Isleton, CA. The deviation is necessary to allow the bridge owner to perform installation of motor drives. This deviation allows the bridge to remain in the closed-to-navigation position during the deviation period.
This deviation is effective from 6 a.m. on August 17, 2015 to 10 p.m. on August 19, 2015.
The docket for this deviation, [USCG-2015-0688], is available at
If you have questions on this temporary deviation, call or email David H. Sulouff, Chief, Bridge Section, Eleventh Coast Guard District; telephone 510-437-3516, email
California Department of Transportation has requested a temporary change to the operation of the California Department of Transportation highway drawbridge across the Mokelumne River, mile 3.0, at East Isleton, CA. The drawbridge navigation span provides approximately 7 feet vertical clearance above Mean High Water in the closed-to-navigation position. In accordance with 33 CFR 117.175(a), the draw opens on signal from November 1 through April 30 from 9 a.m. to 5 p.m.; and from May 1 through October 31 from 6 a.m. to 10 p.m., except that during the following periods the draw need only open for recreational vessels on the hour, 20 minutes past the hour, and 40 minutes past the hour: Saturdays, 10 a.m. until 2 p.m.; Sundays, 11 a.m. until 6 p.m.; and Memorial Day, Fourth of July and Labor Day 11 a.m. until 6 p.m.. At all other times the drawbridge shall open on signal if at least 4 hours notice is given. Navigation on the waterway is commercial, recreational, search and rescue, and law enforcement.
The drawspan will be secured in the closed-to-navigation position from 6 a.m. on August 17, 2015 to 10 p.m. on August 19, 2015, due to replacing the end lift motors of the bridge. This temporary deviation has been
Vessels able to pass through the bridge in the closed position may do so at anytime. The bridge will not be able to open for emergencies. Alternative paths for recreational vessel traffic are available via Little Potato Slough and Georgiana Slough. The Coast Guard will inform waterway users of this temporary deviation via our Local and Broadcast Notices to Mariners, to minimize resulting navigational impacts.
In accordance with 33 CFR 117.35(e), the drawbridge must return to its regular operating schedule immediately at the end of the effective period of this temporary deviation. This deviation from the operating regulations is authorized under 33 CFR 117.35.
Coast Guard, DHS.
Notice of deviation from drawbridge regulation.
The Coast Guard has issued a temporary deviation from the operating schedule that governs the 3rd Street Drawbridge across China Basin, mile 0.0, at San Francisco, CA. The deviation is necessary to allow participants to cross the bridge during the San Francisco Giant Race event. This deviation allows the bridge to remain in the closed-to-navigation position during the deviation period.
This deviation is effective from 5 a.m. to 11:30 a.m. on August 23, 2015.
The docket for this deviation, [USCG-2015-0632], is available at
If you have questions on this temporary deviation, call or email David H. Sulouff, Chief, Bridge Section, Eleventh Coast Guard District; telephone 510-437-3516, email
The City of San Francisco Public Works Department has requested a temporary change to the operation of the 3rd Street Drawbridge, mile 0.0, over China Basin, at San Francisco, CA. The drawbridge navigation span provides 3 feet vertical clearance above Mean High Water in the closed-to-navigation position. In accordance with 33 CFR 117.149, the draw opens on signal if at least one hour notice is given. Navigation on the waterway is recreational.
The drawspan will be secured in the closed-to-navigation position from 5 a.m. to 11:30 a.m. on August 23, 2015, to allow participants to cross the bridge during the San Francisco Giant Race event. This temporary deviation has been coordinated with the waterway users. No objections to the proposed temporary deviation were raised.
Vessels able to pass through the bridge in the closed position may do so at anytime. The bridge can be operated upon one hour advance notice for emergencies requiring the passage of waterway traffic. There is no alternate route for vessels to pass through the bridge in the closed position. The Coast Guard will also inform waterway users through our Local and Broadcast Notices to Mariners of the change in operating schedule for the bridge so that vessels can arrange their transits to minimize any impact caused by the temporary deviation.
In accordance with 33 CFR 117.35(e), the drawbridge must return to its regular operating schedule immediately at the end of the effective period of this temporary deviation. This deviation from the operating regulations is authorized under 33 CFR 117.35.
Coast Guard, DHS.
Temporary final rule.
The Coast Guard is establishing a temporary safety zone on the Outer Harbor, Gallagher Beach, Buffalo, NY. This safety zone is intended to restrict vessels from a portion of the Outer Harbor during the Carly's Crossing swimming event. This temporary safety zone is necessary to protect participants, spectators, mariners, and vessels from the navigational hazards associated with a large scale swimming event.
This rule is effective from 6:45 a.m. until 2:15 p.m. on August 16, 2015.
Documents mentioned in this preamble are part of docket [USCG-2015-0717]. To view documents mentioned in this preamble as being available in the docket, go to
If you have questions on this rule, call or email LTJG Amanda Garcia, Chief of Waterways Management, U.S. Coast Guard Sector Buffalo; telephone 716-843-9343, email
The Coast Guard is issuing this temporary final rule without prior notice and opportunity to comment pursuant to authority under section 4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This provision authorizes an agency to issue a rule without prior notice and opportunity to comment when the agency for good cause finds that those procedures are “impracticable, unnecessary, or contrary to the public interest.” Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good cause exists for not publishing a notice of proposed rulemaking (NPRM) with respect to this rule because doing so would be impracticable. The final details for this event were not known to the Coast Guard until there was insufficient time remaining before the event to publish an NPRM. Thus, delaying the effective date of this rule to wait for a comment period to run would be impracticable because it would inhibit the Coast Guard's ability to protect spectators and vessels from the hazards associated with a large scale swimming event.
Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause exists for making this temporary rule effective less than 30 days after publication in the
The legal basis and authorities for this rule are found in 33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Department of Homeland Security Delegation No. 0170.1, which collectively authorize the Coast Guard to establish and define regulatory safety zones.
Between 6:45 a.m. and 2:15 p.m. on August 16, 2015, a large scale swimming event will take place in the Outer Harbor, near Gallagher Beach on Lake Erie in Buffalo, NY. The Captain of the Port Buffalo has determined that such a large scale swimming event across a navigable waterway will pose significant risks to participants and the boating public.
With the aforementioned hazards in mind, the Captain of the Port Buffalo has determined that this temporary safety zone is necessary to ensure the safety of spectators and vessels during the Carly's Crossing swimming event. This zone will be enforced from 6:45 p.m. until 2:15 p.m. on August 16, 2015. This zone will encompass a portion of the Outer Harbor, Gallagher Beach, Buffalo, NY starting at position 42°50′38.92″ N., 78°51′40.37″ W.; then West to 42°50′25.33″ N., 78°52′12.05″ W.; then East to 42°50′26.69″ N., 78°51′34.97″ W.; then North returning to the point of origin to form a triangle (NAD 83).
Entry into, transiting, or anchoring within the safety zone is prohibited unless authorized by the Captain of the Port Buffalo or his designated on-scene representative. The Captain of the Port or his designated on-scene representative may be contacted via VHF Channel 16.
We developed this rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on these statutes and executive orders.
This rule is not a significant regulatory action under section 3(f) of Executive Order 12866, Regulatory Planning and Review, as supplemented by Executive Order 13563, Improving Regulation and Regulatory Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of Executive Order 12866 or under section 1 of Executive Order 13563. The Office of Management and Budget has not reviewed it under those Orders.
We conclude that this rule is not a significant regulatory action because we anticipate that it will have minimal impact on the economy, will not interfere with other agencies, will not adversely alter the budget of any grant or loan recipients, and will not raise any novel legal or policy issues. The safety zone created by this rule will be relatively small and enforced for a relatively short time. Also, the safety zone is designed to minimize its impact on navigable waters. Furthermore, the safety zone has been designed to allow vessels to transit around it. Thus, restrictions on vessel movement within that particular area are expected to be minimal. Under certain conditions, moreover, vessels may still transit through the safety zone when permitted by the Captain of the Port.
Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have considered the impact of this rule on small entities. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a significant economic impact on a substantial number of small entities. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a significant economic impact on a substantial number of small entities. This rule will affect the following entities, some of which might be small entities: The owners or operators of vessels intending to transit or anchor in a portion of the Outer Harbor between 6:45 a.m. to 2:15 p.m. on August 16, 2015.
This safety zone will not have a significant economic impact on a substantial number of small entities for the following reasons: This safety zone would be effective, and thus subject to enforcement, for only 7.5 hours early in the day. Traffic may be allowed to pass through the zone with the permission of the Captain of the Port. The Captain of the Port can be reached via VHF channel 16. Before the enforcement of the zone, we would issue local Broadcast Notice to Mariners.
Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we want to assist small entities in understanding this rule. If the rule would affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please contact the person listed in the
Small businesses may send comments on the actions of Federal employees who enforce, or otherwise determine compliance with, Federal regulations to the Small Business and Agriculture Regulatory Enforcement Ombudsman and the Regional Small Business Regulatory Fairness Boards. The Ombudsman evaluates these actions annually and rates each agency's responsiveness to small business. If you wish to comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR (1-888-734-3247). The Coast Guard will not retaliate against small entities that question or complain about this rule or any policy or action of the Coast Guard.
This rule will not call for a new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. We have analyzed this rule under that Order and determined that this rule does not have implications for federalism.
The Coast Guard respects the First Amendment rights of protesters. Protesters are asked to contact the person listed in the
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or more in any one year. Though this rule will not result in such an expenditure, we do discuss the effects of this rule elsewhere in this preamble.
This rule will not cause a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.
This rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.
We have analyzed this rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and does not create an environmental risk to health or risk to safety that may disproportionately affect children.
This rule does not have tribal implications under Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, because it does not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes.
This action is not a “significant energy action” under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use.
This rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards.
We have analyzed this rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have determined that this action is one of a category of actions that do not individually or cumulatively have a significant effect on the human environment. This rule involves the establishment of a safety zone and, therefore it is categorically excluded from further review under paragraph 34(g) of Figure 2-1 of the Commandant Instruction. An environmental analysis checklist supporting this determination and a Categorical Exclusion Determination are available in the docket where indicated under
Harbors, Marine safety, Navigation (water), Reporting and recordkeeping requirements, Security measures, Waterways.
For the reasons discussed in the preamble, the Coast Guard amends 33 CFR parts 165 as follows:
33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Department of Homeland Security Delegation No. 0170.1.
(a)
(b)
(c)
(2) This safety zone is closed to all vessel traffic, except as may be permitted by the Captain of the Port Buffalo or his designated on-scene representative.
(3) The “on-scene representative” of the Captain of the Port Buffalo is any Coast Guard commissioned, warrant or petty officer who has been designated by the Captain of the Port Buffalo to act on his behalf.
(4) Vessel operators desiring to enter or operate within the safety zone must contact the Captain of the Port Buffalo or his on-scene representative to obtain permission to do so. The Captain of the Port Buffalo or his on-scene representative may be contacted via VHF Channel 16. Vessel operators given permission to enter or operate in the safety zone must comply with all directions given to them by the Captain of the Port Buffalo, or his on-scene representative.
Office of Special Education and Rehabilitative Services, Department of Education.
Final priority.
The Assistant Secretary for Special Education and Rehabilitative Services announces a priority under the Rehabilitation Training program. The Assistant Secretary may use this priority for competitions in fiscal year 2015 and later years. We take this action to provide training and technical assistance to State vocational rehabilitation agencies to improve services under the State Vocational Rehabilitation Services program and State Supported Employment Services program for individuals with disabilities, including those with the most significant disabilities, and to implement changes to the Rehabilitation Act of 1973, as amended by the Workforce Innovation and Opportunity Act (WIOA), signed into law on July 22, 2014.
This priority is effective September 14, 2015.
Jerry Elliott, U.S. Department of Education, 400 Maryland Avenue SW., Room 5021, Potomac Center Plaza (PCP), Washington, DC 20202-2800. Telephone: (202) 245-7335 or by email:
If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call the Federal Relay Service (FRS), toll free, at 1-800-877-8339.
We published a notice of proposed priority for this competition in the
The commenters stated that these recommendations are consistent with section 101(a)(2)(A) of the Rehabilitation Act, which authorizes States to designate a State agency to provide VR services to individuals who are blind or visually impaired, as well as a designated State agency to provide VR services to all other individuals with disabilities. If a second center were established to serve individuals who are blind or visually impaired, such action would recognize that these agencies and the clientele they serve deserve the same quality, level, and intensity of TA provided to designated State agencies that serve all other individuals with disabilities.
However, we believe the priority as written provides TA of the same quality, level, and intensity to all State VR agencies, regardless of type. All 80 State VR agencies (including the 24 separate State VR agencies for individuals who are blind or visually impaired) will be able to receive universal, general TA, as well as targeted, specialized TA for the five topic areas of responsibility outlined for the Workforce Innovation Technical Assistance Center (WITAC). Likewise, all 80 agencies may apply for intensive TA for the five topic areas of responsibility outlined for the WITAC. Intensive TA is intended to be individualized to the needs of the requesting State VR agency and driven by an agreement between the State VR agency requesting the intensive TA and the WITAC.
In general, the five topic areas pertain to new requirements of WIOA, which apply to all States and to all State VR agencies, and thus do not necessitate separate TA centers for agencies serving individuals who are blind or visually impaired. While implementation strategies and responsibilities of State VR agencies in States where two State VR agencies exist may differ somewhat depending on their negotiated responsibilities within the State, these differences can be addressed through the negotiated intensive TA agreement.
Additionally, we decline to set aside a portion of the funds for TA to the State VR agencies for individuals who are blind or visually impaired. As outlined above, we believe that all TA provided by the WITAC will be beneficial to State VR agencies regardless of the population that they serve, and a set-aside may result in an inefficient allocation of funds.
Further, as to the appropriate distribution of TA, the applicant will be required to describe its plan for recruiting and selecting State VR agencies as part of the application. After the grant is awarded, RSA will modify the required number of agencies to receive intensive TA, if needed, through the cooperative agreement.
We also agree that the TA provided by the WITAC needs to be consistent with the guidance and TA provided by RSA, DOL, and other WIOA core partners. As such, collaboration and coordination with other partners and TA efforts is required in the priority and will be ensured through mechanisms described in the cooperative agreement. The WITAC is also charged with gathering guidance and TA materials from these sources, and the WITAC may provide TA jointly with partners or partner TA centers as WIOA implementation efforts move forward.
As part of the TA to be provided in the “integration of the State VR program into the workforce development system” topic area, the WITAC can provide assistance to States in developing contractual agreements for WIOA partnerships. The applicant will have to describe how it will collect and disseminate contracts, related policies, and other information about State VR agency efforts with regard to implementation of WIOA's requirements as part of the knowledge development requirements in the priority.
However, it is not the responsibility of the WITAC to develop the guidance on these issues. That responsibility lies with the Federal agencies. The WITAC, on the other hand, will assist State VR agencies in implementing these new requirements as soon as practicable after the guidance is available. The WITAC will also provide TA to State VR agencies on how to use performance results to improve agency performance.
We recognize that States are required to submit their Unified or Combined State Plans by March 2016. However, given the expected award date of this cooperative agreement, and the time that the WITAC will need to set up and onboard the necessary staff, we do not think it is reasonable to expect the WITAC to be able to provide intensive TA to a large number of States prior to the March 2016 submission deadline. However, RSA is committed to ensuring that States have the resources that they need to complete these plans, and will work with the WITAC to prioritize TA resources as needed when the award is made.
Taking the WITAC and the JDVRTAC together, we believe that TA needs emerging from WIOA implementation can be subsumed under one or more topic areas of these centers.
The purpose of this priority is to fund a cooperative agreement to establish a Vocational Rehabilitation Workforce Innovation Technical Assistance Center (WITAC). The focus of this priority is to provide training and technical assistance (TA) to State vocational rehabilitation (VR) agencies on the new statutory requirements imposed by WIOA.
The WITAC is designed to achieve, at a minimum, the following outcomes:
(a) Implementation of effective and efficient “pre-employment transition services” for students with disabilities, as set forth in section 113 of the Rehabilitation Act;
(b) Implementation by State VR agencies, in coordination with local and State educational agencies and with the Department of Labor, of the requirements in section 511 of the Rehabilitation Act that are under the purview of the Department of Education;
(c) Increased access to supported employment and customized employment services for individuals with the most significant disabilities, including youth with the most significant disabilities, receiving services under the State VR and Supported Employment programs;
(d) An increased percentage of individuals with disabilities who receive services through the State VR agency and who achieve employment outcomes in competitive integrated employment;
(e) Improved collaboration between State VR agencies and other core programs of the workforce development system; and
(f) Implementation of the new common performance accountability system under section 116 of WIOA.
The WITAC will develop and provide training and TA to State VR agency staff and related rehabilitation professionals and service providers in five topic areas related to changes made by WIOA:
(a) Provision of pre-employment transition services to students with disabilities and supported employment services to youth with disabilities;
(b) Implementation of the requirements in section 511 of the Rehabilitation Act that are under the purview of the Department of Education;
(c) Provision of resources and strategies to help individuals with disabilities achieve competitive integrated employment, including customized employment and supported employment;
(d) Integration of the State VR program into the workforce development system; and
(e) Transition to the new common performance accountability system under section 116 of WIOA, including the collection and reporting of common data elements.
To meet the requirements of this priority, the WITAC must, at a minimum, conduct the following activities:
(a) In the first year, collect information from the literature and from existing State and Federal programs about evidence-based and promising practices relevant to the work of the WITAC and make this information publicly available in a searchable, accessible, and useful format. The WITAC must review, at a minimum:
(1) Literature on evidence-based and promising practices relevant to the work of the WITAC;
(2) The results of State VR agency monitoring conducted by RSA;
(3) State VR agency program and performance data;
(4) Department of Education and Department of Labor policies and guidance on program changes made by WIOA and implementation of those changes; and
(5) Any existing State VR agency memoranda of understanding (MOUs) or agreement (MOAs) related to the work of the WITAC.
(b) In the first year, conduct a survey of relevant stakeholders and VR service providers to identify workforce development TA needs and a process by which TA solutions can be offered to State VR agencies and their partners. The WITAC must survey, at a minimum:
(1) State VR agency staff;
(2) Relevant RSA staff; and
(3) Other stakeholders, including stakeholders from the transition and special education community, the workforce development community, and the rehabilitation community.
(c) Develop and refine one or more curriculum guides for VR staff training for each of the topic areas listed in the Topic Areas section of this priority.
(a) Provide intensive, sustained TA
(1) For topic area (a), how to—
(i) Develop, manage, and implement effective pre-employment transition services to improve the transition of students with disabilities from secondary to postsecondary education and employment;
(ii) Coordinate pre-employment transition services with transition services provided under IDEA; and
(iii) Develop and implement supported employment services for youth with the most significant disabilities;
(2) For topic area (b):
(i) How to provide career-related counseling, information, and referral services to individuals entering and continuing employment at subminimum wages; and
(ii) How to implement documentation requirements for youth with disabilities seeking employment at subminimum wage, in accordance with section 511 of the Rehabilitation Act;
(3) For topic area (c), how to design and implement new services and new roles and responsibilities among partner agencies to increase the percentage of individuals achieving competitive integrated employment and to meet the supported employment and customized employment requirements of the Rehabilitation Act;
(4) For topic area (d), how to develop model relationships between State VR agencies and other core programs of the workforce development system for purposes of implementing the requirements of title I of WIOA, especially those requirements related to integration of core programs into the workforce development system; and
(5) For topic area (e), how to effectively transition to the new common performance accountability system required in section 116 of WIOA and use performance results to implement programmatic changes to improve agency performance.
(b) Provide a range of targeted, specialized TA
(1) Establishing and maintaining a state-of-the-art information technology (IT) platform sufficient to support Webinars, teleconferences, video conferences, and other virtual methods of dissemination of information and TA.
All products produced by WITAC must meet government- and industry-recognized standards for accessibility, including section 508 of the Rehabilitation Act.
(2) Developing and maintaining a state-of-the-art archiving and dissemination system that—
(i) Provides a central location for later use of TA products, including course curricula, audiovisual materials, Webinars, examples of emerging and best practices for the topic areas in this priority, and any other TA products; and
(ii) Is open and available to the public.
In meeting the requirements for (b)(1) and (2) above, the WITAC may either develop new platforms or systems or may modify existing platforms or systems, so long as the requirements of this priority are met.
(3) Providing a minimum of two Webinars or video conferences over the course of the project on each of the topic areas in this priority to describe and disseminate information about emerging and best practices in each area.
(a) Establish one or more communities of practice that focus on the topic areas in this priority and that act as vehicles for communication and exchange of information among State VR agencies and partners, including the results of TA projects that are in progress or have been completed;
(b) Communicate, collaborate, and coordinate, on an ongoing basis, with other relevant Department-funded projects and those supported by the Social Security Administration (SSA) and the Departments of Labor, Health and Human Services, and Commerce; and
(c) Maintain ongoing communication with the RSA project officer and other RSA staff as required.
To be funded under this priority, applicants must meet the application requirements in this priority. RSA encourages innovative approaches to meet these requirements, which are to:
(a) Demonstrate, in the narrative section of the application under “Significance of the Project,” how the proposed project will address State VR agencies' capacity to implement the requirements of WIOA. To meet this requirement, the applicant must:
(1) Demonstrate knowledge of current RSA guidance and State and Federal initiatives designed to improve engagement with the workforce development system and workforce development system partners;
(2) Demonstrate knowledge of current State VR agency and other efforts to improve engagement with secondary schools, youth programs, and other programs that provide services to youth with disabilities for the purpose of assisting such youth to enter postsecondary education or competitive integrated employment; and
(3) Demonstrate knowledge of current State VR agency efforts to engage with State Medicaid, developmental disability, and mental health agencies to develop agreements and provide services leading to competitive integrated employment, including supported employment and customized employment.
(b) Demonstrate, in the narrative section of the application under “Quality of Project Services,” how the proposed project will—
(1) Achieve its goals, objectives, and intended outcomes. To meet this requirement, the applicant must provide—
(i) Measurable intended project outcomes;
(ii) A plan for how the proposed project will achieve its intended outcomes; and
(iii) A plan for communicating, collaborating, and coordinating with key staff in State VR agencies; State and local partner programs; RSA partners, such as the Council of State Administrators of Vocational Rehabilitation, the National Association of State Directors of Special Education, the National Council of State Agencies for the Blind, and other TA centers; and relevant programs within SSA and the Departments of Education, Labor,
(2) Use a conceptual framework to develop project plans and activities, describing any underlying concepts, assumptions, expectations, beliefs, or theories, as well as the presumed relationships or linkages among these variables, and any empirical support for this framework.
(3) Be based on current research and make use of evidence-based practices. To meet this requirement, the applicant must describe—
(i) How the current research about adult learning principles and implementation science will inform the proposed TA; and
(ii) How the proposed project will incorporate current research and evidence-based practices in the development and delivery of its products and services.
(4) Develop products and provide services that are of high quality and sufficient intensity and duration to achieve the intended outcomes of the proposed project. To address this requirement, the applicant must describe—
(i) Its proposed activities to identify or develop the knowledge base on emerging and promising practices in the five topic areas listed in the Topic Areas section of this priority;
(ii) Its proposed approach to universal, general TA;
(iii) Its proposed approach to targeted, specialized TA, which must identify—
(A) The intended recipients of the products and services under this approach; and
(B) Its proposed approach to measure the capacity and readiness of State VR agencies to work with the proposed project, assessing, at a minimum, their current infrastructure, available resources, and ability to effectively respond to the TA, as appropriate;
(iv) Its proposed approach to intensive, sustained TA, which must identify—
(A) The intended recipients of the products and services under this approach;
(B) Its proposed approach to measure the readiness of the State VR agencies to work with the proposed project, including the State VR agencies' commitment to the initiative, fit of the initiative, current infrastructure, available resources, and ability to effectively respond to the TA, as appropriate;
(C) Its proposed plan for assisting State VR agencies to build training systems that include professional development based on adult learning principles and coaching; and
(D) Its proposed plan for developing agreements with State VR agencies to provide intensive, sustained TA. The plan must describe how the agreements will outline the purposes of the TA, the intended outcomes of the TA, and the measurable objectives of the TA that will be evaluated.
(5) Develop products and implement services to maximize the project's efficiency. To address this requirement, the applicant must describe—
(i) How the proposed project will use technology to achieve the intended project outcomes; and
(ii) With whom the proposed project will collaborate and the intended outcomes of this collaboration.
(c) Demonstrate, in the narrative section of the application under “Quality of the Evaluation Plan,” how the proposed project will—
(1) Measure and track the effectiveness of the TA provided. To meet this requirement, the applicant must describe its proposed approach to—
(i) Collecting data on the effectiveness of each TA activity from State VR agencies, partners, or other sources, as appropriate; and
(ii) Analyzing data and determining effectiveness of each TA activity, including any proposed standards or targets for determining effectiveness.
(2) Collect and analyze data on specific and measurable goals, objectives, and intended outcomes of the project, including measuring and tracking the effectiveness of the TA provided. To address this requirement, the applicant must describe—
(i) Its proposed evaluation methodologies, including instruments, data collection methods, and analyses;
(ii) Its proposed standards or targets for determining effectiveness;
(iii) How it will use the evaluation results to examine the effectiveness of its implementation and its progress toward achieving the intended outcomes; and
(iv) How the methods of evaluation will produce quantitative and qualitative data that demonstrate whether the project and individual TA activities achieved their intended outcomes.
(d) Demonstrate, in the narrative section of the application under “Adequacy of Project Resources,” how—
(1) The proposed project will encourage applications for employment from persons who are members of groups that have historically been underrepresented based on race, color, national origin, gender, age, or disability, as appropriate;
(2) The proposed key project personnel, consultants, and subcontractors have the qualifications and experience to provide TA to State VR agencies and their partners in each of the topic areas in this priority and to achieve the project's intended outcomes;
(3) The applicant and any key partners have adequate resources to carry out the proposed activities; and
(4) The proposed costs are reasonable in relation to the anticipated results and benefits;
(e) Demonstrate, in the narrative section of the application under “Quality of the Management Plan,” how—
(1) The proposed management plan will ensure that the project's intended outcomes will be achieved on time and within budget. To address this requirement, the applicant must describe—
(i) Clearly defined responsibilities for key project personnel, consultants, and subcontractors, as applicable; and
(ii) Timelines and milestones for accomplishing the project tasks.
(2) Key project personnel and any consultants and subcontractors will be allocated to the project and how these allocations are appropriate and adequate to achieve the project's intended outcomes, including an assurance that such personnel will have adequate availability to ensure timely communications with stakeholders and RSA;
(3) The proposed management plan will ensure that the products and services provided are of high quality; and
(4) The proposed project will benefit from a diversity of perspectives, including those of State and local personnel, TA providers, researchers, and policy makers, among others, in its development and operation.
This notice does not preclude us from proposing additional priorities, requirements, definitions, or selection criteria, subject to meeting applicable rulemaking requirements.
This notice does
Under Executive Order 12866, the Secretary must determine whether this regulatory action is “significant” and, therefore, subject to the requirements of the Executive order and subject to review by the Office of Management and Budget (OMB). Section 3(f) of Executive Order 12866 defines a “significant regulatory action” as an action likely to result in a rule that may—
(1) Have an annual effect on the economy of $100 million or more, or adversely affect a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments or communities in a material way (also referred to as an “economically significant” rule);
(2) Create serious inconsistency or otherwise interfere with an action taken or planned by another agency;
(3) Materially alter the budgetary impacts of entitlement grants, user fees, or loan programs or the rights and obligations of recipients thereof; or
(4) Raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles stated in the Executive order.
This final regulatory action is not a significant regulatory action subject to review by OMB under section 3(f) of Executive Order 12866.
We have also reviewed this final regulatory action under Executive Order 13563, which supplements and explicitly reaffirms the principles, structures, and definitions governing regulatory review established in Executive Order 12866. To the extent permitted by law, Executive Order 13563 requires that an agency—
(1) Propose or adopt regulations only upon a reasoned determination that their benefits justify their costs (recognizing that some benefits and costs are difficult to quantify);
(2) Tailor its regulations to impose the least burden on society, consistent with obtaining regulatory objectives and taking into account—among other things and to the extent practicable—the costs of cumulative regulations;
(3) In choosing among alternative regulatory approaches, select those approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity);
(4) To the extent feasible, specify performance objectives, rather than the behavior or manner of compliance a regulated entity must adopt; and
(5) Identify and assess available alternatives to direct regulation, including economic incentives—such as user fees or marketable permits—to encourage the desired behavior, or provide information that enables the public to make choices.
Executive Order 13563 also requires an agency “to use the best available techniques to quantify anticipated present and future benefits and costs as accurately as possible.” The Office of Information and Regulatory Affairs of OMB has emphasized that these techniques may include “identifying changing future compliance costs that might result from technological innovation or anticipated behavioral changes.”
We are issuing this final priority only on a reasoned determination that its benefits justify its costs. In choosing among alternative regulatory approaches, we selected those approaches that maximize net benefits. Based on the analysis that follows, the Department believes that this regulatory action is consistent with the principles in Executive Order 13563.
We also have determined that this regulatory action does not unduly interfere with State, local, and tribal governments in the exercise of their governmental functions.
In accordance with both Executive orders, the Department has assessed the potential costs and benefits, both quantitative and qualitative, of this regulatory action. The potential costs are those resulting from statutory requirements and those we have determined as necessary for administering the Department's programs and activities.
Through this priority, State VR agencies will receive TA to improve the quality of VR services and the competitive integrated employment outcomes achieved by individuals with disabilities, which ultimately will increase the percentage of individuals with disabilities who receive services through the State VR agencies who achieve competitive integrated employment outcomes. This priority would promote the efficient and effective use of Federal funds.
This document provides early notification of our specific plans and actions for this program.
You may also access documents of the Department published in the
Department of Veterans Affairs.
Final rule.
The Department of Veterans Affairs (VA) is amending its adjudication regulations to clarify that a veteran will not receive the dependent rate of disability compensation for a child who is adopted out of the veteran's family. This action is necessary because applicable VA adjudication regulations are currently construed as permitting a veteran, whose former child was adopted out of the veteran's family, to receive the dependent rate of disability compensation for the adopted-out child, which constitutes an unwarranted award of benefits not supported by the applicable statute and legislative history. This document adopts as a final rule, without change, the proposed rule published in the
This rule is effective September 14, 2015.
Stephanie Li, Chief, Regulations Staff (211D), Compensation Service, Department of Veterans Affairs, 810 Vermont Avenue NW., Washington, DC 20420, (202) 461-9700. (This is not a toll-free telephone number.)
On December 2, 2014, VA published in the
VA, therefore, believes Congress did not intend for section 1115 to provide additional disability compensation to a veteran on account of a child who is adopted out of the veteran's family. In such cases, it is clear that any payment to the veteran on account of the adopted-out child would rarely, if ever, fulfill the clear purpose of section 1115 to provide for the expense of supporting that child. As such, VA is amending its regulations, particularly 38 CFR 3.57, 3.58, and 3.458, to eliminate this additional compensation paid to veterans for such children.
Any child, however, who is adopted out of the veterans family does not, as the result of the amendments to 38 CFR 3.57 and 3.58, lose any rights to receive VA benefits in the child's own right, such as dependency and indemnity compensation, which is not necessarily dependent upon a continuing, legally based parent-child relationship.
The proposed rule was published in the
Executive Orders 12866 and 13563 direct agencies to assess the costs and benefits of available regulatory alternatives and, when regulation is necessary, select regulatory approaches that maximize net benefits (including potential economic, environmental, public health, and safety effects, and other advantages; distributive impacts; and equity). Executive Order 13563 (Improving Regulation and Regulatory Review) emphasizes the importance of quantifying both costs and benefits, reducing costs, harmonizing rules, and promoting flexibility. Executive Order 12866 (Regulatory Planning and Review) defines a “significant regulatory action” requiring review by the Office of Management and Budget (OMB), unless OMB waives such review, as “any regulatory action that is likely to result in a rule that may: (1) Have an annual effect on the economy of $100 million or more or adversely affect in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments or communities; (2) Create a serious inconsistency or otherwise interfere with an action taken or planned by another agency; (3) Materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rights and obligations of recipients thereof; or (4) Raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in this Executive Order.”
The economic, interagency, budgetary, legal, and policy implications of this regulatory action have been examined, and it has been determined not to be a significant regulatory action under Executive Order 12866. VA's impact analysis can be found as a supporting document at
The Secretary hereby certifies that this final rule will not have a significant economic impact on a substantial number of small entities as they are defined in the Regulatory Flexibility Act (5 U.S.C. 601-12). This final rule will not directly affect small entities. Therefore, pursuant to 5 U.S.C. 605(b), this rulemaking is exempt from the final regulatory flexibility analysis requirements of section 604.
The Unfunded Mandates Reform Act of 1995 requires, at 2 U.S.C. 1532, that agencies prepare an assessment of anticipated costs and benefits before issuing any rule that may result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more (adjusted annually for inflation) in any one year. This final rule will have no such effect on State, local, and tribal governments, or on the private sector.
This final rule contains no provisions constituting a collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-21).
The Catalog of Federal Domestic Assistance numbers and titles for the
The Secretary of Veterans Affairs, or designee, approved this document and authorized the undersigned to sign and submit the document to the Office of the Federal Register for publication electronically as an official document of the Department of Veterans Affairs. Robert L. Nabors II, Chief of Staff, Department of Veterans Affairs, approved this document on August 7, 2015, for publication.
Administrative practice and procedure, Claims, Disability benefits, Health care, Pensions, Radioactive materials, Veterans, Vietnam.
For the reasons set forth in the preamble, VA amends 38 CFR part 3 as follows:
38 U.S.C. 501(a), unless otherwise noted.
The revisions and additions read as follows:
(a) * * *
(4) For purposes of any benefits provided under 38 U.S.C. 1115, Additional compensation for dependents, the term child does not include a child of a veteran who is adopted out of the family of the veteran. This limitation does not apply to any benefit administered by the Secretary that is payable directly to a child in the child's own right, such as dependency and indemnity compensation under 38 CFR 3.5.
CROSS REFERENCES: Improved pension rates. See § 3.23. Improved pension rates; surviving children. See § 3.24. Child adopted out of family. See § 3.58. Child's relationship. See § 3.210. Helplessness. See § 3.403(a)(1). Helplessness. See § 3.503(a)(3). Veteran's benefits not apportionable. See § 3.458. School attendance. See § 3.667. Helpless children—Spanish-American and prior wars. See § 3.950.
(a) Except as provided in paragraph (b) of this section, a child of a veteran adopted out of the family of the veteran either prior or subsequent to the veteran's death is nevertheless a
(b) A child of a veteran adopted out of the family of the veteran is not a child within the meaning of § 3.57 for purposes of any benefits provided under 38 U.S.C. 1115, Additional compensation for dependents.
CROSS REFERENCES: Child. See § 3.57. Veteran's benefits not apportionable. See § 3.458.
The addition reads as follows:
CROSS REFERENCES: Child. See § 3.57. Child adopted out of family. See § 3.58.
Office of the Secretary, Interior.
Final rule.
The Office of the Secretary is publishing this final rule contemporaneously and in conjunction with the Bureau of Indian Affairs final rulemaking (the BIA final rule) revising the process and criteria for Federal acknowledgment of Indian tribes. This rule establishes procedures for a new optional, expedited hearing process for petitioners who receive a negative proposed finding for Federal acknowledgment.
This rule is effective September 14, 2015.
Karl Johnson, Senior Attorney, Office of Hearings and Appeals, Departmental Cases Hearings Division, (801) 524-5344;
This final rule establishes procedures for the hearing process, including provisions governing prehearing conferences, discovery, motions, an evidentiary hearing, briefing, and issuance by the administrative law judge (ALJ) of a recommended decision on Federal acknowledgment of an Indian tribe for consideration by the Assistant Secretary—Indian Affairs (AS-IA). This final rule complements the BIA final rule published in the July 1, 2015
Our proposed rule also contained procedures for a new re-petition authorization process which the BIA proposed establishing in its proposed rule. Because the BIA is not incorporating that process into the BIA final rule, our final rule does not contain procedures for that process.
The other primary differences between our proposed rule and this final rule are:
• This final rule allows only a DCHD ALJ to preside over the hearing process.
• Except under extraordinary circumstances, this final rule:
(1) Does not allow discovery;
(2) limits the scope of evidence admissible at hearing to documentation in the administrative record reviewed by OFA and testimony clarifying or explaining information in that documentation; and
(3) limits witnesses to expert witnesses and OFA staff who participated in preparation of the negative proposed finding.
• This final rule extends a few of the deadlines in the proposed rule, including allowing 15 more days to file motions to intervene, while streamlining the hearing process overall by the aforementioned limits on discovery, the scope of evidence, and witnesses.
• This final rule does not incorporate the proposed rule's provision requiring direct testimony to be submitted in writing.
• This final rule establishes procedures for obtaining protective orders limiting disclosure of information that is confidential or exempt by law from public disclosure.
The proposed rule was published on June 19, 2014. See 79 FR 35129. We extended the initial comment deadline of August 18, 2014, to September 30, 2014, see 79 FR 44150, to comport with the BIA's extension of the comment period for its proposed rule. As more fully explained in the preamble to the BIA final rule, the Department held public meetings, teleconferences, and separate consultation sessions with federally recognized Indian tribes in July and August of 2014. During the public comment period, we received seven written comment submissions on our proposed rule.
Some comments pertain to the BIA proposals to (1) eliminate the process for reconsideration of the AS-IA's determination by the Interior Board of Indian Appeals (IBIA) found at 25 CFR 83.1, (2) establish the opportunity for the hearing process under proposed 25 CFR 83.38(a) and 83.39, and (3) establish the opportunity for the re-petition authorization process under proposed 25 CFR 83.4. We address only briefly the comments we received on these and any other proposals made in the BIA proposed rule. Those proposals, along with additional comments which the BIA received, are more fully addressed in the BIA final rule.
We have reviewed each of the comments received by us and have made several changes to the proposed rule in response to these comments. The following is a summary of comments received and our responses.
The BIA's proposed rule would eliminate the process for IBIA reconsideration of the AS-IA's determination found at 25 CFR 83.11, and would replace it with a new hearing process under proposed 25 CFR 83.38(a) and 83.39. The new process would be governed by procedures in our proposed rule. One commenter stated that the IBIA reconsideration process should be retained because it allows interested parties other than the petitioner to seek independent review of acknowledgment determinations that is not available under the proposed hearing process.
Proposed §§ 4.1060 through 4.1063 identify procedures for re-petitioning under 25 CFR 83.4(b) of the BIA proposed rule. Under that proposed re-petition process, an OHA judge could authorize an unsuccessful petitioner to re-petition for Federal acknowledgment if certain conditions are met. One condition, identified by some commenters as the “third-party veto,” would require written consent for re-petitioning from any third party that participated as a party in an administrative reconsideration or Federal Court appeal concerning the unsuccessful petition. Two commenters opposed the proposed “third-party veto” and one opposed allowing for any re-petitioning.
25 CFR 83.10(a) in the BIA proposed rule attempted to clarify the meaning of the “reasonable likelihood” standard of proof found at 25 CFR 83.6(d). Section 4.1047 in our proposed rule repeated the language of proposed § 83.10(a). One commenter supported the “reasonable likelihood” standard of proof in proposed § 4.1047, while one commenter stated that the proposed definition for “reasonable likelihood” comes from the criminal law context and, as such, is too low.
A few commenters requested the addition of requirements to notify local governments of petitions, OFA proposed findings, and elections of hearings.
25 CFR 83.38(a) in the BIA proposed rule would allow only a petitioner receiving a negative proposed finding to request a hearing. One commenter believed, in the interest of fairness, that other interested parties should be able to request a hearing after a positive proposed finding.
Proposed § 4.1021 would allow for intervention of right by any entity who files a motion to intervene demonstrating that the entity has an interest that may be adversely affected by the final determination. Several commentators asserted that State or local governmental entities should be recognized automatically as intervenors.
Our final rule adopts the proposed rule approach of allowing for intervention of right by any entity who files a motion to intervene demonstrating that the entity has an interest that may be adversely affected by the final determination. See § 4.1021. Conditioning intervention on the filing of a motion showing such an interest is not a heavy burden. It allows other parties the opportunity to express opposing viewpoints to facilitate confirmation of whether the entity indeed has such an interest.
Proposed § 4.1050 would require issuance of a recommended decision within 180 days after issuance of the docketing notice, unless the ALJ issues an order finding good cause to issue the recommended decision at a later date. A few commenters stated that this time limit is too aggressive and recommended lengthening the time period. One added that, at a minimum, proposed § 4.1050 should allow for an automatic 90-day extension of the time limit upon the petitioner's request and that the OHA judge should liberally grant further extension requests, especially where the petitioner needs more time to prepare its case due to resource limitations.
Proposed § 4.1021 would require that a motion to intervene be filed within 15 days after election of the hearing. A few commenters asserted that this time period is too short.
25 CFR 83.38 in the BIA proposed rule would allow the petitioner 60 days after the end of the comment period for a negative proposed finding to elect a hearing and/or respond to any comments. If the petitioner elects a hearing, the petitioner must list in its written election the witnesses and exhibits it intends to present at the hearing. One commenter stated that the 60-day period for the petitioner to provide witness and exhibit information is too short.
Some adjustments to timeframes have been made to address the comments, including doubling the time period for intervention from 15 days to 30 days. See § 4.1021. The BIA final rule also allows an extra 60 days for the petitioner to provide witness and exhibit information in the election of hearing by establishing that the petitioner's period to respond to comments on OFA's negative proposed finding and period for election of a hearing run consecutively rather than simultaneously. See 25 CFR 83.38.
In the proposed rule, we invited comment on whether the hearing record should include all evidence in OFA's administrative record for the petition or be limited to testimony and exhibits specifically identified by the parties. A few commenters stated that the hearing record should encompass the whole administrative record plus any information submitted in the hearing.
The final rule does limit admissible evidence to documentation in the OFA administrative record and to testimony clarifying or explaining the information in that documentation. See § 4.1046. The final rule also limits who may testify to expert witnesses and OFA staff who participated in preparation of the negative proposed finding. See § 4.1042. The ALJ may admit other evidence or allow other persons to testify only under extraordinary circumstances.
These limits will afford the parties the opportunity to clarify the record, without expanding the record beyond what was before OFA. The limits will encourage the petitioner and all others to be diligent in gathering and presenting to OFA all their relevant evidence and discourage strategic withholding of evidence. This will ensure that OFA's proposed finding is based on the most complete record possible, allowing the ALJ to focus on discrete issues in dispute if a hearing is requested.
The BIA received comments on its proposed rule expressing concern that petitions may contain confidential information that should be protected from disclosure. Those comments prompted the addition of a new section in this rule containing procedures for obtaining protective orders limiting disclosure of information which is confidential or exempt by law from public disclosure.
A corresponding change has been made in one of the criteria for allowing discovery in § 4.1031(b). Proposed § 4.1031(b)(4) would require a showing “[t]hat any trade secrets or proprietary information can be adequately safeguarded.” The phrase “trade secrets or proprietary information” has been changed to “confidential information”
Regarding discovery generally, proposed § 4.1031 would allow for discovery by agreement of the parties or by order of the judge if certain criteria are met. Those criteria are similar to standards typically used by various tribunals.
The final rule limits discovery more strictly, eliminating discovery by agreement of the parties, and requiring not only that those criteria be met, but also that extraordinary circumstances exist to justify the discovery. Consistent with these limitations, the final rule removes many provisions addressing the details of discovery, allowing the ALJ to exercise his or her discretion to tailor discovery in the rare instance where extraordinary circumstances exist.
These changes were prompted in part by general comments that the proposed 180-day time limit for the hearing process is too short. Also influential were more specific comments that petitioners may lack resources to engage in prehearing procedures or to prepare their cases in a timely manner in light of the expedited nature of the hearing process.
Discovery can be time-consuming and require large expenditures of resources, and thus could be burdensome for petitioners and other parties as well, especially given the time sensitive nature of the expedited hearing process. Limiting discovery will alleviate those burdens, leaving more time and resources for other case preparation activities.
This benefit outweighs the impediment to case preparation, if any, that limiting discovery may pose. The need for discovery should be rare in light of the case preparation that occurs prior to the petitioner's election of a hearing, the limited scope of the hearing record, and the availability of OFA's administrative record to all parties. In the rare instances where extraordinary circumstances justify discovery, the ALJ may customize it to serve justice while striving to keep case preparation moving forward in a timely manner.
In the proposed rule, any of several different employees of OHA could be assigned to preside as the judge over the hearing process: An administrative law judge appointed under 5 U.S.C. 3105, an administrative judge (AJ), or an attorney designated by the OHA Director. See § 4.1001, definition of “judge.” We invited comments on who is an appropriate OHA judge to preside. Two commenters stated that an ALJ is most appropriate. One preferred an AJ. Most identified impartiality or independence as a desirable trait. One stated that regardless of what type of judge presides over the hearing, the judge should have some background in Indian law.
One commenter strongly supported the provisions recognizing a petitioner's right to orally cross-examine OFA staff who participated in preparation of the negative proposed finding, requiring submittal of written direct testimony prior to the hearing for efficiency, and allowing parties to supplement and amend testimony when absolutely necessary. This commenter also stated that the proposed rule would require only senior Department employees to be subject to subpoena or discovery. The commenter urged us to clarify that all OFA staff and consultants who participated in preparation of the proposed finding would be subject to discovery and subpoena under proposed § 4.1031(h)(3) and proposed § 4.1037(a)(2).
Please note, however, with respect to all persons, the final rule limits discovery to situations where extraordinary circumstances exist. See § 4.1031. Under the final rule, in the absence of extraordinary circumstances, OFA staff who participated in the preparation of the negative proposed finding still may be deposed for the preservation of testimony, as opposed to for discovery purposes, and may be subpoenaed. However, if the staff member is a senior Department employee, the deposition or subpoena will be allowed only if certain conditions are met. See §§ 4.1033(b)(3) and 4.1035(a)(2).
The proposed rule's requirement to submit direct testimony in writing prior to the hearing is not being incorporated into the final rule. This requirement was designed to shorten the hearing to facilitate compliance with the 180-day time limit for issuance of the recommended decision. However, the requirement is burdensome for the parties and the burden is no longer justified because the final rule adopts other measures to streamline the hearing process. Those measures include limiting discovery, the scope of admissible evidence, and the witnesses who may testify. See §§ 4.1031, 4.1042, and 4.1046.
One commenter made suggestions for facilitating petitioner participation in the hearing process, stating that hearings should be held in a location near the petitioner, that telephonic conferences should be allowed, and that filing and service of documents by priority mail should be allowed as an alternative to the proposed rule's requirements that overnight mail or delivery services be used for both filing and service. See proposed § 4.1012(b) and proposed § 4.1013(c). These suggestions are based in part upon the commenter's stated concern that a petitioner's participation may be impeded by a lack of resources. The commenter also observed that some petitioners may be in remote locations without access to overnight mail or delivery services.
Regarding telephonic conferences, both the proposed and final rule include a provision that conferences will ordinarily be held by telephone. See § 4.1022(d) and proposed § 4.1022(c).
The suggestion to allow for filing and service of documents by priority mail has not been adopted. Requiring filing and service by overnight delivery promotes compliance with time limits for specific actions as well as with the overall time limit for the hearing process of 180 days. The use and cost of overnight delivery can be avoided by filing and serving a document by facsimile transmission and regular mail if the document is 20 pages or less. See § 4.1012(b)(iii). Given the limits on discovery and admissible evidence, we do not anticipate a large volume of exchanges of documents exceeding 20 pages. Nevertheless, to address the rare situation where mandating strict compliance with the prescribed filing and service methods would be unfair, the final rule adds language to both §§ 4.1012(b) and 4.1013(c) giving the ALJ discretion to allow deviation from those methods.
In the proposed rule we included summary decision procedures, see proposed § 4.1023, and invited comments on whether the final rule should include them. A commenter stated that they will be beneficial but that there should be a safeguard to address situations where petitioners lack the resources to respond to motions for summary decision.
Further, the final rule modifies the summary decision procedures in the proposed rule to conform to the present version of Rule 56 of the Federal Rules of Civil Procedure. This includes the addition of a provision that allows the ALJ to issue appropriate orders other than a recommended summary decision where a party fails to properly address another party's assertion of fact. See § 4.1023(e). Thus, if a party does not respond properly to a motion for summary decision because of a lack of resources or otherwise, the ALJ has discretion whether or not to issue a recommended summary decision. Even if the ALJ feels that summary decision in a given case is technically proper, sound judicial policy and the proper exercise of judicial discretion may prompt the ALJ to deny the motion and permit the case to be developed fully at hearing since the movant's ultimate legal rights can always be protected in the course of or even after hearing. See,
One commenter stated that the proposed rule should allow DNA results to be used to determine “Indian Blood Line” and qualify people as “Indian.”
The following discussion briefly describes the changes the final rule makes to the proposed rule, while the complete, final regulatory text follows this section. We do not discuss regulations that have not been changed or that were changed only in minor ways such as by correcting regulatory citations, restyling, or substituting the term “ALJ” for “judge” or “DCHD” for “OHA,” see § 4.1001 discussed below. The reader may wish to consult the preamble of the proposed rule and the “Comments on the Proposed Rule and the Department's Responses” portion of this preamble for additional explanation of the regulations.
This section in the proposed rule contained definitions for “OHA” and “judge,” with judge being defined to include several different employees of OHA who could be assigned to preside over the hearing process: an administrative law judge appointed under 5 U.S.C. 3105, an administrative judge (AJ), or an attorney designated by the OHA Director. The definitions of “OHA” and “judge” have been removed and replaced with definitions “DCHD” and “ALJ,” respectively, so that only a DCHD ALJ may preside over the hearing process. Those terms are substituted for OHA and judge in many other sections of this final rule.
Because the final rule removes proposed §§ 4.1060 through 4.1063 containing the re-petition authorization process, the definitions of “re-petition authorization process” and “unsuccessful petitioner” in this section of the proposed rule have also been removed and the definition of “representative” has been modified.
Because the final rule removes proposed §§ 4.1060 through 4.1063 containing the re-petition authorization process, those portions of this section pertaining to that process have also been removed: Paragraph (b) and the reference to that process in paragraph (c). Accordingly, paragraph (c) has been redesignated paragraph (b).
Because the final rule removes proposed §§ 4.1060 through 4.1063 containing the re-petition authorization process, those portions of this section pertaining to that process have also been removed: Paragraph (d) and the reference to that process in paragraphs (a), (b), and (c). The remaining text of § 4.1003 has been rearranged but not altered in meaning, except for the following. Because proposed § 4.1017(a) has been modified to preclude ex parte communications in accordance with 43 CFR 4.27, proposed § 4.1003 has been modified to state that the provisions of 43 CFR part 4, subpart B do not apply, “except as provided in § 4.1017(a).”
Because the final rule removes proposed §§ 4.1060 through 4.1063 containing the re-petition authorization process, that portion of this section referencing that process has also been removed.
Because, under the final rule, only an ALJ employed by DCHD may preside over the hearing process, the place of filing has been changed to DCHD. In the proposed rule, this section provides that documents must be filed with the Office of the Director, OHA, because several different types of OHA employees from various OHA organizations could be assigned to serve as the judge presiding over the hearing process. This section provides relevant contact information for DCHD, and identifies the methods by which documents can be filed there.
Because the final rule modifies § 4.1031 to limit discovery to situations where extraordinary circumstances exist, the ALJ's listed power in this section to authorize discovery has been qualified so that discovery may be authorized “under extraordinary circumstances.” The final rule also adds to this section's list of ALJ powers the power to impose non-monetary sanctions for a person's failure to comply with an ALJ order or provision of this subpart. This addition substitutes for proposed § 4.1036, which pertained to the imposition of sanctions and which has been eliminated. See § 4.1036.
Proposed § 4.1017 prohibits ex parte communications in accordance with 5 U.S.C. 554(d), which applies only to adjudications required by statute to be determined on the record after opportunity for an agency hearing. Because the hearing process is not such an adjudication, § 4.1017 has been reworded to prohibit ex parte communications in accordance with 43 CFR 4.27(b). While § 4.27(b) does not have the section 554(d) prohibition against the presiding hearing officer being responsible to or subject to the supervision or direction of the investigating or prosecuting agency, this difference is immaterial because ALJs are not responsible to or subject to the supervision or direction of OFA or the AS-IA.
In furtherance of the Department's policy of applying each criterion for Federal acknowledgment consistently with, and no more stringently than, its application in prior Departmental final decisions, § 4.1019 has been added to identify how a party may submit prior decisions for the ALJ's consideration. The ALJ will consider proper submittals of relevant Departmental final decisions and the ALJ's recommended decision should be consistent therewith.
The BIA's final companion rule changes the place for filing a petitioner's election of hearing from OFA, as proposed, to the DCHD (within OHA). See 25 CFR 83.38(a). To reflect this change, the final rule slightly modifies § 4.1020 and revises its title to read: “What will DCHD do upon receiving the election of hearing from a petitioner?” Also, under the final rule, OFA will not be sending the entire administrative record to DCHD, but instead will send only a copy of the proposed finding, critical documents from the administrative record that are central to the portions of the negative proposed finding at issue, and any comments and evidence and responses sent in response to the proposed finding. See 25 CFR 83.39(a).
This section doubles the period for filing a motion to intervene from the proposed 15 days to 30 days after issuance of the hearing election notice under 25 CFR 83.39(a). Another modification pertains to the proposed provisions requiring that a motion to intervene include the movant's position with respect to the issues of material fact raised in the election of hearing and precluding an intervenor from raising issues of material fact beyond those raised in the election. See proposed § 4.1021(b)(2) and (f)(3). Those provisions have been modified to apply not only to issues of material fact, but also to issues of law. See § 4.1021(b)(2) and (f)(3).
The final rule also eliminates proposed paragraph (e)(4), which states that the ALJ, in determining whether permissive intervention is appropriate, will consider “[t]he effect of intervention on the Department's implementation of its statutory mandates.” This language, like much of the proposed rule, was patterned after language in the hydropower hearing regulations at 43 CFR part 45. The statutory provisions governing those hearings imposed certain requirements, including that the hearing process be completed in 90 days. There are no similar statutory mandates applicable to the hearing process addressed in this rule. Therefore, paragraph (e)(4) has been eliminated.
This section extends the deadline for conducting the initial prehearing conference from the proposed 35 days to 55 days after issuance of the docketing notice, because the preceding deadline for filing a motion to intervene is being extended under § 4.1021. This section also removes written testimony from the list of topics for discussion at the initial prehearing conference under paragraph (a) and removes discovery from that list and the topics for discussion at the parties' meeting under paragraph (e). These topics have been removed because they will rarely be discussed, given that the final rule restricts the use of discovery to extraordinary circumstances and eliminates the requirement in proposed § 4.1042 to submit direct testimony in writing.
This section has been reorganized and reworded to conform to the latest version of Rule 56 of the Federal Rules of Civil Procedure. Most of the changes are not substantive. Paragraph (e) does afford the ALJ more flexibility in addressing situations where a party fails to properly support an assertion of fact or fails to properly address another party's assertion of fact, allowing the ALJ to issue any appropriate order. Paragraph (f) makes explicit the ALJ's authority to issue, after giving notice and a reasonable opportunity for the parties to respond, a recommended summary decision independent of a motion for recommended summary decision. References to forms of discovery have been eliminated from the list of materials used to support a parties' position because the final rule restricts discovery to extraordinary circumstances and we expect that the use of discovery will be rare.
Proposed § 4.1031 would allow for discovery by agreement of the parties or by order of the judge if the certain
This section of the final rule limits discovery more strictly, requiring not only that those criteria be met, but also that extraordinary circumstances exist to justify the discovery. Further, discovery by agreement of the parties has been eliminated.
Because of these changes and the expectation that the use of discovery will be rare, this section has been renamed and modified as follows: (1) Proposed paragraphs (f) and (g), addressing discovery of materials prepared for hearing and facts known or opinions held by experts, and proposed paragraph (i), pertaining to completion of discovery, have been eliminated; and (2) proposed paragraph (h), which would limit depositions to those for the purpose of preserving testimony as opposed to for discovery purposes, has also been eliminated. However, the criteria in proposed paragraph (h) for the ALJ to authorize depositions for preserving testimony have been moved to a new § 4.1033. The effect of modification (2) is that depositions for discovery purposes may now be allowed, but, like other discovery, only under extraordinary circumstances and if otherwise in accordance with § 4.1031.
Consistent with the final rule's extension of the deadlines for filing motions to intervene and conducting the initial prehearing conference, this section also extends the deadlines for filing discovery motions, if any, from the proposed 20 days to 30 days after issuance of the docketing notice for discovery sought between the petitioner and OFA and from the proposed 30 days to 50 days after issuance of the docketing notice for discovery sought between a full intervenor and another party.
One of the criteria for allowing discovery in proposed paragraph (b) is “[t]hat any trade secrets or proprietary information can be adequately safeguarded.” The phrase “trade secrets or proprietary information” has been changed to “confidential information.”
Because of the final rule's stricter limitations on discovery and the expectation that the use of discovery will be rare, proposed § 4.1032(a), addressing supplementation or amendment of discovery responses, has been deleted and the other paragraphs have been redesignated accordingly. For the same reason, the deadline for updating witness and exhibit lists has been changed from the proposed 10 days after the date set for completion of discovery to 15 days prior to the hearing date, unless otherwise ordered by the ALJ.
Proposed § 4.1033 pertains to written interrogatories. Because of the final rule's stricter limitations on discovery and the expectation that the use of discovery will be rare, proposed § 4.1033 has been eliminated and a new § 4.1033, pertaining to depositions for the purpose of preserving testimony, has been added.
Proposed § 4.1031(h) contains criteria for the ALJ to authorize depositions for the purpose of preserving testimony. Proposed § 4.1034 contained a long delineation of procedures for those depositions. Section 4.1033 is a new, much shorter section pertaining to depositions for preserving testimony, and states that depositions for discovery purposes are governed by § 4.1031.
This section incorporates the criteria in proposed § 4.1031(h) and the requirements for a motion and notice for a deposition in proposed § 4.1034(a). Both proposed § 4.1031(h) and proposed § 4.1034 have been eliminated.
We have created a much shorter deposition section because we expect that depositions will be conducted rarely, given the new limits on the scope of the hearing record and on the persons who may testify. In the absence of the long delineation of procedures, the ALJ may customize the deposition procedures to serve justice while striving to keep case preparation moving forward in a timely manner.
Proposed § 4.1034, containing a long delineation of procedures for depositions for preserving testimony, has been eliminated. A new § 4.1033 has been added, as explained in the immediately preceding paragraphs, to address depositions for preserving testimony.
This new section is being added to establish procedures for obtaining protective orders limiting disclosure of information which is confidential or exempt by law from public disclosure. Under this section, a party or a prospective witness or deponent may file a motion requesting a protective order to limit from disclosure to other parties or to the public a document or testimony containing information which is confidential or exempt by law from public disclosure. Ordinarily, documents and testimony introduced into the public hearing process are presumed to be public so this section requires the movant to describe the information sought to be protected and explain, among other things, why it should not be disclosed and how disclosure would be harmful. In issuing a protective order, the ALJ may make any order which justice requires to protect the person, consistent with the mandatory public disclosure requirements of the Freedom of Information Act, 5 U.S.C. 552(b), and other applicable law.
Proposed § 4.1035 pertains to requests for the production of documents and other tangible things. Because of the final rule's stricter limitations on discovery and the expectation that the use of discovery will be rare, proposed § 4.1035 has been eliminated.
Proposed § 4.1036 delineates the circumstances under which the ALJ could impose sanctions and the types of sanctions imposable. The focus is on sanctions for failures relating to discovery. Because of the final rule's stricter limitations on discovery and the expectation that the use of discovery will be rare, proposed § 4.1036 has been eliminated. However, a shorter provision acknowledging the ALJ's power to impose sanctions has been added to § 4.1014.
Because of the elimination of proposed § 4.1035 and proposed § 4.1036, proposed § 4.1037 has been redesignated § 4.1035. Paragraph (a)(2) of this section has been reworded to clarify that a party may subpoena any OFA employee who participated in the preparation of the negative proposed finding, except if the employee is a senior Department employee, the party must show that certain conditions are met.
A new paragraph (d)(3)(ii) has been added to this section because of the final rule's new limits on witnesses and
Proposed § 4.1040 provides that the hearing would generally be held “within 20 days after the date for completion of discovery,” which would be approximately within 90 days after issuance of the docketing notice. Because of the final rule's stricter limitations on discovery and the expectation that the use of discovery will be rare, the quoted language has been changed to “within 90 days after the date DCHD issues the docketing notice under § 4.1020(a)(3).”
With respect to where the hearing will be held, this section states that the ALJ “will consider the convenience of all parties, their representatives, and witnesses in setting the time and place for hearing.”
Proposed § 4.1041(b) provides that the petitioner would have the right to cross-examine OFA staff who participated in the preparation of the negative proposed finding. Because this provision might be interpreted as precluding other parties from cross-examining such staff, § 4.1041 has been reorganized and reworded to make clear that each party has the right to cross-examine such staff if called as a witness by another party.
Proposed § 4.1042 has been renamed and redesignated § 4.1043.
The final rule adds this section which limits the persons who may testify, except under extraordinary circumstances, to (1) persons who qualify as expert witnesses, and (2) OFA staff who participated in the preparation of the negative proposed finding.
Proposed § 4.1042 has been renamed and redesignated § 4.1043. The provisions in proposed § 4.1042 requiring the submittal of direct testimony in writing and detailing the requirements for written testimony have been eliminated. Proposed §§ 4.1042(c)(1) and (c)(2) contain minutiae for telephone testimony that are obvious matters of standard practice which have also been eliminated. The remainder of proposed § 4.1042 has been reorganized and reworded and incorporated into § 4.1043 without change in meaning.
Proposed § 4.1043 has been redesignated § 4.1044.
Proposed § 4.1044 has been redesignated § 4.1045 and modified by adding paragraph (b) and redesignating the following paragraphs accordingly. Paragraph (b) recognizes the ALJ's authority, on his or her own initiative, to admit into evidence any document from OFA's administrative record, provided the parties are notified and given an opportunity to comment. This modification is consistent with the modification to § 4.1023, which explicitly recognizes the ALJ's authority to issue, after giving notice and a reasonable opportunity for the parties to respond, a recommended summary decision independent of a motion for recommended summary decision.
Proposed paragraph (c), redesignated paragraph (d) in the final rule, would allow the ALJ, at the request of any party, to take official notice of certain matters, including public records of any Department party. The term “any Department party” derives from procedures governing hydropower hearings at 43 CFR 45.54(c), is confusing in its application to the hearing process under these Federal acknowledgment regulations, and would allow the taking of official notice of matters in OFA's administrative record. The better mechanism for admitting into evidence materials from OFA's administrative record is the parties offering them for admission at hearing. Therefore, the provision has been reworded to allow the ALJ to take official notice of public records of the “Department,” except materials in OFA's administrative record.
Proposed § 4.1045 has been redesignated § 4.1046 and modified to limit the scope of admissible evidence to documentation in OFA's administrative record, and testimony clarifying or explaining the information in that documentation, except if the party seeking to admit the information explains why the information was not submitted for inclusion in OFA's administrative record and demonstrates that extraordinary circumstances exist justifying admission of the information.
Proposed § 4.1046 has been redesignated § 4.1047 and states that the hearing must be transcribed verbatim. This section also states that transcripts will be presumed to be correct, and includes procedures for correcting a transcript.
Proposed § 4.1047 has been redesignated § 4.1048. Proposed § 4.1047 attempted to clarify the meaning of the “reasonable likelihood” standard of proof found at 25 CFR 83.6(d). The final rule retains the current “reasonable likelihood” standard of proof and eliminates the proposed interpreting language.
Proposed § 4.1048 has been redesignated § 4.1049 and modified to allow the ALJ to admit evidence after the close of the hearing record in accordance with the modification at § 4.1045(b)(1), which authorizes the ALJ to admit evidence on his or her own initiative. See § 4.1045.
Proposed § 4.1049 has been redesignated § 4.1050.
Proposed § 4.1050 has been redesignated § 4.1051.
Executive Order (E.O.) 12866 provides that the Office of Information and Regulatory Affairs (OIRA) at the Office of Management and Budget (OMB) will review all significant rules. OIRA has determined that this rule is not significant.
E.O. 13563 reaffirms the principles of E.O. 12866 while calling for improvements in the nation's regulatory system to promote predictability, to reduce uncertainty, and to use the best, most innovative, and least burdensome tools for achieving regulatory ends. The E.O. directs agencies to consider regulatory approaches that reduce
The Department of the Interior certifies that this rule will not have a significant economic effect on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
This rule is not a major rule under 5 U.S.C. 804(2), the Small Business Regulatory Enforcement Fairness Act. It will not result in the expenditure by State, local, or tribal governments, in the aggregate, or by the private sector of $100 million or more in any one year. The rule's requirements will not result in a major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions. Nor will this rule have significant adverse effects on competition, employment, investment, productivity, innovation, or the ability of the U.S.-based enterprises to compete with foreign-based enterprises because the rule is limited to Federal acknowledgment of Indian tribes.
This rule does not impose an unfunded mandate on State, local, or tribal governments or the private sector of more than $100 million per year. The rule does not have a significant or unique effect on State, local, or tribal governments or the private sector. A statement containing the information required by the Unfunded Mandates Reform Act (2 U.S.C. 1531
Under the criteria in Executive Order 12630, this rule does not affect individual property rights protected by the Fifth Amendment nor does it involves a compensable “taking.” A takings implication assessment is therefore not required.
Under the criteria in Executive Order 13132, this rule has no substantial direct effect on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.
This rule complies with the requirements of Executive Order 12988. Specifically, this rule has been reviewed to eliminate errors and ambiguity and written to minimize litigation; and is written in clear language and contains clear legal standards.
In accordance with the President's memorandum of April 29, 1994, “Government-to-Government Relations with Native American Tribal Governments,” 59 FR 22951 (May 4, 1994), supplemented by Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, 65 FR 67249 (Nov. 6, 2000), and 512 DM 2, the Department has assessed the impact of this rule on Tribal trust resources and has determined that it does not directly affect Tribal resources. The rules are procedural and administrative in nature. However, the Department has consulted with federally recognized Indian tribes regarding the companion proposed rule being published concurrently by the BIA. That rule is an outgrowth of the “Discussion Draft” of the Federal acknowledgment rule, which the Department distributed to federally recognized Indian tribes in June 2013, and on which the Department hosted five consultation sessions with federally recognized Indian tribes throughout the country in July and August 2013. Several federally recognized Indian tribes submitted written comments on that rule. The Department considered each tribe's comments and concerns and has addressed them, where possible. The Department will continue to consult on that rule during the public comment period and tribes are encouraged to provide feedback on this proposed rule during those sessions as well.
The information collection requirements are subject to an exception under 25 CFR part 1320 and therefore are not covered by the Paperwork Reduction Act.
This rule does not constitute a major Federal action significantly affecting the quality of the human environment because it is of an administrative, technical, and procedural nature. See 43 CFR 46.210(i). No extraordinary circumstances exist that would require greater review under the National Environmental Policy Act.
This rule is not a significant energy action under the definition in Executive Order 13211. A Statement of Energy Effects is not required.
Administrative practice and procedure, Hearing procedures, Indians—tribal government.
5 U.S.C. 301; 25 U.S.C. 2, 9, 479a-1.
As used in this subpart:
(1) Is authorized by a party to represent the party in a hearing process under this subpart; and
(2) Has filed an appearance under § 4.1010.
(a) The purpose of this subpart is to establish rules of practice and procedure for the hearing process available under 25 CFR 83.38(a)(1) and 83.39 to a petitioner for Federal acknowledgment that receives from OFA a negative proposed finding on Federal acknowledgment and elects to have a hearing before an ALJ. This subpart includes provisions governing prehearing conferences, discovery, motions, an evidentiary hearing, briefing, and issuance by the ALJ of a recommended decision on Federal acknowledgment for consideration by the Assistant Secretary—Indian Affairs (AS-IA).
(b) This subpart will be construed and applied to each hearing process to achieve a just and speedy determination, consistent with adequate consideration of the issues involved.
(a) The rules which apply to the hearing process under this subpart are the provisions of §§ 4.1001 through 4.1051.
(b) Notwithstanding the provisions of § 4.20, the general rules in subpart B of this part, do not apply to the hearing process, except as provided in § 4.1017(a).
(a)
(1) The day of the act or event from which the period begins to run is not included.
(2) The last day of the period is included.
(i) If that day is a Saturday, Sunday, or other day on which the Federal government is closed for business, the period is extended to the next business day.
(ii) The last day of the period ends at 5 p.m. at the place where the filing or other action is due.
(3) If the period is less than 7 days, any Saturday, Sunday, or other day on which the Federal government is closed for business that falls within the period is not included.
(b)
(2) An extension of time to file any other document under this subpart may be granted only upon a showing of good cause.
(i) To request an extension of time, a party must file a motion under § 4.1018 stating how much additional time is needed and the reasons for the request.
(ii) The party must file the motion before the applicable time period expires, unless the party demonstrates extraordinary circumstances that justify a delay in filing.
(iii) The ALJ may grant the extension only if:
(A) It would not unduly prejudice other parties; and
(B) It would not delay the recommended decision under § 4.1051.
(a)
(b)
(1) An attorney;
(2) A partner, if the entity is a partnership;
(3) An officer or full-time employee, if the entity is a corporation, association, or unincorporated organization;
(4) A receiver, administrator, executor, or similar fiduciary, if the entity is a receivership, trust, or estate; or
(5) An elected or appointed official or an employee, if the entity is a federal, state, tribal, county, district, territorial, or local government or component.
(c)
(d)
(1) Meet the form and content requirements for documents under § 4.1011;
(2) Include the name and address of the person on whose behalf the appearance is made;
(3) If the representative is an attorney (except for an attorney with the Office of the Solicitor), include a statement that he or she is a member in good standing of the bar of the highest court of a state, the District of Columbia, or any territory or commonwealth of the United States (identifying which one); and
(4) If the representative is not an attorney, include a statement explaining his or her authority to represent the entity.
(e)
(a)
(1) Measure 8-1/2 by 11 inches, except that a table, chart, diagram, or other attachment may be larger if folded to 8-1/2 by 11 inches and attached to the document;
(2) Be printed on just one side of the page;
(3) Be clearly typewritten, printed, or otherwise reproduced by a process that yields legible and permanent copies;
(4) Use 12-point font size or larger;
(5) Be double-spaced except for footnotes and long quotations, which may be single-spaced;
(6) Have margins of at least 1 inch; and
(7) Be bound on the left side, if bound.
(b)
(1) The name of the case under this subpart and the docket number, if one has been assigned;
(2) The name and docket number of the proceeding to which the case under this subpart relates; and
(3) A descriptive title for the document, indicating the party for whom it is filed and the nature of the document.
(c)
(1) He or she has read the document;
(2) The statements in the document are true to the best of his or her knowledge, information, and belief; and
(3) The document is not being filed for the purpose of causing delay.
(d)
(a)
(b)
(i) By hand delivery of the original document;
(ii) By sending the original document by express mail or courier service for delivery on the next business day; or
(iii) By sending the document by facsimile if:
(A) The document is 20 pages or less, including all attachments;
(B) The sending facsimile machine confirms that the transmission was successful; and
(C) The original of the document is sent by regular mail on the same day.
(2) Parties are encouraged, but not required, to supplement any filing by providing the appropriate office with an electronic copy of the document on compact disc.
(c)
(d)
(a)
(b)
(c)
(1) By hand delivery of the document;
(2) By sending the document by express mail or courier service for delivery on the next business day; or
(3) By sending the document by facsimile if:
(i) The document is 20 pages or less, including all attachments;
(ii) The sending facsimile machine confirms that the transmission was successful; and
(iii) The document is sent by regular mail on the same day.
(d)
(1) The name, address, and other contact information of each party's representative on whom the document was served;
(2) The means of service, including information indicating compliance with paragraph (c)(3) or (4) of this section, if applicable; and
(3) The date of service.
The ALJ has all powers necessary to conduct the hearing process in a fair,
(a) Administer oaths and affirmations;
(b) Issue subpoenas to the extent authorized by law;
(c) Rule on motions;
(d) Authorize discovery under exceptional circumstances as provided in this subpart;
(e) Hold hearings and conferences;
(f) Regulate the course of hearings;
(g) Call and question witnesses;
(h) Exclude any person from a hearing or conference for misconduct or other good cause;
(i) Impose non-monetary sanctions for a person's failure to comply with an ALJ order or provision of this subpart;
(j) Issue a recommended decision; and
(k) Take any other action authorized by law.
(a) If the ALJ becomes unavailable or otherwise unable to perform the duties described in § 4.1014, DCHD will designate a successor.
(b) If a hearing has commenced and the ALJ cannot proceed with it, a successor ALJ may do so. At the request of a party, the successor ALJ may recall any witness whose testimony is material and disputed, and who is available to testify again without undue burden. The successor ALJ may, within his or her discretion, recall any other witness.
(a) The ALJ may withdraw from a case at any time the ALJ deems himself or herself disqualified.
(b) At any time before issuance of the ALJ's recommended decision, any party may move that the ALJ disqualify himself or herself for personal bias or other valid cause.
(1) The party must file the motion promptly after discovering facts or other reasons allegedly constituting cause for disqualification.
(2) The party must file with the motion an affidavit or declaration setting forth the facts or other reasons in detail.
(c) The ALJ must rule upon the motion, stating the grounds for the ruling.
(1) If the ALJ concludes that the motion is timely and meritorious, he or she must disqualify himself or herself and withdraw from the case.
(2) If the ALJ does not disqualify himself or herself and withdraw from the case, the ALJ must continue with the hearing process and issue a recommended decision.
(a) Ex parte communications with the ALJ or his or her staff are prohibited in accordance with § 4.27(b).
(b) This section does not prohibit ex parte inquiries concerning case status or procedural requirements, unless the inquiry involves an area of controversy in the hearing process.
(a)
(1) A motion made at a hearing may be stated orally on the record, unless the ALJ directs that it be written.
(2) Any other motion must:
(i) Be in writing;
(ii) Comply with the requirements of this subpart with respect to form, content, filing, and service; and
(iii) Not exceed 10 pages, unless the ALJ orders otherwise.
(b)
(i) Its purpose and the relief sought;
(ii) The facts constituting the grounds for the relief sought; and
(iii) Any applicable statutory or regulatory authority.
(2) A proposed order must accompany the motion.
(c)
(d)
(e)
(f)
A party may submit as an appendix to a motion, brief, or other filing a prior Departmental final decision in support of a finding that the evidence or methodology is sufficient to satisfy one or more criteria for Federal acknowledgment of the petitioner because the Department found that evidence or methodology sufficient to satisfy the same criteria in the prior decision.
Within 5 days after petitioner files its election of hearing under 25 CFR 83.38(a), the actions required by this section must be taken.
(a) DCHD must:
(1) Docket the case;
(2) Assign an ALJ to preside over the hearing process and issue a recommended decision; and
(3) Issue a docketing notice that informs the parties of the docket number and the ALJ assigned to the case.
(b) The ALJ assigned under paragraph (a)(2) of this section must issue a notice setting the time, place, and method for conducting an initial prehearing conference under § 4.1022(a). This notice may be combined with the docketing notice under paragraph (a)(3) of this section.
(a)
(b)
(1) A statement setting forth the interest of the person and, if the person seeks intervention under paragraph (d) of this section, a showing of why that interest may be adversely affected by the final determination of the Assistant Secretary under 25 CFR 83.43;
(2) An explanation of the person's position with respect to the issues of law and issues of material fact raised in the election of hearing in no more than five pages; and
(3) A list of the witnesses and exhibits the person intends to present at the hearing, other than solely for impeachment purposes, including:
(i) For each witness listed, his or her name, address, telephone number, and qualifications and a brief narrative summary of his or her expected testimony; and
(ii) For each exhibit listed, a statement specifying where the exhibit is located in the administrative record reviewed by OFA.
(c)
(d)
(e)
(1) The nature of the issues;
(2) The adequacy of representation of the person's interest which is provided by the existing parties to the proceeding; and
(3) The ability of the person to present relevant evidence and argument.
(f)
(2) If the intervenor wishes to participate in a limited capacity or if the intervenor is granted leave to intervene under paragraph (e) of this section, the extent and the terms of the participation will be determined by the ALJ.
(3) An intervenor may not raise issues of law or issues of material fact beyond those raised in the election of hearing under 25 CFR 83.38(a)(1).
(a)
(1) The initial prehearing conference will be used:
(i) To identify, narrow, and clarify the disputed issues of material fact and exclude issues that do not qualify for review as factual, material, and disputed;
(ii) To discuss the evidence on which each party intends to rely at the hearing; and
(iii) To set the date, time, and place of the hearing.
(2) The initial prehearing conference may also be used:
(i) To discuss limiting and grouping witnesses to avoid duplication;
(ii) To discuss stipulations of fact and of the content and authenticity of documents;
(iii) To consider requests that the ALJ take official notice of public records or other matters;
(iv) To discuss pending or anticipated motions, if any; and
(v) To consider any other matters that may aid in the disposition of the case.
(b)
(c)
(d)
(e)
(f)
(1) To meet in person, by telephone, or by other appropriate means; and
(2) To reach agreement on the schedule of remaining steps in the hearing process.
(g)
(h)
(i)
(a)
(b)
(c)
(i) Citing to particular parts of materials in the hearing process record, including affidavits or declarations, stipulations (including those made for purposes of the motion only), or other materials; or
(ii) Showing that the materials cited do not establish the absence or presence of a genuine dispute, or that an adverse party cannot produce admissible evidence to support the fact.
(2)
(3)
(4)
(d)
(1) Defer considering the motion or deny it;
(2) Allow time to obtain affidavits or declarations or, under extraordinary circumstances, to take discovery; or
(3) Issue any other appropriate order.
(e)
(1) Give an opportunity to properly support or address the fact;
(2) Consider the fact undisputed for purposes of the motion;
(3) Issue a recommended summary decision if the motion and supporting materials—including the facts considered undisputed—show that the movant is entitled to it; or
(4) Issue any other appropriate order.
(f)
(1) Issue a recommended summary decision for a nonmovant;
(2) Grant a motion for recommended summary decision on grounds not raised by a party; or
(3) Consider issuing a recommended summary decision on his or her own after identifying for the parties material facts that may not be genuinely in dispute.
(g)
Within 14 days after OFA issues the notice of the election of hearing under 25 CFR 83.39(a)(1), OFA must file a list of the witnesses and exhibits it intends to present at the hearing, other than solely for impeachment purposes, including:
(a) For each witness listed, his or her name, address, telephone number, qualifications, and a brief narrative summary of his or her expected testimony; and
(b) For each exhibit listed, a statement specifying where the exhibit is in the administrative record reviewed by OFA.
(a)
(1) Written interrogatories;
(2) Depositions; and
(3) Requests for production of designated documents or tangible things or for entry on designated land for inspection or other purposes.
(b)
(1) That the discovery will not unreasonably delay the hearing process;
(2) That the scope of the discovery is not unduly burdensome;
(3) That the method to be used is the least burdensome method available;
(4) That any confidential information can be adequately safeguarded; and
(5) That the information sought:
(i) Will be admissible at the hearing or appears reasonably calculated to lead to the discovery of admissible evidence;
(ii) Is not otherwise obtainable by the party;
(iii) Is not cumulative or repetitious; and
(iv) Is not privileged or protected from disclosure by applicable law.
(c)
(1) Briefly describes the proposed methodology, purpose, and scope of the discovery;
(2) Explains how the discovery meets the criteria in paragraph (b) of this section; and
(3) Attaches a copy of any proposed discovery request (written interrogatories, notice of deposition, or request for production of designated documents or tangible things or for entry on designated land).
(d)
(1) Within 30 days after issuance of the docketing notice under § 4.1020 if the discovery sought is between the petitioner and OFA; and
(2) Within 50 days after issuance of the docketing notice under § 4.1020 if the discovery sought is between a full intervenor and another party.
(e)
(2) An objection must explain how, in the objecting party's view, the discovery sought does not meet the criteria in paragraph (b) of this section.
(a)
(2) If a party wishes to include any new witness or exhibit on its updated list, it must provide an explanation of why it was not feasible for the party to include the witness or exhibit on its list under 25 CFR 83.38(a)(2), § 4.1021(b)(3), or § 4.1030.
(b)
(2) Paragraph (b)(1) of this section does not apply if the failure to disclose was substantially justified or is harmless.
(3) Before or during the hearing, a party may object under paragraph (b)(1) of this section to the admission of evidence.
(4) The ALJ will consider the following in determining whether to exclude evidence under paragraphs (b)(1) through (3) of this section:
(i) The prejudice to the objecting party;
(ii) The ability of the objecting party to cure any prejudice;
(iii) The extent to which presentation of the evidence would disrupt the orderly and efficient hearing of the case;
(iv) The importance of the evidence; and
(v) The reason for the failure to disclose, including any bad faith or willfulness regarding the failure.
(a)
(b)
(i) Will be unable to attend the hearing because of age, illness, or other incapacity; or
(ii) Is unwilling to attend the hearing voluntarily, and the party is unable to compel the witness's attendance at the hearing by subpoena.
(2) Paragraph (b)(1)(ii) of this section does not apply to any person employed by or under contract with the party seeking the deposition.
(3) A party may depose a senior Department employee of OFA only if the party shows:
(i) That the employee's testimony is necessary in order to provide significant, unprivileged information that is not available from any other source or by less burdensome means; and
(ii) That the deposition would not significantly interfere with the employee's ability to perform his or her official duties.
(c)
(1) The time and place that the deposition is to be taken;
(2) The name and address of the person before whom the deposition is to be taken;
(3) The name and address of the witness whose deposition is to be taken; and
(4) Any documents or materials that the witness is to produce.
(a) A party or a prospective witness or deponent may file a motion requesting a protective order to limit from disclosure to other parties or to the public a document or testimony containing information which is confidential or exempt by law from public disclosure.
(b) In the motion the person must describe the information sought to be protected from disclosure and explain in detail:
(1) Why the information is confidential or exempt by law from public disclosure;
(2) Why disclosure of the information would adversely affect the person; and
(3) Why disclosure is not required in the public interest.
(c) If the person seeks non-disclosure of information in a document:
(1) The motion must include a copy of the document with the confidential information deleted. If it is not practicable to submit such a copy of the document because deletion of the information would render the document unintelligible, a description of the document may be substituted.
(2) The ALJ may require the person to file a sealed copy of the document for in camera inspection.
(d) Ordinarily, documents and testimony introduced into the public hearing process are presumed to be public. In issuing a protective order, the ALJ may make any order which justice requires to protect the person, consistent with the mandatory public disclosure requirements of the Freedom of Information Act, 5 U.S.C. 552(b), and other applicable law.
(a)
(2) A party may subpoena an OFA employee if the employee participated in the preparation of the negative proposed finding, except that if the OFA employee is a senior Department employee, the party must show:
(i) That the employee's testimony is necessary in order to provide significant, unprivileged information that is not available from any other source or by less burdensome means; and
(ii) That the employee's attendance would not significantly interfere with the ability to perform his or her government duties.
(b)
(2) Service must be made by hand delivering a copy of the subpoena to the person named therein.
(3) The person serving the subpoena must:
(i) Prepare a certificate of service setting forth the date, time, and manner of service or the reason for any failure of service; and
(ii) Swear to or affirm the certificate, attach it to a copy of the subpoena, and return it to the party on whose behalf the subpoena was served.
(c)
(2) A witness who is not a party and who attends a deposition or hearing at the request of any party without having been subpoenaed to do so is entitled to the same fees and mileage expenses as if he or she had been subpoenaed. However, this paragraph does not apply to federal employees who are called as witnesses by OFA.
(d)
(2) The motion must be filed:
(i) Within 5 days after service of the subpoena; or
(ii) At or before the time specified in the subpoena for compliance, if that is less than 5 days after service of the subpoena.
(3) The ALJ may quash or modify the subpoena if it:
(i) Is unreasonable;
(ii) Requires evidence beyond the limits on witnesses and evidence found in §§ 4.1042 and 4.1046;
(iii) Requires evidence during discovery that is not discoverable; or
(iv) Requires evidence during a hearing that is privileged or irrelevant.
(e)
(a)
(2) The ALJ will consider the convenience of all parties, their representatives, and witnesses in setting the time and place for hearing.
(b)
(1) That there is good cause for the change; and
(2) That the change will not unduly prejudice the parties and witnesses.
Consistent with the provisions of this subpart, and as necessary to ensure full and accurate disclosure of the facts, each party may exercise the following rights during the hearing:
(a) Present direct and rebuttal evidence;
(b) Make objections, motions, and arguments; and
(c) Cross-examine witnesses, including OFA staff, and conduct re-direct and re-cross examination as permitted by the ALJ.
(a) Except as provided in paragraph (b) of this section, each party may present as witnesses the following persons only:
(1) Persons who qualify as expert witnesses; and
(2) OFA staff who participated in the preparation of the negative proposed finding, except that if the OFA employee is a senior Department employee, any party other than OFA must first obtain a subpoena for that employee under § 4.1035.
(b) The ALJ may authorize testimony from witnesses in addition to those identified in paragraph (a) of this
Oral examination of a witness in a hearing, including on cross-examination or redirect, must be conducted under oath with an opportunity for all parties to question the witness. The witness must testify in the presence of the ALJ unless the ALJ authorizes the witness to testify by telephonic conference call. The ALJ may issue a subpoena under § 4.1035 directing a witness to testify by telephonic conference call.
(a)
(1) Was present or represented at the taking of the deposition; or
(2) Had reasonable notice of the taking of the deposition.
(b)
(2) The judge will exclude from evidence any question and response to which an objection:
(i) Was noted at the taking of the deposition; and
(ii) Would have been sustained if the witness had been personally present and testifying at a hearing.
(3) If a party offers only part of a deposition in evidence:
(i) An adverse party may require the party to introduce any other part that ought in fairness to be considered with the part introduced; and
(ii) Any other party may introduce any other parts.
(c)
(a)
(2) Each exhibit offered by a party must be marked for identification.
(3) Any party who seeks to have an exhibit admitted into evidence must provide:
(i) The original of the exhibit to the reporter, unless the ALJ permits the substitution of a copy; and
(ii) A copy of the exhibit to the ALJ.
(b)
(2) If the ALJ admits a document under paragraph (b)(1) of this section, the ALJ must notify the parties and give them a brief opportunity to submit comments on the document.
(c)
(1) The party offering the exhibit must:
(i) Designate the matter offered as evidence;
(ii) Segregate and exclude the material not offered in evidence, to the extent feasible; and
(iii) Provide copies of the entire document to the other parties appearing at the hearing.
(2) The ALJ must give the other parties an opportunity to inspect the entire document and offer in evidence any other portions of the document.
(d)
(2) The ALJ must give the other parties appearing at the hearing an opportunity to show the contrary of an officially noticed fact.
(3) Any party requesting official notice of a fact after the conclusion of the hearing must show good cause for its failure to request official notice during the hearing.
(e)
(2) If received in evidence at the hearing, a stipulation is binding on the stipulating parties.
(3) A stipulation may be written or made orally at the hearing.
(a)
(2) The ALJ may admit information outside the scope of paragraph (a)(1) of this section only if the party seeking to admit the information explains why the information was not submitted for inclusion in the administrative record reviewed by OFA and demonstrates that extraordinary circumstances exist justifying admission of the information.
(3) Subject to the provisions of § 4.1032(b) and paragraphs (a)(1) and (2) of this section, the ALJ may admit any written, oral, documentary, or demonstrative evidence that is:
(i) Relevant, reliable, and probative; and
(ii) Not privileged or unduly repetitious or cumulative.
(b)
(2) Hearsay evidence is admissible. The ALJ may consider the fact that evidence is hearsay when determining its probative value.
(3) The Federal Rules of Evidence do not directly apply to the hearing, but may be used as guidance by the ALJ and the parties in interpreting and applying the provisions of this section.
(c)
(a)
(1) DCHD will secure the services of a reporter and pay the reporter's fees to provide an original transcript to DCHD on an expedited basis.
(2) Each party must pay the reporter for any copies of the transcript obtained by that party.
(b)
(2) Unless a party files a timely motion under paragraph (b)(1) of this section, the transcript will be presumed to be correct and complete, except for obvious typographical errors.
(3) As soon as feasible after the close of the hearing and after consideration of any motions filed under paragraph (b)(1) of this section, the ALJ will issue an order making any corrections to the transcript that the ALJ finds are warranted.
The ALJ will consider a criterion to be met if the evidence establishes a reasonable likelihood of the validity of
(a) The hearing record will close when the ALJ closes the hearing, unless he or she directs otherwise.
(b) Except as provided in § 4.1045(b)(1), evidence may not be added after the hearing record is closed, but the transcript may be corrected under § 4.1047(b).
(a)
(2) A party may file a reply brief only if requested by the ALJ. The deadline for filing a reply brief, if any, will be set by the ALJ.
(3) The ALJ may limit the length of the briefs to be filed under this section.
(b)
(i) A concise statement of the case;
(ii) A separate section containing proposed findings regarding the issues of material fact, with supporting citations to the hearing record;
(iii) Arguments in support of the party's position; and
(iv) Any other matter required by the ALJ.
(2) A reply brief, if requested by the ALJ, must be limited to any issues identified by the ALJ.
(c)
(i) Such an exhibit may be reproduced, within reasonable limits, in an appendix to the brief.
(ii) Any pertinent analysis of an exhibit may be included in a brief.
(2) If a brief exceeds 30 pages, it must contain:
(i) A table of contents and of points made, with page references; and
(ii) An alphabetical list of citations to legal authority, with page references.
(a)
(b)
(i) Recommended findings of fact on all disputed issues of material fact;
(ii) Recommended conclusions of law:
(A) Necessary to make the findings of fact (such as rulings on materiality and on the admissibility of evidence); and
(B) As to whether the applicable criteria for Federal acknowledgment have been met; and
(iii) Reasons for the findings and conclusions.
(2) The ALJ may adopt any of the findings of fact proposed by one or more of the parties.
(c)
(1) Serve the recommended decision on each party to the hearing process; and
(2) Forward the complete hearing record to the Assistant Secretary—Indian Affairs, including the recommended decision.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Temporary rule; modification of closure.
NMFS is opening directed fishing for groundfish, other than pollock, by non-Rockfish Program catcher vessels using trawl gear in the Western and Central Regulatory Areas of the Gulf of Alaska (GOA). This action is necessary to fully use the 2015 groundfish total allowable catch available for non-Rockfish Program catcher vessels directed fishing for groundfish, other than pollock, using trawl gear in the Western and Central Regulatory Areas of the GOA.
Effective 1200 hours, Alaska local time (A.l.t.), August 10, 2015, through 2400 hours, A.l.t., December 31, 2015. Comments must be received at the following address no later than 4:30 p.m., A.l.t., August 25, 2015.
You may submit comments on this document, identified by NOAA-NMFS-2014-0118, by any of the following methods:
• Electronic Submission: Submit all electronic public comments via the Federal e-Rulemaking Portal. Go to
• Mail: Submit written comments to Glenn Merrill, Assistant Regional Administrator, Sustainable Fisheries Division, Alaska Region NMFS, Attn: Ellen Sebastian. Mail comments to P.O. Box 21668, Juneau, AK 99802-1668.
Instructions: Comments sent by any other method, to any other address or individual, or received after the end of the comment period, may not be considered by NMFS. All comments received are a part of the public record and will generally be posted for public viewing on
Mary Furuness, 907-586-7228.
NMFS manages the groundfish fishery in the GOA exclusive economic zone according to the Fishery Management Plan for Groundfish of the Gulf of Alaska (FMP) prepared by the North Pacific Fishery Management Council under authority of the Magnuson-Stevens Fishery Conservation and Management Act. Regulations governing fishing by U.S. vessels in accordance with the FMP appear at subpart H of 50 CFR part 600 and 50 CFR part 679.
NMFS prohibited directed fishing for groundfish, other than pollock, by non-Rockfish Program catcher vessels using trawl gear in the Western and Central Regulatory Areas of the GOA, effective 1200 hours, A.l.t., May 3, 2015 (May 6, 2015, 80 FR 25967) under § 679.21(i)(7)(i).
On August 10, 2015, NMFS published an emergency rule (80 FR 47864, August 10, 2015) establishing a Chinook salmon prohibited species catch (PSC) limit of 1,600 for non-Rockfish Program catcher vessels directed fishing for groundfish, other than pollock, using trawl gear in the Western and Central Regulatory Areas of the GOA that is available from August 10, 2015 until December 31, 2015 (§ 679.21(i)(8)). Therefore, in accordance with § 679.25(a)(1)(i), (a)(2)(i)(C), and (a)(2)(iii)(D), and to fully utilize the 2015 groundfish total allowable catch available for non-Rockfish Program catcher vessels directed fishing for groundfish, other than pollock, using trawl gear in the Western and Central Regulatory Areas of the GOA, NMFS is terminating the previous closure and is opening directed fishing for non-Rockfish Program catcher vessels directed fishing for groundfish, other than pollock, using trawl gear in the Western and Central Regulatory Areas of the GOA.
This action responds to the best available information recently obtained from the fishery. The Assistant Administrator for Fisheries, NOAA, (AA), finds good cause to waive the requirement to provide prior notice and opportunity for public comment pursuant to the authority set forth at 5 U.S.C. 553(b)(B) and § 679.25(c)(1)(ii) as such a requirement is impracticable and contrary to the public interest. This requirement is impracticable and contrary to the public interest as it would prevent NMFS from responding to the most recent fisheries data in a timely fashion and would delay opening directed fishing for groundfish, other than pollock, by non-Rockfish Program catcher vessels using trawl gear in the Western and Central Regulatory Areas of the GOA. NMFS was unable to publish a notice providing time for public comment because the most recent, relevant data only became available as of August 7, 2015.
The AA also finds good cause to waive the 30-day delay in the effective date of this action under 5 U.S.C. 553(d)(3). This finding is based upon the reasons provided above for waiver of prior notice and opportunity for public comment.
Without this inseason adjustment, NMFS could not allow the fishery for groundfish, other than pollock, by non-Rockfish Program catcher vessels using trawl gear in the Western and Central Regulatory Areas of the GOA to be harvested in an expedient manner and in accordance with the regulatory schedule. Under § 679.25(c)(2), interested persons are invited to submit written comments on this action to the above address until August 25, 2015.
This action is required by §§ 679.20, 679.21, and 679.25 and is exempt from review under Executive Order 12866.
16 U.S.C. 1801
Federal Aviation Administration (FAA), DOT.
Notice of proposed rulemaking (NPRM).
This action proposes to establish Class E airspace at Vidalia, LA. Controlled airspace is necessary to accommodate new Standard Instrument Approach Procedures at Concordia Parish Airport. The FAA is proposing this action to enhance the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Comments must be received on or before September 28, 2015.
Send comments on this proposal to the U.S. Department of Transportation, Docket Operations, 1200 New Jersey Avenue SE., West Building Ground Floor, Room W12-140, Washington, DC 20590-0001. You must identify the docket number FAA-2015-1389/Airspace Docket No. 13-ASW-8, at the beginning of your comments. You may also submit comments through the Internet at
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed online at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591; telephone: 202-267-8783.
Rebecca Shelby, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone: 817-321-7740.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part, A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it would establish Class E airspace at Concordia Parish Airport, Vidalia, LA.
Interested parties are invited to participate in this proposed rulemaking by submitting such written data, views, or arguments, as they may desire. Comments that provide the factual basis supporting the views and suggestions presented are particularly helpful in developing reasoned regulatory decisions on the proposal. Comments are specifically invited on the overall regulatory, aeronautical, economic, environmental, and energy-related aspects of the proposal. Communications should identify both docket numbers and be submitted in triplicate to the address listed above. Commenters wishing the FAA to acknowledge receipt of their comments on this notice must submit with those comments a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket No. FAA-2015-1389/Airspace Docket No. 13-ASW-8.” The postcard will be date/time stamped and returned to the commenter.
An electronic copy of this document may be downloaded through the Internet at
You may review the public docket containing the proposal, any comments received and any final disposition in person in the Dockets Office (see
Persons interested in being placed on a mailing list for future NPRMs should contact the FAA's Office of Rulemaking (202) 267-9677, to request a copy of Advisory Circular No. 11-2A, Notice of Proposed Rulemaking Distribution System, which describes the application procedure.
This document proposes to amend FAA Order 7400.9Y, Airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This action proposes to amend Title 14, Code of Federal Regulations (14 CFR), Part 71 by establishing Class E airspace extending upward from 700 feet above the surface within a 7.7-mile radius of Concordia Parish Airport,
Class E airspace areas are published in Paragraph 6005 of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designation listed in this document will be published subsequently in the Order.
The FAA has determined that this proposed regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal.
Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
This proposal will be subject to an environmental analysis in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures” prior to any FAA final regulatory action.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration proposes to amend 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 7.7-mile radius of Concordia Parish Airport, and within 2 miles each side of the 174° bearing from the airport extending from the 7.7 mile radius to 9 miles south of the airport.
Federal Aviation Administration (FAA), DOT.
Notice of proposed rulemaking (NPRM).
This action proposes to establish Class E airspace at Marshall, AR. Controlled airspace is necessary to accommodate new Standard Instrument Approach Procedures at Concordia Parish Airport. The FAA is proposing this action to enhance the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Comments must be received on or before September 28, 2015.
Send comments on this proposal to the U.S. Department of Transportation, Docket Operations, 1200 New Jersey Avenue SE., West Building Ground Floor, Room W12-140, Washington, DC 20590-0001. You must identify the docket number FAA-2015-1833/Airspace Docket No. 15-ASW-7, at the beginning of your comments. You may also submit comments through the Internet at
FAA Order 7400.9Y, Airspace Designations and Reporting Points, and subsequent amendments can be viewed online at
FAA Order 7400.9, Airspace Designations and Reporting Points, is published yearly and effective on September 15. For further information, you can contact the Airspace Policy and Regulations Group, Federal Aviation Administration, 800 Independence Avenue SW., Washington, DC 20591; telephone: 202-267-8783.
Rebecca Shelby, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone: 817-321-7740.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part, A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it would establish Class E airspace at Searcy County Airport, Marshall, AR.
Interested parties are invited to participate in this proposed rulemaking by submitting such written data, views, or arguments, as they may desire. Comments that provide the factual basis supporting the views and suggestions presented are particularly helpful in developing reasoned regulatory
An electronic copy of this document may be downloaded through the Internet at
You may review the public docket containing the proposal, any comments received and any final disposition in person in the Dockets Office (see
Persons interested in being placed on a mailing list for future NPRMs should contact the FAA's Office of Rulemaking (202) 267-9677, to request a copy of Advisory Circular No. 11-2A, Notice of Proposed Rulemaking Distribution System, which describes the application procedure.
This document proposes to amend FAA Order 7400.9Y, Airspace Designations and Reporting Points, dated August 6, 2014, and effective September 15, 2014. FAA Order 7400.9Y is publicly available as listed in the
This action proposes to amend Title 14, Code of Federal Regulations (14 CFR), Part 71 by establishing Class E airspace extending upward from 700 feet above the surface within an 11.2-mile radius of Searcy County Airport, Marshall, AR, to accommodate new standard instrument approach procedures. Controlled airspace is needed for the safety and management of IFR operations at the airport.
Class E airspace areas are published in Paragraph 6005 of FAA Order 7400.9Y, dated August 6, 2014, and effective September 15, 2014, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designation listed in this document will be published subsequently in the Order.
The FAA has determined that this proposed regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore, (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal.
Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
This proposal will be subject to an environmental analysis in accordance with FAA Order 1050.1E, “Environmental Impacts: Policies and Procedures” prior to any FAA final regulatory action.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration proposes to amend 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within an 11.2-mile radius of Searcy County Airport.
Food and Drug Administration, HHS.
Notice of petition.
The Food and Drug Administration (FDA) is announcing that Adisseo France S.A.S. has filed a petition proposing that the food additive regulations be amended to provide for the safe use of selenomethionine hydroxy analogue as a source of selenium in feed for chickens, turkeys, swine, dairy cattle, and beef cattle.
Submit either electronic or written comments on the petitioner's request for categorical exclusion from preparing an environmental assessment or environmental impact statement by September 14, 2015.
Submit electronic comments to:
Isabel Pocurull, Center for Veterinary Medicine, Food and Drug Administration, 7519 Standish Pl.,
Under the Federal Food, Drug, and Cosmetic Act (section 409(b)(5) (21 U.S.C. 348(b)(5)), notice is given that a food additive petition (FAP 2291) has been filed by Adisseo France S.A.S., Immeuble Antony Parc II, 10 Place du Général de Gaulle, 92160 Antony, France. The petition proposes to amend Title 21 of the Code of Federal Regulations (CFR) in part 573
Interested persons may submit either electronic or written comments regarding this request for categorical exclusion to the Division of Dockets Management (see
Internal Revenue Service (IRS), Treasury.
Notice of proposed rulemaking.
In the Rules and Regulations section of this issue of the
Written or electronic comments and requests for a public hearing must be received by November 12, 2015.
Send submissions to: CC:PA:LPD:PR (REG-132075-14), Room 5203, Internal Revenue Service, P.O. Box 7604, Ben Franklin Station, Washington, DC 20044. Submissions may be hand-delivered between the hours of 8 a.m. and 4 p.m. to CC:PA:LPD:PR (REG-132075-14), Courier's Desk, Internal Revenue Service, 1111 Constitution Avenue NW., Washington, DC, or sent via the Federal eRulemaking Portal at
Concerning these proposed regulations, Jonathan R. Black, (202) 317-6845; concerning submissions of comments and/or requests for a hearing, Regina Johnson (202) 317-6901 (not toll-free numbers).
Temporary regulations § 1.6081-8T in the Rules and Regulations section of this issue of the
These proposed regulations would remove the automatic 30-day extension of time to file the information returns listed in § 1.6081-8T(a) and allow only a single non-automatic extension of time to file all information returns listed in § 1.6081-8T.
The IRS anticipates that, as described in the temporary regulations with respect to forms in the W-2 series (other than Forms W-2G), under the proposed regulations, the IRS will grant the non-automatic 30-day extension of time to file information returns listed in § 1.6081-8(a) only in limited cases where the filer's or transmitter's explanation demonstrates that an extension of time to file is needed as a result of extraordinary circumstances or catastrophe, such as a natural disaster or fire destroying the books and records a filer needs for filing the information returns.
Treasury and the IRS request comments on the appropriate timing of the removal of the automatic 30-day extension of time to file information returns covered by these proposed regulations, such as Form 1042-S, including whether special transitional considerations should be given for any category or categories of forms or filers relative to other forms or filers. Although these regulations are proposed to be effective for requests for extensions of time to file information returns due on or after January 1 of the calendar year immediately following the date of publication of a Treasury decision adopting these rules as final regulations in the
The temporary regulations affect taxpayers who are required to file information returns on forms in the W-2 series (except Forms W-2G) and need an extension of time to file. These proposed regulations also affect taxpayers who need an extension of time to file any of the information returns listed in § 1.6081-8T(a).
The substance of the temporary regulations is incorporated in these proposed regulations. The preamble to the temporary regulations explains these amendments. These proposed regulations would also expand the rules in § 1.6081-8T(b) to the other information returns, which are listed in § 1.6081-8T(a).
The regulations, as proposed, would apply to requests for extensions of time to file information returns due on or after January 1 of the calendar year immediately following the date of publication of a Treasury decision adopting these rules as final regulations in the
Certain IRS regulations, including this one, are exempt from the requirements of Executive Order 12866, as supplemented and reaffirmed by Executive Order 13563. Therefore, a regulatory assessment is not required. It also has been determined that section 553(b) of the Administrative Procedure Act (5 U.S.C. chapter 5) does not apply to these proposed regulations.
Pursuant to the Regulatory Flexibility Act (5 U.S.C. chapter 6), it is hereby certified that this proposed rule, if adopted, would not have a significant economic impact on a substantial number of small entities. As stated in this preamble, the proposed regulations would remove the automatic 30-day extension of time to file certain information returns (Form W-2G, 1042-S, 1094-C, 1095-B, 1095-C, 1097 series, 1098 series, 1099 series, 3921, 3922, 5498 series, and 8027). Under the proposed regulations, filers and transmitters would be permitted to request only one 30-day extension of time to file these information returns by timely submitting a Form 8809, including an explanation of the reasons for requesting the extension and signed under penalty of perjury. Although the proposed regulation may potentially affect a substantial number of small entities, the economic impact on these entities is not expected to be significant because filers who are unable to timely file as a result of extraordinary circumstances or catastrophe may continue to obtain a 30-day extension through the Form 8809 process, which takes approximately 20 minutes to prepare and submit to the IRS. Pursuant to section 7805(f) of the Internal Revenue Code, this notice of proposed rulemaking has been submitted to the Chief Counsel for Advocacy of the Small Business Administration for comment on its impact on small business.
Before these proposed regulations are adopted as final regulations, consideration will be given to any comments that are submitted timely to the IRS as prescribed in the preamble under the
The principal author of these regulations is Jonathan R. Black of the Office of the Associate Chief Counsel (Procedure and Administration).
Income taxes, Reporting and recordkeeping requirements.
Accordingly, 26 CFR part 1 is proposed to be amended as follows:
26 U.S.C. 7805 * * *
(a)
(b)
(1) Submit a complete application on Form 8809, “Application for Extension of Time to File Information Returns,” or in any other manner prescribed by the Commissioner, including a detailed explanation of why additional time is needed;
(2) File the application with the Internal Revenue Service in accordance with forms, instructions, or other appropriate guidance on or before the due date for filing the information return; and
(3) Sign the application under penalties of perjury.
(c)
(d)
(e)
(f)
Centers for Disease Control and Prevention, HHS.
Notice of proposed rulemaking.
The Department of Health and Human Services (HHS) proposes the
Comments must be received by September 14, 2015.
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Rachel Weiss, Program Analyst, 1090 Tusculum Ave, MS: C-46, Cincinnati, OH 45226; telephone (855) 818-1629 (this is a toll-free number); email
Interested persons or organizations are invited to participate in this rulemaking by submitting written views, recommendations, and data. In addition, HHS invites comments on any aspect of this rulemaking.
All comments submitted will be available for examination in the rule docket (a publicly available repository of the documents associated with the rulemaking) both before and after the closing date for comments. A complete electronic docket containing all comments submitted will be available on
Comments submitted electronically or by mail should be titled “Docket No. CDC-2015-0062” and should identify the author(s) and contact information in case clarification is needed. Electronic and written comments can be submitted to the addresses provided in the
HHS promulgated Part 80 of Title 42 to facilitate Section 21(a)(1) of the Occupational Safety and Health (OSH) Act of 1970 (29 U.S.C. 670(a)(1)), which authorizes the Director of NIOSH to conduct educational programs to provide an adequate supply of qualified personnel to carry out the purposes of the OSH Act. Part 80 established tuition fees for such training, as authorized by 31 U.S.C. 483a (31 U.S.C. 9701, as revised by Pub. L. 97-258, September 13, 1982), which permits agencies to “prescribe regulations establishing the charge for service or thing of value provided by the agency.” In accordance with section 6 of Executive Order 13563, HHS conducted a retrospective analysis of its existing rules, determined Part 80 to be obsolete, and is proposing the removal of Part 80 from Title 42.
The provisions in Part 80 establish the NIOSH policies with respect to the charging of fees for direct training in occupational safety and health. Because NIOSH no longer offers direct training programs, these provisions are no longer needed. Removing Part 80 from Title 42 will have no effect on NIOSH procedures or practices, including the NIOSH funding of the Education and Research Centers for Occupational Safety and Health. This action is being done in accordance with Executive Order 13563, section 6, which requires that Federal agencies conduct retrospective analyses of existing rules. In conducting the analysis, HHS discovered that the Part 80 provisions were outdated.
Executive Orders 12866 and 13563 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). E.O. 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility.
This proposed rule has been determined not to be a “significant regulatory action” under § 3(f) of E.O. 12866. With this action, HHS is proposing the removal of Part 80 from Title 42. Because this notice of proposed rulemaking is entirely administrative and does not affect the economic impact, cost, or policies of any activities authorized by Title 42, HHS has not prepared an economic analysis and the Office of Management and Budget (OMB) has not reviewed this rulemaking.
The Regulatory Flexibility Act (RFA), 5 U.S.C. 601
The Paperwork Reduction Act (PRA), 44 U.S.C. 3501
As required by Congress under the Small Business Regulatory Enforcement Fairness Act of 1996 (5 U.S.C. 801
Title II of the Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531
This proposed rule has been drafted and reviewed in accordance with Executive Order 12988, “Civil Justice Reform,” and will not unduly burden the Federal court system. This rule has been reviewed carefully to eliminate drafting errors and ambiguities.
HHS has reviewed this proposed rule in accordance with Executive Order 13132 regarding federalism, and has determined that it does not have “federalism implications.” The rule does not “have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.”
In accordance with Executive Order 13045, HHS has evaluated the environmental health and safety effects of this proposed rule on children. HHS has determined that the rule would have no environmental health and safety effect on children.
In accordance with Executive Order 13211, HHS has evaluated the effects of this proposed rule on energy supply, distribution or use, and has determined that the rule will not have a significant adverse effect.
Under Public Law 111-274 (October 13, 2010), executive Departments and Agencies are required to use plain language in documents that explain to the public how to comply with a requirement the Federal Government administers or enforces. HHS has attempted to use plain language in promulgating the proposed rule consistent with the Federal Plain Writing Act guidelines.
For the reasons discussed in the preamble and under the authorities 29 U.S.C. 671, 31 U.S.C. 9701, and 42 U.S.C. 216(b), the Department of Health and Human Services proposes to amend 42 CFR chapter I by removing part 80.
Agricultural Marketing Service, USDA.
Notice of public meeting.
Pursuant to the Federal Advisory Committee Act, the Agricultural Marketing Service (AMS) is announcing a meeting of the Fruit and Vegetable Industry Advisory Committee (Committee). The meeting is being convened to examine the full spectrum of fruit and vegetable industry issues and to provide recommendations and ideas to the Secretary of Agriculture on how the U.S. Department of Agriculture (USDA) can tailor programs and services to better meet the needs of the U.S. produce industry. The meeting is open to the public. This notice sets forth the schedule and location for the meeting.
Tuesday, September 15, 2015, from 8:30 a.m. to 5:00 p.m. Eastern Time, and Wednesday, September 16, 2015, from 8:30 a.m. to 1:00 p.m., Eastern Time.
The Committee meeting will be held in the Latrobe/Bulfinch Conference Room at the Grand Hyatt Washington Hotel, 1000 H Street Northwest, Washington, DC 20001.
Pamela Stanziani, Designated Federal Official, USDA, AMS, Fruit and Vegetable Program; Telephone: (202) 720-3334; Email:
Pursuant to the Federal Advisory Committee Act (FACA) (5 U.S.C. App.), the Secretary of Agriculture (Secretary) established the Committee in 2001, to examine the full spectrum of issues faced by the fruit and vegetable industry and to provide suggestions and ideas to the Secretary on how USDA can tailor its programs to meet the fruit and vegetable industry's needs. The Committee was re-chartered in July 2015, for a two-year period.
AMS Deputy Administrator for the Fruit and Vegetable Program, Charles Parrott, serves as the Committee's Manager. Representatives from USDA mission areas and other government agencies affecting the fruit and vegetable industry are periodically called upon to participate in the Committee's meetings as determined by the Committee. AMS is giving notice of the Committee meeting to the public so that they may attend and present their views. The meeting is open to the public.
Agenda items may include, but are not limited to, welcome and introductions, administrative matters, progress reports from committee working group chairs and/or vice chairs, potential working group recommendation discussion, and presentations by subject matter experts as requested by the Committee.
Office of Inspector General, USDA.
Notice of amendment to systems of records; establishment of one new system of records; addition of four new routine uses; and republication of systems of records.
In accordance with the Privacy Act, 5 U.S.C. 552a(e)(4) and (11), the United States Department of Agriculture (USDA), Office of Inspector General (OIG) proposes to revise its systems of records by establishing one new system of records, by deleting a current system of records, by adding new routine uses, and by making technical changes and corrections to certain existing routine uses and systems of records.
This action will be effective without further notice on September 22, 2015 unless comments are received that would result in a contrary determination. If comments are received, the comments will be considered and, where adopted, the document will be republished with changes.
You may submit comments, identified by docket number OIG-2015-0001 by one of the following methods:
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For general questions and for privacy issues
The Privacy Act, 5 U.S.C. 552a(e)(4), (11), provides that the public be given a 30-day period in which to comment on new uses or intended uses of information in systems of records. The Office of Management and Budget (OMB), which has oversight responsibilities under the Act, requires a 40-day period in which to conclude its review of the new or amended systems. Therefore, please submit any comments by September 22, 2015. The public, OMB, and the Congress are invited to send written comments.
The full list of OIG's systems of records notices was last published in the
Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a) and OMB Circular No. A-130, USDA OIG has conducted a review of its Privacy Act systems of records notices and has determined that it needs one new system of records entitled Audit Records. USDA OIG has determined that one system of records entitled Training Tracking System, USDA/OIG-6, containing audit employee training records, can be deleted and the records of audit employee training history will be included in USDA/OIG-5 Automated Reporting and General Operations System (ARGOS). Additionally, USDA OIG has determined that six existing routine uses need to be modified or revised, and that new routine uses need to be added to several systems of records. USDA OIG has determined that the release of information for the purposes provided in the new routine uses is a necessary and proper use of the information in the systems of records and is compatible and consistent with the purpose for which the records are collected.
USDA OIG has also determined that its systems of records' locations need to be updated as set forth in the system location of each system of records and in Appendix A. USDA OIG's office locations can also be found on OIG's Web site at
USDA OIG is also amending the systems of records to make clear that written requests for Notification, Record Access and Contesting Records should be addressed to the Counsel to the Inspector General. Where applicable, the storage, retention, and disposal practices for records in systems of records have also been updated. USDA OIG's records are retained and disposed of, as applicable, in compliance with the General Records Schedule, National Archives and Records Administration (NARA) and USDA OIG's record disposition authority, approved by NARA. USDA OIG's record disposition authority was approved by NARA on October 17, 2001.
This notice adds a new system of records called USDA/OIG-9, Audit Records, to account for information about individuals that is not included elsewhere in OIG's systems of records regarding OIG audits.
USDA OIG has also determined that its systems of records need to be updated to include a section on disclosures to consumer reporting agencies, a purpose(s) section, and a security classification section.
The description of existing system of records USDA/OIG-1 Employee Records is revised to show that OPM/GOVT-8, Confidential Statements of Employment and Financial Interest, has been renamed OGE/GOVT-2, Executive Branch Confidential Financial Disclosure Reports as shown in 55 FR 6327 (February 22, 1990) and 68 FR 3098 (January 22, 2003). A reference to governmentwide system of records OGE/GOVT-1, Executive Branch Personnel Public Financial Disclosure Reports and Other Named-Retrieved Ethics Program Records, is being added to fully reflect the ethics records in OIG's possession.
The retention and disposal paragraph for this system is updated to reflect that records are disposed of in accordance with the various applicable retention periods and disposal methods as outlined by NARA. The following sentence is deleted as it is no longer applicable: “Personal information that the agency deems to be potentially derogatory or embarrassing is shredded when retention period expires.”
USDA OIG is terminating USDA/OIG-6 entitled Training Tracking System for training records of audit employees. The records currently covered by USDA/OIG-6 will be covered by USDA/OIG-5 (ARGOS), and the USDA/OIG-6 system designation will be reserved for future use.
USDA OIG has undertaken an internal review and has determined that an additional system of records notice is necessary in order to account for information maintained about individuals that is not included elsewhere in USDA OIG's systems of records. The new USDA OIG system of records is entitled USDA/OIG-9 Audit Records. The system is designed to function as a tool to initiate, manage, and retain audits in a centralized environment. Records maintained in this system may be retrieved by OIG personnel in headquarters and the
USDA OIG proposes revising Routine Use 5 to incorporate the clarifications on such disclosures prescribed by the Office of Management and Budget (OMB) in its supplementary guidelines dated May 24, 1985, for implementing the Privacy Act. The current language of Routine Use No. 5 is as follows:
(5) A record from the system of records may be disclosed to the Department of Justice in the course of litigation when the use of such records by the Department of Justice is deemed relevant and necessary to the litigation and may be disclosed in a proceeding before a court, adjudicative body, or administrative tribunal, or in the course of civil discovery, litigation, or settlement negotiations, when a party to a legal action or an entity or individual having an interest in the litigation includes any of the following:
(a) The OIG or any component thereof;
(b) Any employee of the OIG in his or her official capacity;
(c) Any employee of the OIG in his or her individual capacity where the Department of Justice has agreed to represent the employee; or
(d) The United States, where the OIG determines that litigation is likely to affect USDA or any of its components.
The revised routine use will read as follows:
(5) A record from the system of records may be disclosed to the U.S. Department of Justice or in a proceeding before a court, administrative tribunal, or adjudicative body, when:
(a) OIG, or any component thereof;
(b) Any employee of OIG in his or her official capacity;
(c) Any employee of OIG in his or her individual capacity where the Department of Justice has agreed to represent the employee; or
(d) The United States, where the OIG determines that litigation is likely to affect USDA or any of its components, is a party to the litigation or has an interest in such litigation, and OIG determines that use of such records is relevant and necessary to the litigation; provided, however, that in each case, OIG determines that disclosure of the records is a use of the information contained in the records that is compatible with the purpose for which the records were collected.
The revised routine use, like the original version of the routine use, will still allow for the disclosure of information in the course of civil discovery, litigation, or settlement negotiations. The revision is simply to incorporate a clarification by OMB.
USDA OIG proposes revising Routine Use 10 to more clearly recognize the role of the cognizant agency head and the relevant law enforcement purposes related to subpoenas issued by Federal agencies in compliance with 5 U.S.C. 552a(b)(7). The current language of Routine Use 10 is as follows:
A record from the system of records may be disclosed in response to a subpoena issued by a Federal agency having the power to subpoena records of other Federal agencies, if the OIG determines that: (a) The records are both relevant and necessary to the proceeding, and (b) such release is compatible with the purpose for which the records were collected.
The revised routine use will then read as follows:
(10) A record from the system of records may be disclosed in response to a subpoena issued by a Federal agency having the power to subpoena records of other Federal agencies, provided the subpoena is channeled through the head of the agency, if the OIG determines that: (a) The head of the agency signed the subpoena; (b) the subpoena specifies the information sought and the law enforcement purpose served; (c) the records are both relevant and necessary to the proceeding; and (d) such release is compatible with the purpose for which the records were collected.
The revised routine use, like the original version of the routine use, will still allow for the disclosure of information in response to a subpoena issued by a Federal agency having the power to subpoena records of other Federal agencies in order to cooperate with Federal agencies to the extent necessary for them to carry out their legal responsibilities.
USDA OIG proposes revising existing Routine Use No. 13 by deleting one half of one sentence of the existing routine use to avoid referring to another agency's regulations, to add language regarding personal privacy, and to make this routine use consistent with respect to all applicable USDA OIG systems of records. The current language of Routine Use No. 13 for USDA/OIG-1, USDA/OIG-2, USDA/OIG-5, and USDA/OIG-6 is as follows:
(13) Relevant information from a system of records may be disclosed to the news media and general public where there exists a legitimate public interest,
The proposed revision deletes the last part of the sentence, to end the sentence after the word “property.” Thus, the end of the sentence that refers to the Department of Justice guidelines and its regulatory citation is deleted and a reference to personal privacy is added. The revised routine use will then read as follows:
(13) Relevant information from a system of records may be disclosed to the news media and general public where there exists a legitimate public interest,
Part of this modification (deleting the reference to the Department of Justice guidelines and its regulatory citation) to Routine Use No. 13 was made for USDA/OIG-3 and USDA/OIG-4 in 2005, 70 FR 21389 (April 26, 2005). We are revising the routine use as to USDA/OIG-1, 2, and 5 to make it consistent with the routine use applicable to these other USDA OIG systems of records and updating the routine use for USDA/OIG-3 and USDA/OIG-4 as well to address personal privacy concerns.
USDA OIG proposes revising two existing routine uses by allowing disclosure to the President's Council on Integrity and Efficiency's successor entity, the Council of the Inspectors General on Integrity and Efficiency (CIGIE), or to any successor entity.
The current language of Routine Uses numbered 14 and 15 for USDA/OIG-3, USDA/OIG-4, and USDA/OIG-8 (Office of Audit's Research Aggregated Data Analysis Repository (RADAR)) is as follows:
(14) A record may be disclosed to any official charged with the responsibility to conduct qualitative assessment
(15) In the event that these records respond to an audit, investigation, or review, which is conducted pursuant to an authorizing law, rule, or regulation, and in particular those conducted at the request of the President's Council on Integrity and Efficiency (PCIE) pursuant to Executive Order 12993, the records may be disclosed to the PCIE and other Federal agencies, as necessary.
The revised routine uses will then read as follows:
(14) A record may be disclosed to any official charged with the responsibility to conduct qualitative assessment reviews or peer reviews of internal safeguards and management procedures employed in investigative, audit, and inspection and evaluation operations. This disclosure category includes members of the Council of the Inspectors General on Integrity and Efficiency (CIGIE) or any successor entity and officials and administrative staff within their chain of command, as well as authorized officials of the Department of Justice and the Federal Bureau of Investigation.
(15) In the event that these records respond to an audit, investigation, or review, which is conducted pursuant to an authorizing law, rule, or regulation, and in particular those conducted at the request of CIGIE, the records may be disclosed to the CIGIE or any successor entity and other Federal agencies, as necessary.
USDA OIG proposes to renumber Routine Use 1 for USDA/OIG-6 (Training Tracking System) (published at 62 FR 61262, November 17, 1997) to Routine Use 17 since USDA/OIG-6 (Training Tracking System) currently has two routine uses which are numbered 1, and USDA OIG is deleting USDA/OIG-6. USDA OIG is not amending current Routine Use 1 substantively, but is renumbering it as Routine Use 17 in the amended systems of records notice.
USDA OIG proposes revising the existing routine use, renumbered as Routine Use No. 17, to change the name General Accounting Office because the name of that office has changed to the U.S. Government Accountability Office.
The current language of Routine Use No. 1 for USDA/OIG-6 is as follows:
A record from the system of records may be disclosed as a routine use to a Federal agency or professional organization to document continuing education credits required by the Government Auditing Standards, U.S. General Accounting Office Standards of Audit of Governmental Organizations, Programs, Activities, and Functions. The record must be relevant to the determination of professional proficiency and compliance with the general qualification standard for government auditing, and retention of an employee or other personnel action.
The revised routine use will then read as follows:
(17) A record from the system of records may be disclosed as a routine use to a Federal agency or professional organization to document continuing professional education required by the Government Auditing Standards published by the U.S. Government Accountability Office. The record must be relevant to the determination of competency and compliance with the general qualification standard for government auditing, and retention of an employee or other personnel action.
USDA OIG proposes to add four new routine uses.
The first added routine use (proposed 18) is proposed to more readily and explicitly inform victims and complainants about the status, progress, and/or results of an investigation or case.
The second added routine use (proposed 19) is proposed to allow USDA OIG to share information with former employees for the purposes of responding to certain official inquiries and for facilitating communications that may be necessary for personnel-related or other official purposes.
The third added routine use (proposed 20) is proposed to allow the disclosure of information to CIGIE and its members for the preparation of reports to the President and Congress on the activities of the Inspectors General.
The fourth added routine use (proposed 21) is proposed to allow the disclosure of information to the NARA, Office of Government Information Services (OGIS), for all the purposes set forth in 5 U.S.C. 552(h)(2)(A) and (B) and (h)(3).
The text of the proposed routine use 18 is applicable to systems of records USDA/OIG-2, USDA/OIG-3, USDA/OIG-4, and USDA/OIG-5, and will read as follows:
18. To complainants and/or victims to the extent necessary to provide such persons with information and explanations concerning the progress and/or results of the investigation or case arising from the matters of which they complained and/or of which they were a victim.
The text of the proposed routine use 19 is applicable to systems of records USDA/OIG-1, USDA/OIG-2, USDA/OIG-3, USDA/OIG-4, USDA/OIG-5, USDA/OIG-7, USDA/OIG-8, and the new USDA/OIG-9, and will read as follows:
19. To a former employee of OIG for purposes of: Responding to an official inquiry by a Federal, State, or local government entity or professional licensing authority, in accordance with applicable Department regulations; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes where OIG requires information and/or consultation assistance from the former employee regarding a matter within that person's former area of official responsibility.
The text of the proposed routine use 20 is applicable to systems of records USDA/OIG-3, USDA/OIG-4, USDA/OIG-8, and USDA/OIG-9, and will read as follows:
20. A record may be disclosed to members and employees of CIGIE, or any successor entity, for the preparation of reports to the President and Congress on the activities of the Inspectors General.
The text of the proposed routine use 21 is applicable to systems of records USDA/OIG-1, USDA/OIG-2, USDA/OIG-3, USDA/OIG-4, USDA/OIG-5, USDA/OIG-7, USDA/OIG-8, and USDA/OIG-9, and will read as follows:
21. A record may be disclosed to the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS' offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.
USDA OIG has determined that a new section on “Disclosure to Consumer Reporting Agencies” needs to be added to allow disclosures of records in order to improve debt collection by the
As a result of our review, USDA OIG found that all of our Privacy Act systems of records notices should be revised by adding a “purpose(s)” statement to conform the notices to the format required by the Office of the Federal Register. A purpose(s) statement was added to each system of records.
In accordance with 5 U.S.C. 552a(r), USDA OIG has provided a report to the Office of Management and Budget and to Congress on the proposed systems of records.
Accordingly, we are republishing the systems of records notices in their entirety, as amended, as follows:
The following 21 routine uses are applicable as noted below to USDA OIG's systems of records.
1. A record from the system of records which indicates either by itself or in combination with other information, a violation or potential violation of a contract or law, whether civil, criminal, or regulatory, or which otherwise reflects on the qualifications or fitness of a licensed (or seeking to be licensed) individual, may be disclosed to a Federal, State, local, foreign, or self-regulatory agency (including but not limited to organizations such as professional associations or licensing boards), or other public authority that investigates or prosecutes or assists in such investigation, prosecution, enforcement, implementation, or issuance of the statute, rule, regulation, order, or license.
2. A record from the system of records may be disclosed to a Federal, State, local, or foreign agency, other public authority, consumer reporting agency, or professional organization maintaining civil, criminal, or other relevant enforcement or other pertinent records, such as current licenses, in order to obtain information relevant to an OIG decision concerning employee retention or other personnel action, issuance of a security clearance, letting of a contract or other procurement action, issuance of a benefit, establishment of a claim, collection of a delinquent debt, or initiation of an administrative, civil, or criminal action.
3. A record from the system of records may be disclosed to a Federal, State, local, foreign, or self-regulatory agency (including but not limited to organizations such as professional associations or licensing boards), or other public authority, to the extent the information is relevant and necessary to the requestor's hiring or retention of an individual or any other personnel action; issuance or revocation of a security clearance, license, grant, or other benefit; establishment of a claim; letting of a contract; reporting of an investigation of an individual; or for purposes of a suspension or debarment action, or the initiation of administrative, civil, or criminal action.
4. A record from the system of records may be disclosed to any source—private or public—to the extent necessary to secure from such source information relevant to a legitimate OIG investigation, audit, or other inquiry.
5. A record from the system of records may be disclosed to the U.S. Department of Justice or in a proceeding before a court, administrative tribunal, or adjudicative body, when:
(a) OIG, or any component thereof;
(b) Any employee of OIG in his or her official capacity;
(c) Any employee of OIG in his or her individual capacity where the Department of Justice has agreed to represent the employee; or
(d) The United States, where the OIG determines that litigation is likely to affect USDA or any of its components,
is a party to the litigation or has an interest in such litigation, and OIG determines that use of such records is relevant and necessary to the litigation, provided, however, that in each case, OIG determines that disclosure of the records is a use of the information contained in the records that is compatible with the purpose for which the records were collected.
6. A record from the system of records may be disclosed to a Member of Congress from the record of an individual in response to an inquiry from the Member of Congress made at the request of that individual. In such cases however, the Member's right to a record is no greater than that of the individual.
7. A record from the system of records may be disclosed to the Department of Justice for the purpose of obtaining its advice on an OIG audit, investigation, or other inquiry, including Freedom of Information or Privacy Act matters.
8. A record from the system of records may be disclosed to the Office of Management and Budget for the purpose of obtaining its advice regarding OIG obligations under the Privacy Act or in connection with the review of private relief legislation.
9. A record from the system of records may be disclosed to a private firm with which OIG contemplates it will contract or with which it has contracted for the purpose of performing any functions or analyses that facilitate or are relevant to an OIG investigation, audit, inspection, or other inquiry. Such contractor or private firm shall be required to maintain Privacy Act safeguards with respect to such information.
10. A record from the system of records may be disclosed in response to a subpoena issued by a Federal agency having the power to subpoena records of other Federal agencies, provided the subpoena is channeled through the head of the agency, if the OIG determines that: (a) The head of the agency signs the subpoena; (b) the subpoena specifies the information sought and the law enforcement purpose served; (c) the records are both relevant and necessary to the proceeding; and (d) such release is compatible with the purpose for which the records were collected.
11. A record from the system of records may be disclosed to a grand jury agent pursuant either to a Federal or State grand jury subpoena, or to a prosecution request that such record be released for the purpose of its introduction to a grand jury, provided that the grand jury channels its request through the cognizant U.S. Attorney, that the U.S. Attorney has been delegated the authority to make such requests by the Attorney General, and that the U.S. Attorney actually signs the letter specifying both the information sought and the law enforcement purpose served. In the case of a State grand jury subpoena, the State equivalent of the U.S. Attorney and Attorney General shall be substituted.
12. A record from the system of records may be disclosed, as a routine use, to a Federal, State, local, or foreign agency, or other public authority, for use in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by any agency, to support civil and criminal law enforcement activities of any agency
13. Relevant information from a system of records may be disclosed to the news media and general public where there exists a legitimate public interest,
14. A record may be disclosed to any official charged with the responsibility to conduct qualitative assessment reviews or peer reviews of internal safeguards and management procedures employed in investigative, audit, and inspection and evaluation operations. This disclosure category includes members of the Council of the Inspectors General on Integrity and Efficiency (CIGIE) or any successor entity and officials and administrative staff within their chain of command, as well as authorized officials of the Department of Justice and the Federal Bureau of Investigation.
15. In the event that these records respond to an audit, investigation, or review, which is conducted pursuant to an authorizing law, rule, or regulation, and in particular those conducted at the request of CIGIE, the records may be disclosed to the CIGIE or any successor entity and other Federal agencies, as necessary.
16. A record from the system of records may be disclosed to appropriate agencies, entities, and persons when: (a) OIG suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) USDA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by USDA or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with USDA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
17. A record from the system of records may be disclosed as a routine use to a Federal agency or professional organization to document continuing professional education required by the Government Auditing Standards published by the U.S. Government Accountability Office. The record must be relevant to the determination of competency and compliance with the general qualification standard for government auditing, and retention of an employee or other personnel action.
18. A record from the system of records may be disclosed to complainants and/or victims to the extent necessary to provide such persons with information and explanations concerning the progress and/or results of the investigation or case arising from the matters of which they complained and/or of which they were a victim.
19. A record from the system of records may be disclosed to a former employee of OIG for purposes of: Responding to an official inquiry by a Federal, State, or local government entity or professional licensing authority, in accordance with applicable Department regulations; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes where OIG requires information and/or consultation assistance from the former employee regarding a matter within that person's former area of official responsibility.
20. A record may be disclosed to members and employees of the CIGIE, or any successor entity, for the preparation of reports to the President and Congress on the activities of the Inspectors General.
21. A record may be disclosed to the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures, and compliance with the Freedom of Information Act (FOIA), and to facilitate OGIS' offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.
Employee Records, USDA/OIG.
None.
In the headquarters offices of the U.S. Department of Agriculture (USDA), Office of Inspector General (OIG), 1400 Independence Avenue SW., Washington, DC 20250; the Office of Compliance and Integrity, 5601 Sunnyside Avenue, Suite 2-2230, Beltsville, Maryland 20705-5300; and in the OIG regional offices and suboffices, listed in Appendix A.
OIG temporary and permanent employees, former employees of OIG, and applicants for employment.
These records show or relate to employment, personnel management, and work-related information, including position, classification, title, grade, pay rate, pay, temporary and permanent addresses and telephone numbers for home and work, copies of security clearance forms, program and performance evaluations, promotions, retirement, disciplinary actions, appeals, incentive programs, unemployment compensation, leave, complaints and grievances, health benefits, equal employment opportunity, automation of personnel data, travel information, accident reports and related information, activity reports, participation in savings and contribution programs, availability for employment, assignment, or for transfer, qualifications (for law enforcement employees this includes Attorney General designations, training certificates, physical fitness data, and medical officer's certification excluding personal medical data), awards, hours worked, issuance of credentials, passports and other identification, assignment and accountability of property and other things of value, parking space assignments, training and development, special assignments, and exit interviews.
Other employee records are covered by other systems as follows: For Official Personnel Folder (OPF) data refer to USDA/OP-1 Personnel and Payroll System for USDA Employees; for medical records, including SF-78, Certificate of Medical Examination, and drug testing records, refer to OPM/GOVT-10 Employee Medical File System; for pre-employment inquiries refer to USDA/OIG-3, Investigative Files and Automated Investigative Indices; for executive branch personnel financial disclosure statements and other ethics program records refer to OGE/GOVT-1, Executive Branch Personnel Public Financial Disclosure Reports and Other Named-Retrieved Ethics Program Records; for annual financial disclosure statements refer to OGE/GOVT-2, Executive Branch Confidential Financial Disclosure Reports.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
This system consists of records compiled for personnel, payroll, and time-reporting purposes. In addition, this system contains all records created and/or maintained about employees as required by the Office of Personnel Management (OPM) as well as documents relating to personnel matters and determinations. Retirement, life, and health insurance benefit records are collected and maintained in order to administer the Federal Employees Retirement System, Civil Service Retirement System, Federal Employees' Group Life Insurance Plan, and the Federal Employees Health Benefit Program.
Routine Uses 1 through 13, 16, 19, and 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The system consists of computerized and paper records.
The records are retrieved by name of the individual employee and by Social Security number.
Computer files are password protected and other records are kept in limited-access areas during duty hours and in locked offices during nonduty hours.
The records are retained and disposed of in compliance with the General Records Schedule, NARA. Retention periods and disposal methods vary by record categories as set forth in NARA General Records Schedules 1 (Civilian Personnel Records) and 2 (Payrolling and Pay Administration Records).
Assistant Inspector General for Management, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
The primary information is furnished by the individual employee. Additional information is provided by supervisors, coworkers, references, and others.
None.
Informant and Undercover Agent Records, USDA/OIG.
Sensitive but Unclassified and/or Controlled Unclassified Information
In the OIG headquarters office at 1400 Independence Avenue SW., Washington, DC 20250, and in the OIG regional offices and Investigations suboffices listed in Appendix A.
Confidential informants, investigative operatives, and undercover OIG special agents and other law enforcement personnel and others.
Information including names, occupations, criminal histories, and other information about confidential informants and investigative operatives, together with allegations against them, and the types of information previously furnished by or to be expected from them. Types, dates of issuance and destruction, and details of undercover identification documents used by OIG special agents and other law enforcement personnel for undercover activities.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
To track the identities of, and related information regarding, confidential informants, investigative operatives, and undercover OIG special agents and other law enforcement personnel.
Routine Uses 1 through 13, 16, 18, 19, and 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The system consists of computerized and paper records.
The records are retrieved by name of confidential informant, investigative operative, or special agent.
Computer files are password protected and other records are kept in limited-access areas during duty hours and in locked offices during nonduty hours.
The records contained in this system are currently unscheduled. A record retention schedule will be developed and submitted to NARA for approval. No records will be destroyed until a NARA approved record retention schedule is in place.
Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
This system contains materials for which sources need not be reported.
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). Pursuant to 5 U.S.C. 552a(k)(2) and (5), this system is exempted from the following provisions of the Privacy Act of 1974, 5 U.S.C. 552a: Subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f).
Investigative Files and Automated Investigative Indices System, USDA/OIG.
Sensitive but Unclassified and/or Controlled Unclassified Information
Physical files are kept in the OIG headquarters office at 1400 Independence Avenue SW., Washington, DC 20250; the Office of Compliance and Integrity, 5601 Sunnyside Avenue, Suite 2-2230, Beltsville, Maryland 20705-5300; and in the OIG regional offices and Investigations suboffices listed in Appendix A. The OIG regional offices and Investigations suboffices maintain paper files containing the report of investigation and the workpapers for each case investigated by that office. The headquarters files contain a copy of every investigative report, but do not contain workpapers and may not contain copies of all correspondence. Older investigative files may be stored in Federal Records Centers or on microfiche, microfilm, or electronic image filing systems. Therefore, delays in retrieving this material can be expected. Selected portions of records have been computerized—see section 1 of “Categories of records” below. These records, used as a research tool, are accessible by computer terminals located in each OIG office. These records are maintained on a computer at 1400 Independence Avenue SW., Washington, DC 20250.
The individual names in the OIG index fall into one or more of the following categories:
1. Subjects. These are individuals against whom allegations of wrongdoing have been made. In some instances, these individuals have been the subjects of investigations conducted by OIG to establish whether allegations were true. In other instances, the allegations were deemed too frivolous or indefinite to warrant inquiry.
2. Principals. These are individuals who are not named subjects of investigative inquiries, but may be responsible for potential violations. For example, the responsible officers of a firm alleged to have violated laws or regulations might be individually listed in the OIG index.
3. Complainants. These are individuals, who have not requested anonymity or confidentiality regarding their identity, who allege wrongdoing, mismanagement, or unfair treatment by USDA employees and/or relating to USDA programs.
4. Others. These are all other individuals closely connected with a matter of investigative interest.
Records in the OIG Investigative Files and Automated Investigative Indices System consist of:
1. Computerized records retrieved by case number or alphabetically by the names of individuals, organizations, and firms. A separate record for each contains, if applicable, identification of the OIG file or files which contain information on that subject and if such information was available when the record was created or modified; the individual's name, address, sex, race, date and place of birth, relationship to the investigation, FBI or State criminal identification number, and Social Security number;
2. Files containing sheets of paper or microfiche of such sheets from investigative and other reports, correspondence, and informal notes and notations concerning (a) one investigative matter or (b) a number of incidents of the same sort of alleged violation or irregularity; and
3. Where an investigation is being or will be conducted, but has not been completed, various case management records, investigator's notes, statements of witnesses, and copies of records. These are contained on cards and sheets of paper located in an OIG office or in the possession of the OIG investigator. Certain management records are retained after the investigative report is released as a means of following action taken on the basis of the OIG investigative report.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
The records maintained in the system are used by the OIG in furtherance of the responsibilities of the Inspector General, pursuant to the Inspector General Act of 1978, as amended, to conduct and supervise investigations relating to programs and operations of the USDA; to promote economy, efficiency, and effectiveness in the administration of such programs and operations; and to prevent and detect fraud and abuse in such programs and operations.
Routine Uses 1 through 16, 18 through 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting
The system consists of computerized and paper records.
Computerized records are retrieved alphabetically or by using the case number, with each record identifying one or more OIG investigative case files or administrative files arranged numerically by file number.
These records are kept in limited-access areas during duty hours, in locked offices during nonduty hours, or in the possession of the investigator. Computer files are password protected.
The records are retained and disposed of in compliance with OIG's record disposition authority, approved by NARA.
Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250; and the Director, Office of Compliance and Integrity, 5601 Sunnyside Avenue, Suite 2-2230, Beltsville, Maryland 20705-5300.
Inquiries and requests should be addressed to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
This system contains materials for which sources need not be reported.
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). Pursuant to 5 U.S.C. 552a(k)(2) and (5), this system is exempted from the following provisions of the Privacy Act of 1974, 5 U.S.C. 552a: Subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f).
OIG Hotline Complaint Records, USDA/OIG.
Sensitive but Unclassified and/or Controlled Unclassified Information
In the OIG headquarters office at 1400 Independence Avenue SW., Washington, DC 20250.
1. Complainants are persons who report or complain of possible criminal, civil, or administrative violations of law, rule, regulation, policy, or procedure, or fraud, waste, abuse, mismanagement, gross waste of funds, or abuse of authority in USDA programs or operations, or specific dangers to public health or safety, misuse of government property, personnel misconduct, discrimination, or other irregularities affecting USDA.
2. Subjects are persons against whom such complaints are made.
1. Identities of complainants, if known, and subjects.
2. Details of each allegation.
3. OIG case number and control number(s) used by other agencies for tracking each complaint.
4. Responses from agencies to which complaints are referred for inquiry.
5. Summaries of substantiated information and results of agency inquiry into the complaint.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
To record complaints, allegations of wrongdoing, and requests for assistance; to document inquiries; to compile statistical information; to provide prompt, responsive, and accurate information regarding the status of ongoing cases; to provide a record of complaint disposition and to record actions taken and notifications of interested parties and agencies.
Routine Uses 1 through 16, 18 through 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The system consists of computerized and paper records.
The records are retrieved by name of subject or complainant or by case number.
Files are kept in a limited access area and are in locked storage when not in use. Access to computerized information is protected by requiring a confidential password.
The records are retained and disposed of in compliance with OIG's record disposition authority, approved by NARA.
Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
Identities of complainants and subjects are provided by individual complainants. Additional information may be provided by individual complainants, subjects, and/or third parties.
Pursuant to 5 U.S.C. 552a(j)(2), this system of records is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). Pursuant to 5 U.S.C. 552a(k)(2) and (5), this system is exempted from the following provisions of the Privacy Act of 1974, 5 U.S.C. 552a: Subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f).
Automated Reporting and General Operations Systems (ARGOS), USDA/OIG.
Sensitive but Unclassified and/or Controlled Unclassified Information.
U.S. Department of Agriculture, National Information Technology Center, 8930 Ward Parkway, Kansas City, Missouri 64114; in the OIG headquarters office at 1400 Independence Avenue SW., Washington, DC 20250; and in OIG Regional Offices/Audit suboffices listed in Appendix A.
OIG professional employees who participate in either audit or investigative assignments. Subjects of investigations, principals, and others associated with investigations.
ARGOS provides OIG management officials with a wide range of information on audit and investigative operations. The system identifies individual assignments of employees and provides information on their use of direct and indirect time, significant dates relating to each assignment, reported dollar deficiencies, recoveries, penalties, investigative prosecutions, convictions, other legal and administrative actions, and subjects of investigation. The system is used to manage audit and investigative assignments and to facilitate reporting of OIG activities to Congress and other Governmental entities. The system contains records of audit employee training history.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 7 U.S.C. 2270.
The records maintained in the system are used by the OIG in furtherance of the responsibilities of the Inspector General, pursuant to the Inspector General Act of 1978, as amended, to conduct and supervise audits and investigations relating to programs and operations of the USDA; to promote economy, efficiency, and effectiveness in the administration of such programs and operations; to prevent and detect fraud and abuse in such programs and operations; and for time management and tracking of audit training.
Routine Uses 1 through 13, 15, 16, 17, and 18 through 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The system consists of computerized and paper records.
Information in the system generally can be retrieved by OIG personnel in headquarters and the regions. Information is generally retrieved by assignment number or geographic location. However, information can be retrieved by any field in the system, including subject name, and employee name.
Normal computer security is maintained including password protection. Printouts and source documents are kept in limited-access areas during duty hours and in locked offices during nonduty hours.
The records are retained and disposed of in compliance with the General Records Schedule, NARA and OIG's record disposition authority, approved by NARA.
Audit Subsystem—Assistant Inspector General for Audit, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250. Investigations Subsystem—Assistant Inspector General for Investigations, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
Information in the system is obtained from OIG employees and from various source documents related to audit and investigative activities, including assignment letters, employee time reports, and case entry sheets.
Pursuant to 5 U.S.C. 552a(j)(2), the Investigations Subsystem and the Investigation Employee Time System of this system of records is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, as amended, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). Pursuant to 5 U.S.C. 552a(k)(2) and (k)(5), the Investigations Subsystem and the Investigation Employee Time System of this system is exempted from the following provisions of the Privacy Act of 1974, 5 U.S.C. 552a: Subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f).
Reserved for future use.
USDA/OIG-7
Freedom of Information Act and Privacy Act Request Records, USDA/OIG.
None.
Files are kept in the OIG headquarters office at 1400 Independence Avenue SW., Washington, DC 20250.
This system contains records of individuals who have made requests under the Freedom of Information Act or the Privacy Act.
The request records consist of the incoming request, all correspondence developed during the processing of the request, the final reply, and any incoming requests and responses for FOIA appeals, including any litigation in U.S. District Court, and in some instances copies of requested records and records under administrative appeal.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301; 5 U.S.C. 552, 5 U.S.C. 552a.
To assist OIG in carrying out its responsibilities under the Freedom of Information Act and the Privacy Act.
Routine Uses 7, 16, 19, and 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The system consists of computerized and paper records.
The records are retrieved by name or by using a control number that is assigned upon date of receipt.
Freedom of Information Act and Privacy Act request records are stored in file cabinets in limited-access areas during duty hours and in locked offices during nonduty hours. Computerized records are maintained in a secure, password protected computer system. The computer server is maintained in a secure, access-controlled area within an access-controlled building.
The records are retained and disposed of in compliance with the General Records Schedule, NARA. Retention periods and disposal methods vary by record categories as set forth in NARA General Records Schedule 14, Information Services Records.
Counsel to the Inspector General, Office of Counsel, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
Information in this system comes from the individual making the request and from OIG employees processing the request.
None.
Office of Audit's Research Aggregated Data Analysis Repository (RADAR) System, USDA/OIG.
None.
U.S. Department of Agriculture, National Information Technology Center, 8930 Ward Parkway, Kansas City, Missouri 64114.
Individuals who participate in programs funded, monitored, and administered by USDA; other individuals who are connected with the individuals, organizations, or firms who participate in programs funded, monitored, and administered by USDA, including the names of the subjects of OIG audits and investigations.
RADAR houses USDA data in order to detect fraud, waste, and abuse by utilizing software to match, merge, and analyze the data associated with USDA programs and activities, program participants, and other USDA information.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301.
The records maintained in the system are used by the OIG in furtherance of the responsibilities of the Inspector General, pursuant to the Inspector General Act of 1978, as amended, to conduct and supervise audits relating to programs and operations of the USDA; to promote economy, efficiency, and effectiveness in the administration of such programs and operations; and to prevent and detect fraud and abuse in such programs and operations.
Routine Uses 1 through 16, 19, 20, and 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The RADAR System consists of computerized and paper records.
The records are retrieved by names, addresses, Social Security numbers, and tax identification numbers of USDA program participants or by case numbers.
Computerized records are maintained in a secure, password protected computer system. The computer server is maintained in a secure, access-controlled area within an access-controlled building. Paper records are kept in limited access areas during duty hours and in locked offices during non-duty hours.
The records are retained and disposed of in compliance with OIG's record disposition authority, approved by NARA.
Assistant Inspector General for Audit, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308. This system may contain records originated by USDA agencies and contained in the USDA's other systems of records. Where appropriate, coordination will be effected with the appropriate USDA agency regarding an individual's contesting of records in the relevant system of records.
None.
Audit Records.
None.
U.S. Department of Agriculture, National Information Technology Center, 8930 Ward Parkway, Kansas City, Missouri 64114; OIG headquarters office, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250; and OIG Audit regional offices and suboffices, listed in Appendix A.
Individuals covered consist of: (1) USDA program participants and USDA employees who are associated with an activity that OIG is auditing or reviewing; (2) requesters of an OIG audit or other activity; and (3) persons and entities performing some other role of significance to the OIG's efforts, such as relatives or business associates of USDA program participants or employees, potential witnesses, or persons who represent legal entities that are connected to an OIG audit or other activity. The system also tracks information pertaining to OIG staff handling the audit or other activity, and may contain names of relevant staff in other agencies and private sector entities.
Records consist of materials compiled and/or generated in connection with audits and other activities performed by OIG staff. These materials include workpapers and information regarding the planning, conduct, and resolution of audits and reviews of USDA programs and participants in those programs, internal legal assistance requests, information requests, responses to such requests, and reports of findings. The information consists of audit work papers and reports.
IG Act of 1978, 5 U.S.C. app. 3; 5 U.S.C. 301.
The purpose of this system is to maintain a management information system for USDA OIG audit projects and personnel and to assist in the accurate and timely conduct of audits.
Routine Uses 1 through 16, 19, 20, and 21 apply.
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)).
The system consists of computerized and paper records.
Information in the system generally can be retrieved by OIG personnel in headquarters and the regions. Information is generally retrieved by audit assignment number. However,
Normal computer security is maintained including password protection. File folders are kept in limited-access areas during duty hours and in locked offices during nonduty hours.
The records are retained and disposed of in compliance with OIG's record disposition authority, approved by NARA.
Assistant Inspector General for Audit, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250.
Any individual may request information regarding this system of records, or information as to whether the system contains records pertaining to him/her, from the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may request access to a record in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
An individual may contest information in this system which pertains to him/her by submitting a written request to the Counsel to the Inspector General, Office of Inspector General, U.S. Department of Agriculture, 1400 Independence Avenue SW., Stop 2308, Washington, DC 20250-2308.
Information in the system is obtained from various source documents related to audits, including USDA, other federal agencies, the Government Accountability Office, law enforcement agencies, program participants including individuals and business entities, subject individuals, complainants, witnesses, and other non-governmental sources.
None.
Animal and Plant Health Inspection Service, USDA.
Notice.
We are advising the public that the Animal and Plant Health Inspection Service (APHIS) has received a petition from the Monsanto Company (Monsanto) seeking a determination of nonregulated status for maize designated as MON 87419, which has been genetically engineered for resistance to the herbicides dicamba and glufosinate. The petition has been submitted in accordance with our regulations concerning the introduction of certain genetically engineered organisms and products. We are making the Monsanto petition available for review and comment to help us identify potential issues and impacts that APHIS should be considering in our evaluation of the petition.
We will consider all comments that we receive on or before October 13, 2015.
You may submit comments by either of the following methods:
•
•
The petition and any comments we receive on this docket may be viewed at
The petition is also available on the APHIS Web site at:
Dr. John Turner, Director, Environmental Risk Analysis Programs, Biotechnology Regulatory Services, APHIS, 4700 River Road Unit 147, Riverdale, MD 20737-1236; (301) 851-3954, email:
Under the authority of the plant pest provisions of the Plant Protection Act (7 U.S.C. 7701
The regulations in § 340.6(a) provide that any person may submit a petition to the Animal and Plant Health Inspection Service (APHIS) seeking a determination that an article should not be regulated under 7 CFR part 340. Paragraphs (b) and (c) of § 340.6 describe the form that a petition for a determination of nonregulated status must take and the information that must be included in the petition.
APHIS has received a petition (APHIS Petition Number 15-113-01p) from the Monsanto Company (Monsanto) of St. Louis, MO, seeking a determination of nonregulated status for maize (
MON 87419 maize is currently regulated under 7 CFR part 340. Interstate movements and field tests of MON 87419 maize have been authorized by APHIS. Field tests conducted under APHIS oversight allowed for evaluation in a natural agricultural setting while imposing measures to minimize the risk of persistence in the environment after completion of the tests. Data are gathered on multiple parameters and used by the applicant to evaluate agronomic characteristics and product performance. These and other data are used by APHIS to determine if the new variety poses a plant pest risk.
Paragraph (d) of § 340.6 provides that APHIS will publish a notice in the
In accordance with § 340.6(d) of the regulations and our process for soliciting public input when considering petitions for determinations of nonregulated status for GE organisms, we are publishing this notice to inform the public that APHIS will accept written comments regarding the petition for a determination of nonregulated status from interested or affected persons for a period of 60 days from the date of this notice. The petition is available for public review and comment, and copies are available as indicated under
After the comment period closes, APHIS will review all written comments received during the comment period and any other relevant information. Any substantive issues identified by APHIS based on our review of the petition and our evaluation and analysis of comments will be considered in the development of our decisionmaking documents.
As part of our decisionmaking process regarding a GE organism's regulatory status, APHIS prepares a plant pest risk assessment to assess its plant pest risk and the appropriate environmental documentation—either an environmental assessment (EA) or an environmental impact statement (EIS)—in accordance with the National Environmental Policy Act (NEPA), to provide the Agency with a review and analysis of any potential environmental impacts associated with the petition request. For petitions for which APHIS prepares an EA, APHIS will follow our published process for soliciting public comment (see footnote 1) and publish a separate notice in the
7 U.S.C. 7701-7772 and 7781-7786; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and 371.3.
Forest Service, USDA.
Notice of meeting.
The Siuslaw Resource Advisory Committee (RAC) will meet in Corvallis, Oregon. The committee is authorized under the Secure Rural Schools and Community Self-Determination Act (the Act) and operates in compliance with the Federal Advisory Committee Act. The purpose of the committee is to improve collaborative relationships and to provide advice and recommendations to the Forest Service concerning projects and funding consistent with Title II of the Act. Additional RAC information, including the meeting agenda and the meeting summary/minutes can be found at the following Web site:
The meeting will be held on September 25, 2015 from 9 a.m. to 5 p.m.
All RAC meetings are subject to cancellation. For status of meeting prior to attendance, please contact the person listed under
The meeting will be held at the Corvallis Forestry Sciences Lab and Siuslaw National Forest Supervisor's Office at 3200 SW. Jefferson Way, Corvallis, OR 97331. Members of the public may attend in person or join by video-teleconference from Forest Service facilities in Hebo, Waldport, or Reedsport, Oregon.
Written comments may be submitted as described under
Lisa Romano, Public Affairs Staff Officer, by phone at 541-750-7075 or via email at
Individuals who use telecommunication devices for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 between 8:00 a.m. and 8:00 p.m., Eastern Standard Time, Monday through Friday.
The purpose of the meeting is:
1. To conduct RAC business, elect a RAC chairperson, set the 2015 fiscal year overhead rate, share information, provide a public forum, and review and select Secure Rural Schools Title II projects for funding.
The meeting is open to the public. The agenda will include time for people to make oral statements of three minutes or less. Individuals wishing to make an oral statement should request to do so in writing by September 5, 2015, to be scheduled on the agenda. Anyone who would like to bring related matters to the attention of the committee may file written statements with the committee staff before or after the meeting. Written comments and requests for time for oral comments must be sent to Lisa Romano, Public Affairs Staff Officer, 3200 SW Jefferson Way, Corvallis, OR 97331; or by email to
On behalf of the Committee for the Implementation of Textile Agreements (CITA), the Department of Commerce will submit to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).
The list of commercially unavailable fabrics, yarns, and fibers may be changed pursuant to the commercial availability provision in Chapter 3, Article 3.3, Paragraphs 5-7 of the Agreement. Under this provision, interested entities from Colombia or the United States have the right to request that a specific fabric, yarn, or fiber be added to, or removed from, the list of commercially unavailable fabrics, yarns, and fibers in Annex 3-B of the Agreement.
Chapter 3, Article 3.3, paragraph 7 of the Agreement requires that the President “promptly” publish procedures for parties to exercise the right to make these requests. Section 203(o)(4) of the Act authorizes the President to establish procedures to modify the list of fabrics, yarns, or fibers not available in commercial quantities in a timely manner in either the United States or Colombia as set out in Annex 3-B of the Agreement. The President delegated the responsibility for publishing the procedures and administering commercial availability requests to the Committee for the Implementation of Textile Agreements (“CITA”), which issues procedures and acts on requests through the U.S. Department of Commerce, Office of Textiles and Apparel (“OTEXA”) (See Proclamation No. 8818, 77 FR 29519, May 18, 2012).
The intent of the Commercial Availability Procedures is to foster the use of U.S. and regional products by implementing procedures that allow products to be placed on or removed from a product list, on a timely basis, and in a manner that is consistent with normal business practice. The procedures are intended to facilitate the transmission of requests; allow the market to indicate the availability of the supply of products that are the subject of requests; make available promptly, to interested entities and the public, information regarding the requests for products and offers received for those products; ensure wide participation by interested entities and parties; allow for careful review and consideration of information provided to substantiate requests and responses; and provide timely public dissemination of information used by CITA in making commercial availability determinations.
CITA must collect certain information about fabric, yarn, or fiber technical specifications and the production capabilities of Colombian and U.S. textile producers to determine whether certain fabrics, yarns, or fibers are available in commercial quantities in a timely manner in the United States or Colombia, subject to Section 203(o) of the Act.
This information collection request may be viewed at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to OIRA
The Department of Commerce will submit to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. chapter 35).
The results from MARTS provide the earliest possible look at consumer spending. Without MARTS, the Census Bureau's earliest measure of retail sales is the “preliminary” estimate from the full monthly sample, Month Retail Trade Survey (MRTS), released approximately 6 weeks after the end of the reference month. Advance estimates are released approximately 9 working days after the reference month.
This survey uses a multi-mode data collection process that includes Internet reporting (Centurion), fax, telephone, and mail. The survey requests sales and e-commerce sales for the month just ending. If reporting data for a period other than the calendar month, the survey asks for the period's length (4 or 5 weeks) and the date on which the period ended. The survey also asks for the number of establishments covered by the data provided and whether or not the sales data provided are estimates or more accurate “book” figures.
The survey results are published on the Census Bureau's Web site,
The U.S. Census Bureau tabulates the collected data to provide, with measured reliability, statistics on United States retail sales. These estimates are especially valued by data users because of their timeliness. There would be approximately a 6 week delay in the availability of these statistics if this survey were not conducted.
The sales estimates are used by the Bureau of Economic Analysis (BEA), Council of Economic Advisers (CEA), Federal Reserve Board (FRB), Bureau of Labor Statistics (BLS), and other government agencies, as well as business users in formulating economic decisions.
BEA uses the survey results as critical inputs to the calculation of the personal consumption expenditures component (PCE) of Gross Domestic Product (GDP). Specifically, BEA Chief Statistician states “this important survey is our main data source for key components of BEA's economic statistics. Data on retail sales are used to prepare monthly estimates of personal consumption expenditures component of gross domestic product for all PCE goods categories, except tobacco, prescription drugs, motor vehicles, and gasoline end oil. These estimates are also published each month in the Personal Income and Outlays press release”. In first quarter 2015, PCE comprised 68 percent of total
CEA and other government agencies and businesses use the survey results to formulate and make decisions. CEA reports the retail data, one of the principal federal economic indicators, to the President each month for awareness on the current picture on the “state of the economy” and presents the data in one of the tables in Economic Indicators, a monthly publication prepared for Congress and the public. In addition, CEA's Macroeconomic Forecaster uses the retail sales data, one of the key monthly data releases each month, to keep track of real economic growth in the current quarter. According to CEA, spending components in the retail sales report constitute about 25 percent of the GDP, well in excess of any other indicator.
Policymakers such as the FRB need to have the timeliest estimates in order to anticipate economic trends and act accordingly. BLS uses the estimates to develop consumer price indexes used in inflation and cost of living calculations. In addition, businesses use the estimates to measure how they are performing and predict future demand for their products.
This information collection request may be viewed at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to
The Department of Commerce will submit to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).
The Statement of Administrative Action accompanying the Act provides that the Committee for the Implementation of Textile Agreements (CITA) will issue procedures for requesting such safeguard measures, for making its determinations under section 322(a) of the Act, and for providing relief under section 322(b) of the Act.
In Proclamation No. 8818 (77 FR 29519, May 18, 2012), the President delegated to CITA his authority under Subtitle B of Title III of the Act with respect to textile and apparel safeguard measures.
CITA must collect information in order to determine whether a domestic textile or apparel industry is being adversely impacted by imports of these products from Colombia, thereby allowing CITA to take corrective action to protect the viability of the domestic textile or apparel industry, subject to section 322(b) of the Act.
This information collection request may be viewed at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to OIRA
Bureau of Economic Analysis, Department of Commerce.
Notice.
The Department of Commerce, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)).
Written comments must be submitted on or before October 13, 2015.
Direct all written comments to Jennifer Jessup, Departmental Paperwork Clearance Officer, Department of Commerce, Room 6616, 14th and Constitution Avenue NW., Washington, DC 20230, or via email at
Requests for additional information or copies of the information collection instrument and instructions should be directed to Christopher Stein, Chief, Services Surveys Branch (SSB) BE-50, Bureau of Economic Analysis, U.S.
The Quarterly Survey of Financial Services Transactions between U.S. Financial Services Providers and Foreign Persons (BE-185) is a survey that collects data from U.S. financial services providers that engage in covered transactions with foreign persons in financial services. A U.S. person must report if it had sales of covered services to foreign persons that exceeded $20 million for the previous fiscal year, or that are expected to exceed that amount during the current fiscal year, or if it had purchases of covered services from foreign persons that exceeded $15 million for the previous fiscal year, or that are expected to exceed that amount during the current fiscal year.
The data collected on the survey are needed to monitor U.S. trade in services, to analyze the impact of U.S. trade on the U.S. and foreign economies, to compile and improve the U.S. economic accounts, to support U.S. commercial policy on trade in services, to conduct trade promotion, and to improve the ability of U.S. businesses to identify and evaluate market opportunities. The data are used in estimating the financial services component of the U.S. international transactions accounts and national income and product accounts.
The Bureau of Economic Analysis (BEA) is proposing minor additions and modifications to the current BE-185 survey. The effort to keep current reporting requirements generally unchanged is intended to minimize respondent burden while considering the needs of data users. Existing language in the instructions and definitions will be reviewed and adjusted as necessary to clarify survey requirements.
Form BE-185 is a quarterly report that must be filed within 45 days after the end of each fiscal quarter, or within 90 days after the close of the fiscal year. BEA offers its electronic filing option, the eFile system, for reporting on Form BE-185. For more information about eFile, go to
Comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility; (b) the accuracy of the Agency's estimate of the burden (including hours and cost) of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology.
Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval of this information collection; they also will become a matter of public record.
Enforcement and Compliance, International Trade Administration, Department of Commerce.
The Timken Company (the petitioner) has filed a request for the Department of Commerce (the Department) to initiate a changed circumstances review of the antidumping duty order on tapered roller bearings (TRBs) and parts thereof from the People's Republic of China (PRC). The petitioner alleges that Shanghai General Bearing Co., Ltd. (SGBC/SKF), a PRC TRBs producer previously revoked from the antidumping duty order, has resumed sales at prices below normal value (NV). Therefore, the petitioner requests that the Department conduct a review to determine whether to reinstate the antidumping duty order with respect to SGBC/SKF.
In accordance with section 751(b) of the Tariff Act of 1930, as amended (the Act), and 19 CFR 351.216(b), the Department finds the information submitted by the petitioner sufficient to warrant initiation of a changed circumstances review of the antidumping duty order on TRBs from the PRC with respect to SGBC/SKF. The period of review (POR) is June 1, 2014, through May 31, 2015.
In this changed circumstances review, we will determine whether SGBC/SKF sold TRBs at less than NV subsequent to its revocation from the order. If we determine in this changed circumstances review that SGBC/SKF sold TRBs at less than NV and resumed dumping, effective on the date of publication of our final results, we will direct U.S. Customs and Border Protection (CBP) to suspend liquidation of all entries of TRBs manufactured and exported by SGBC/SKF.
Alice Maldonado, Enforcement and Compliance, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue NW., Washington, DC 20230; telephone (202) 482-4682.
On June 15, 1987, the Department published the antidumping duty order on TRBs from
The regulatory provision governing partial revocation at the time of SGBC/SKF's revocation was 19 CFR 353.25 (1997). The relevant language remained substantively unchanged when 19 CFR 353.25 was superseded by 19 CFR 351.222 in 1997.
On February 20, 2013, the petitioner alleged that, since its conditional revocation from the TRBs Order, there is evidence that SGBC/SKF has resumed dumping TRBs in the United States. The petitioner notes that SGBC/SKF agreed in writing to reinstatement in the antidumping duty order if it were found to have resumed dumping and it requests that, because SGBC/SKF violated this agreement, the Department initiate a changed circumstances review to determine whether to reinstate SGBC/SKF into the TRBs Order.
In its February 2013, submission, the petitioner provided evidence supporting its allegation. Specifically, the petitioner compared invoice prices to an unaffiliated U.S. customer submitted by SGBC/SKF as part of an application for a separate rate in the 2011-2012 administrative review on TRBs from the PRC to NVs computed using data from the same segment of the proceeding related to another company, Changshan Peer Bearing Co., Ltd. (CPZ/SKF).
In March 2013, the Department requested further information from the petitioner regarding the basis of its allegation, which the petitioner supplied in July 2013. Also in July 2013, SGBC/SKF objected to the petitioner's request for a changed circumstances review, and the petitioner responded to those comments in August 2013.
From August through November 2013, the Department requested that the petitioner provide additional information to support and/or clarify its allegation. The petitioner responded to these requests during the same time period.
In January 2014, the Department deferred the decision of whether to initiate the changed circumstances review requested by the petitioner, pending a determination in another changed circumstances review (
In May and June 2015, the Department requested additional information from the petitioner regarding its request for a changed circumstances review. The petitioner responded to these requests in the same months, and SGBC/SKF submitted comments related to the former of these submissions in June 2015.
Imports covered by the order are shipments of tapered roller bearings and parts thereof, finished and unfinished, from the PRC; flange, take up cartridge, and hanger units incorporating tapered roller bearings; and tapered roller housings (except pillow blocks) incorporating tapered rollers, with or without spindles, whether or not for automotive use. These products are currently classifiable under Harmonized Tariff Schedule of the United States (HTSUS) item numbers 8482.20.00, 8482.91.00.50, 8482.99.15, 8482.99.45, 8483.20.40, 8483.20.80, 8483.30.80, 8483.90.20, 8483.90.30, 8483.90.80, 8708.70.6060, 8708.99.2300, 8708.99.4850, 8708.99.6890, 8708.99.8115, and 8708.99.8180. Although the HTSUS item numbers are provided for convenience and customs purposes, the written description of the scope of the order is dispositive.
In its February 2013 submission, the petitioner provided an invoice to an unaffiliated U.S. customer of SGBC/SKF as the basis for U.S. price, and it provided factors of production (FOPs) reported by CPZ/SKF in another segment of this proceeding and surrogate value (SV) information as the basis for NV. Specifically, the petitioner's information was obtained from the 2011-2012 administrative review on TRBs from the PRC,
The petitioner provided an alternative allegation in August 2013 to take into account certain objections raised by SGBC/SKF.
The allegation of resumed dumping upon which the Department has based its decision to initiate a changed circumstances review is detailed below. The sources of data for the adjustments that the petitioner calculated relating to NV and U.S. price are discussed in greater detail in the Changed Circumstances Review Initiation Checklist, dated concurrently with this notice. Should the need arise to use any of this information as facts available under section 776 of the Act, we may reexamine the information and revise the margin calculation, if appropriate.
The petitioner based U.S. price upon sales documents submitted by SGBC/SKF in a separate rate application, dated October 15, 2012, in the 2011-2012 administrative review on TRBs from the PRC. The invoice identifies prices for three TRB models sold by SGBC/SKF to an unaffiliated U.S. customer.
In accordance with section 773(c)(1) of the Act, to determine NV, the petitioner used the FOPs submitted by CPZ/SKF, the sole respondent in the 2011-2012 administrative review on TRBs from the PRC, and it valued those FOPs using SV data and surrogate financial statements taken from the same segment of the proceeding.
In addition, on August 9, 2013, the petitioner provided an alternative calculation of NV in order to address comments made by SGBC/SKF.
Based upon the information summarized above, the petitioner alleges that there is evidence that SGBC/SKF has resumed dumping TRBs in the United States that is sufficient to warrant initiation of a changed circumstances review to determine whether SGBC/SKF should be reinstated into the antidumping duty order. The petitioner estimated a margin of 26 percent. To demonstrate that this margin is representative of SGBC/SKF's broader selling experience, the petitioner also calculated several additional non-
As noted above, on July 23, 2013, SGBC/SKF submitted comments on the petitioner's request that the Department initiate a changed circumstances review.
On August 9, 2013, the petitioner responded to these comments.
Similarly, the petitioner disagreed that use of CPZ/SKF's FOP information yields an inaccurate picture of SGBC/SKF's production costs. The petitioner noted that, in 2008, CPZ/SKF was acquired by SKF, the world's largest bearing company.
With respect to SGBC/SKF's final argument that the petitioner should have used CPZ/SKF's market economy input price submitted in the 2011-2012 administrative review, the petitioner stated that there is no information on the record indicating that SGBC/SKF purchased its steel from a market-economy source, so there is no basis to use anything other than SV data.
As noted above, in May and June 2015, the petitioner responded to the Department's requests for additional information regarding its request for a changed circumstances review. In these submissions, the petitioner explained why it considered the sale covered by its allegation to be representative of SGBC/SKF's broader U.S. sales activity and it provided additional calculations supporting this conclusion. On June 5, 2015, SGBC/SKF submitted comments on the petitioner's May 22, 2015 filing; in these comments; SGBC/SKF contends that, despite its claim to the contrary, the petitioner failed to establish that the sale at issue is, in fact, representative. Moreover, SGBC/SKF maintains that the petitioner's additional calculations are not valid because: (1) They are based on “irrelevant” U.S. transactions between affiliated parties without accompanying evidence that a sale to an unaffiliated party took place; and (2) a “markup” used in these calculations is based, in part, on sales of non-subject products. According to SGBC/SKF, the standard for initiation of reinstatement changed circumstances reviews should be higher than the comparatively lower standard that exists for investigations, considering the costs associated with such reviews and the fact that a revoked company has already proven that it was not engaged in dumping for three consecutive years. As a result, SGBC/SKF submits that the single sale on which the petitioner's allegation is based is not sufficiently indicative of resumed dumping for purposes of initiating a changed circumstances review.
Pursuant to section 751(b) of the Act, the Department will conduct a changed circumstances review upon receipt of a request “from an interested party for review of an antidumping duty order which shows changed circumstances sufficient to warrant a review of the order.” After examining the petitioner's allegation and supporting documentation, we find that the petitioner has provided evidence of changed circumstances sufficient to initiate a review to determine whether SGBC/SKF has resumed dumping and should be reinstated in the TRBs Order.
The Department's authority to reinstate a revoked company into an antidumping duty order by means of a changed circumstances review derives from sections 751(b) and (d) of the Act.
With respect to SGBC/SKF's comments regarding the representativeness of the U.S. price and NV data proffered by the petitioner, on December 18, 2013, the Department placed information on the record of this segment of the proceeding which was submitted in an ongoing successor-in-interest changed circumstances review involving SGBC/SKF.
With respect to the question of whether the size of the allegation is sufficiently representative of SGBC/SKF's sales activity, we note that, in response to the Department's supplemental questionnaires, the petitioner provided additional information regarding representativeness of the U.S. price data on May 22, 2015, and June 24, 2015. In these submissions, the petitioner used affiliated-party pricing for a substantial quantity of TRBs shipped between SGBC/SKF and its U.S. affiliate.
Further, with respect to NV, the petitioner maintains that its TRB product coding system demonstrates that the FOPs in its allegation are for the same basic products as CPZ/SKF's because they have the same cone and bore width.
With respect to SGBC/SKF's comments regarding zeroing or offsets, we note that the issue raised by SGBC/SKF is implicated only when the comparison results (
Finally, with respect to SGBC/SKF's argument that the Department should apply a heightened standard when determining whether to initiate this review, the Department notes that the applicable standard is whether there is information “which shows changed circumstances sufficient to warrant a review” under section 751(b)(1) of the Act. In the context of a reinstatement changed circumstances review, the pertinent question is whether there is sufficient evidence of resumed dumping. Based on the foregoing, we find that the petitioner has provided sufficient evidence to initiate a changed circumstances review to examine SGBC/SKF's pricing and determine whether SGBC/SKF has resumed dumping sufficient to reinstate the company within the TRBs Order. If we determine in this changed circumstances review that SGBC/SKF resumed dumping, effective on the date of publication of our final results, we will direct CBP to suspend liquidation of all entries of TRBs manufactured in the PRC and exported by SGBC/SKF.
The Department intends to request data from SGBC/SKF for the June 1, 2014, through May 31, 2015, period in order to determine whether SGBC/SKF has resumed dumping sufficient to warrant reinstatement within the TRBs Order.
The Department will publish in the
This notice is published in accordance with sections 751(b)(1) and 777(i)(1) of the Act and 19 CFR 351.221(b) of the Department's regulations.
International Trade Administration, U.S. Department of Commerce
Notice of an open meeting.
The Renewable Energy and Energy Efficiency Advisory Committee (RE&EEAC) will hold a meeting on Tuesday, September 22, 2015 at the U.S. Department of Commerce Herbert C. Hoover Building in Washington, DC. The meeting is open to the public and interested parties are requested to contact the U.S. Department of Commerce in advance of the meeting.
September 22, 2015, from approximately 8:30 a.m. to 4 p.m. Daylight Saving Time (DST). Members of the public wishing to participate must notify Andrew Bennett at the contact information below by 5:00 p.m. DST on Friday, September 18, 2015, in order to pre-register.
During the September 22nd meeting of the RE&EEAC, committee members will discuss priority issues identified in advance by the Committee Chair and Sub-Committee leadership, and hear from interagency partners on issues impacting the competitiveness of the U.S. renewable energy and energy efficiency industries.
A limited amount of time before the close of the meeting will be available for pertinent oral comments from members of the public attending the meeting. To accommodate as many speakers as possible, the time for public comments will be limited to two to five minutes per person (depending on number of
Any member of the public may submit pertinent written comments concerning the RE&EEAC's affairs at any time before or after the meeting. Comments may be submitted to the Renewable Energy and Energy Efficiency Advisory Committee, c/o: Andrew Bennett, Office of Energy and Environmental Industries, U.S. Department of Commerce, Mail Stop: 4053, 1401 Constitution Avenue NW., Washington, DC 20230. To be considered during the meeting, written comments must be received no later than 5:00 p.m. DST on Friday, September 11, 2015, to ensure transmission to the Committee prior to the meeting. Comments received after that date will be distributed to the members but may not be considered at the meeting.
Copies of RE&EEAC meeting minutes will be available within 30 days following the meeting.
International Trade Administration, Department of Commerce.
Notice.
The United States Department of Commerce, International Trade Administration (ITA), is organizing an Executive-led Cyber-security Business Development Mission to Japan, South Korea and Taiwan.
The purpose of the mission is to introduce U.S. firms and trade associations to East Asia's information and communication technology (ICT) security and critical infrastructure protection markets and to assist U.S. companies to find business partners and export their products and services to the region. The mission is intended to include representatives from U.S. companies and U.S. trade associations with members that provide cyber-security and critical infrastructure protection products and services. The mission will visit Japan, South Korea and Taiwan where U.S. firms will have access to business development opportunities across East Asia. Participating firms will gain market insights, make industry contacts, solidify business strategies, and advance specific projects, with the goal of increasing U.S. exports of products and services to East Asia. The mission will include customized one-on-one business appointments with pre-screened potential buyers, agents, distributors and joint venture partners; meetings with state and local government officials and industry leaders; and networking events.
The mission will help participating firms and trade associations to gain market insights, make industry contacts, solidify business strategies, and advance specific projects, with the goal of increasing U.S. exports to Japan, South Korea and Taiwan. By participating in an official U.S. industry delegation, rather than traveling to Japan, South Korea and Taiwan on their own, U.S. companies will enhance their ability to secure meetings in those countries and gain greater exposure to the region.
All parties interested in participating in the trade mission must complete and submit an application package for consideration by the DOC. All applicants will be evaluated on their ability to meet certain conditions and best satisfy the selection criteria as outlined below. A minimum of 15 and maximum of 20 firms and/or trade associations will be selected to participate in the mission from the applicant pool.
After a firm or trade association has been selected to participate on the mission, a payment to the Department of Commerce in the form of a participation fee is required. Expenses for travel, lodging, meals, and incidentals will be the responsibility of each mission participant. Interpreter and driver services can be arranged for additional cost. Delegation members will be able to take advantage of U.S. Embassy rates for hotel rooms.
Participation fee for small or medium sized enterprises (SME): $4400.00
Participation fee for large firms or trade associations: $5800.00
Fee for each additional firm representative (large firm or SME/trade organization): $1,000.
All interested firms and associations may register via the following link:
The mission fee does not include any personal travel expenses such as lodging, most meals, local ground transportation, and air transportation from the U.S. to the mission sites, between mission sites, and return to the United States. Business visas may be required. Government fees and processing expenses to obtain such visas are also not included in the mission costs. However, the U.S. Department of Commerce will provide instructions to each participant on the procedures required to obtain necessary business visas.
Mission recruitment will be conducted in an open and public manner, including publication in the
The following criteria will be evaluated in selecting participants:
• Suitability of the company's (or in the case of a trade association/organization, represented companies') products or services to the mission goals and the markets to be visited as part of this trade mission.
• Company's (or in the case of a trade association/organization, represented companies') potential for business in each of the markets to be visited as part of this trade mission.
• Consistency of the applicant's (or in the case of a trade association/organization, represented companies') goals and objectives with the stated scope of the mission.
Diversity of company size and location may also be considered during the review process. Referrals from political organizations and any documents containing references to partisan political activities (including political contributions) will be removed from an applicant's submission and not considered during the selection process.
Mr. Gemal Brangman, Project Officer, U.S. Department of Commerce, Washington, DC, Tel: 202-482-3773, Fax: 202-482-9000,
Enforcement and Compliance, International Trade Administration, Department of Commerce.
Matt Renkey or Jerry Huang at (202) 482-2312 and (202) 482- 4047, respectively (India); Robert Palmer at (202) 482-9068 (Italy); Myrna Lobo at (202) 482-2371 (the People's Republic of China, and the Republic of Korea); Kristen Johnson at (202) 482-4793 (Taiwan), AD/CVD Operations, Enforcement and Compliance, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue NW., Washington, DC 20230.
On June 23, 2015, the Department of Commerce (Department) initiated the countervailing duty investigations of certain corrosion-resistant steel products from India, Italy, the People's Republic of China, the Republic of Korea, and Taiwan.
Section 703(b)(1) of the Tariff Act of 1930, as amended (Act), requires the Department to issue the preliminary determination in a countervailing duty investigation within 65 days after the date on which the Department initiated the investigation. However, section 703(c)(1) of the Act permits the Department to postpone making the preliminary determination until no later than 130 days after the date on which it initiated the investigation if, among other reasons, the petitioner makes a timely request for a postponement, or the Department concludes that the parties concerned are cooperating and determines that the investigation is extraordinarily complicated. On August 3, 2015, United States Steel Corporation;
This notice is issued and published pursuant to section 703(c)(2) of the Act and 19 CFR 351.205(f)(1).
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; proposed incidental harassment authorization; request for comments and information.
NMFS has received a request from the Bergerson Construction, Inc. (Bergerson) for an authorization to take small numbers of two species of marine mammals, by Level B harassment, incidental to proposed construction activities for Front Street Transload Facility construction project in Newport, Oregon. Pursuant to the Marine Mammal Protection Act (MMPA), NMFS is requesting comments on its proposal to issue an authorization to Bergerson to incidentally take, by harassment, small numbers of marine mammals for a period of 1 year.
Comments and information must be received no later than September 14, 2015.
Comments on the application should be addressed to Jolie Harrison, Chief, Permits and Conservation Division, Office of Protected Resources, National Marine Fisheries Service, 1315 East-West Highway, Silver Spring, MD 20910. The mailbox address for providing email comments is
Instructions: All comments received are a part of the public record and will generally be posted to
A copy of the application may be obtained by writing to the address specified above or visiting the internet at:
Shane Guan, Office of Protected Resources, NMFS, (301) 427-8401.
Sections 101(a)(5)(A) and (D) of the MMPA (16 U.S.C. 1361
An authorization for incidental takings shall be granted if NMFS finds that the taking will have a negligible impact on the species or stock(s), will not have an unmitigable adverse impact on the availability of the species or stock(s) for subsistence uses (where relevant), and if the permissible methods of taking and requirements pertaining to the mitigation, monitoring and reporting of such takings are set forth. NMFS has defined “negligible impact” in 50 CFR 216.103 as “. . . an impact resulting from the specified activity that cannot be reasonably expected to, and is not reasonably likely to, adversely affect the species or stock through effects on annual rates of recruitment or survival.”
Section 101(a)(5)(D) of the MMPA established an expedited process by which citizens of the U.S. can apply for a one-year authorization to incidentally take small numbers of marine mammals by harassment, provided that there is no potential for serious injury or mortality to result from the activity. Section 101(a)(5)(D) establishes a 45-day time limit for NMFS review of an application followed by a 30-day public notice and comment period on any proposed authorizations for the incidental harassment of marine mammals. Within 45 days of the close of the comment period, NMFS must either issue or deny the authorization.
On April 22, 2015, Bergerson submitted a request to NMFS requesting an IHA for the possible harassment of small numbers of Pacific harbor seal (
The purpose of the proposed Front Street Marine Transload Facility construction is to construct a new transload and fish buying facility at the current location of the Undersea Gardens. The new transload facility would provide local fisherman with an alternative location for selling their fish and shellfish in Newport, Oregon (see Figure 1 of Bergerson's IHA application).
The current Undersea Gardens and all associated structures would be removed prior to construction of the new facility. The new transload facility would consist of a 132-foot wide by 141-foot deep wharf comprised of precast concrete panels supported on steel
The proposed project would result in a net removal of approximately 2,000 cubic yards of existing structural components from below the highest measured tide (HMT) of Yaquina Bay. Construction is scheduled to begin in November 2015, with completion of the wharf expected by September 2016. The associated cold storage building would be constructed after completion of the wharf. The proposed project would require approximately 12 weeks of in-water work. Construction crews and equipment would access the project site via existing roadways and two floating barges, including a crane barge (measuring 60 by 100 feet) secured with two spud piles, and a material barge (measuring 40 by 100 feet) moored to the crane barge. Piles would be installed using a vibratory hammer with some use of an impact hammer to seat the piles to their desired depth.
In-water construction is planned to take place between November 2015 and October 2016, with in-water pile removal and pile driving activities limited between November 1, 2015, and February 15, 2016.
The proposed activities will occur at the current Undersea Garden located in Yaquina Bay along Bay Boulevard in Newport, Oregon (see Figure 1 of Bergerson's IHA application).
Details of each activity for the Front Street Transload Facility construction project are provided below.
The existing Undersea Gardens and all associated structures (including a wooden breakwater, small storage dock, access ramp, small section of pier, and approximately 25 pilings) would be removed prior to construction of the new transload facility. The Undersea Gardens is a floating structure that houses an underwater aquarium and gift shop. The structure itself would be towed from its current location (via tugboat) approximately 10 miles upstream to Yaquina Boatyard, where it would then be dismantled. In order to access the Undersea Gardens with a tugboat, the existing wooden breakwater that protects the structure would have to be removed. The breakwater is comprised of vertical wooden boards assembled in a line and supported by steel and wood piles. The boards would be removed by hand and the remaining support piles (including approximately five H-piles, five 12-inch diameter steel piles, and five 12-inch diameter wooden piles) would be removed with a vibratory hammer.
Following removal of the breakwater, approximately eight 12-inch diameter wooden support piles and a small section of pier, and two 12-inch diameter spud piles that anchor the storage dock would also be removed.
It is anticipated that piling removal would require approximately 15 minutes of vibratory hammer use per pile. All items removed would be placed in a contained area on a service barge and hauled to an upland location for recycling or disposal. Removal of the existing piles would require approximately 6 hours of total vibratory hammer use over a period of two to four in-water work days. Removal of the existing Undersea Gardens and associated structures would result in the removal of approximately 2,500 cubic yards of existing in-water structures from below the HMT of Yaquina Bay, and 6,700 square feet of existing overwater structures. No dredging or in-water excavation would be required.
The new transload facility would consist of a 132-foot wide by 141-foot deep wharf comprised of precast concrete panels supported on up to 112 24-inch diameter steel support piles, and 14 18-inch diameter steel fender piles. The precast panels would be approximately 4 feet wide by 20 feet long, requiring seven panels supported on eight rows of piles spaced 10-foot on center across each row. The bottom of each panel would be painted with white, light reflecting paint to increase natural lighting under the new wharf. The new wharf would sit level with Bay Boulevard, approximately 10 feet above msl, and would result in approximately 9,360 square feet of net new overwater structure.
The steel support piles and fender piles would be installed using a vibratory hammer and an impact hammer (operating from a barge-mounted crane) to a depth of approximately 30 feet within the substrate. All new piles would also be treated with a white, light reflective coating. Each new pile would require approximately 15 to 30 minutes of vibratory hammer use for installation. It is likely that the vibratory hammer would not fully embed the piles to the required depth given the presence of siltstone below the sediment. As such, an impact hammer would be used to seat the piles to the required depth. It is anticipated that use of an impact hammer would be needed for up to 10 feet of siltstone penetration. Up to 102 piles would be located below the HMT, resulting in approximately 300 square feet (555 cubic yards) of fill.
Based on a review of pile driving logs from previous piling installation projects, Bergerson anticipates that any piles that cannot be fully embedded with use of a vibratory hammer, may require an average of 10 minutes of impact hammer use, at an average rate of 40 strikes per minute. Given the amount of time it takes to set the crane barge, center each pile, and switch between the vibratory hammer and impact hammer, it is estimated that the average installation rate would be four piles per day. This equates to potentially 40 minutes of impact hammer use (1,600 pile strikes) per day. Pile driving would occur intermittently over the course of approximately 12 weeks. The contractor would be required to implement appropriate sound attenuation methods (
The new wharf would sit level with Bay Boulevard (approximately 10 feet above msl) and would support a 4,000 square foot cold storage building and 500 square foot ice machine. The proposed building would be used to cold pack local fish and shellfish for distribution. There may be some limited
A summary of piles to be removed and installed is provided in Table 1.
The marine mammal species under NMFS jurisdiction most likely to occur in the proposed construction area include Pacific harbor seal (
General information on the marine mammal species found in Oregon coastal waters can be found in Caretta
This section includes a summary and discussion of the ways that the types of stressors associated with the specified activity (
When considering the influence of various kinds of sound on the marine environment, it is necessary to understand that different kinds of marine life are sensitive to different frequencies of sound. Based on available behavioral data, audiograms have been derived using auditory evoked potentials, anatomical modeling, and other data, Southall
• Low frequency cetaceans (13 species of mysticetes): Functional hearing is estimated to occur between approximately 7 Hz and 25 kHz (however, a study by Au
• Mid-frequency cetaceans (32 species of dolphins, six species of larger toothed whales, and 19 species of beaked and bottlenose whales): Functional hearing is estimated to occur between approximately 150 Hz and 160 kHz;
• High frequency cetaceans (eight species of true porpoises, six species of river dolphins,
• Pinnipeds in Water: Functional hearing is estimated to occur between approximately 75 Hz and 75 kHz, with the greatest sensitivity between approximately 700 Hz and 20 kHz.
As mentioned previously in this document, two marine mammal species (both are pinniped species) are likely to occur in the proposed seismic survey area.
Marine mammals exposed to high-intensity sound repeatedly or for prolonged periods can experience hearing threshold shift (TS), which is the loss of hearing sensitivity at certain frequency ranges (Kastak
Experiments on a bottlenose dolphin (
Chronic exposure to excessive, though not high-intensity, noise could cause masking at particular frequencies for marine mammals that utilize sound for vital biological functions (Clark
Masking occurs at the frequency band which the animals utilize. Since noise generated from in-water vibratory pile removal and driving is mostly concentrated at low frequency ranges, it may have little effect on high-frequency echolocation sounds by odontocetes (toothed whales), which may hunt California sea lion and harbor seal. However, the lower frequency man-made noises are more likely to affect the detection of communication calls and other potentially important natural sounds, such as surf and prey noise. The noises may also affect communication signals when those signals occur near the noise band, and thus reduce the communication space of animals (
Unlike TS, masking can potentially impact the species at community, population, or even ecosystem levels, as well as individual levels. Masking affects both senders and receivers of the signals and could have long-term chronic effects on marine mammal species and populations. Recent science suggests that low frequency ambient sound levels in the world's oceans have increased by as much as 20 dB (more than 3 times, in terms of SPL) from pre-industrial periods, and most of these increases are from distant shipping (Hildebrand 2009). All anthropogenic noise sources, such as those from vessel traffic and pile removal and driving, contribute to the elevated ambient noise levels, thus intensifying masking.
Finally, in addition to TS and masking, exposure of marine mammals to certain sounds could lead to behavioral disturbance (Richardson
The biological significance of many of these behavioral disturbances is difficult to predict, especially if the detected disturbances appear minor. However, the consequences of behavioral modification could be expected to be biologically significant if the change affects growth, survival, or reproduction. Some of these types of significant behavioral modifications include: Drastic change in diving/surfacing patterns (such as those thought to be causing beaked whale strandings due to exposure to military mid-frequency tactical sonar); habitat abandonment due to loss of desirable acoustic environment; and cessation of feeding or social interaction.
The primary potential impacts to marine mammal habitat are associated with elevated sound levels produced by vibratory pile removal and pile driving in the area. However, other potential impacts to the surrounding habitat from physical disturbance are also possible.
With regard to fish as a prey source for cetaceans and pinnipeds, fish are
The level of sound at which a fish will react or alter its behavior is usually well above the detection level. Fish have been found to react to sounds when the sound level increased to about 20 dB above the detection level of 120 dB (Ona 1988); however, the response threshold can depend on the time of year and the fish's physiological condition (Engas
During the coastal construction only a small fraction of the available habitat would be ensonified at any given time. Disturbance to fish species would be short-term and fish would return to their pre-disturbance behavior once the pile driving activity ceases. Thus, the proposed construction would have little, if any, impact on the abilities of marine mammals to feed in the area where construction work is planned.
Finally, the time of the proposed construction activity would avoid the spawning season of the ESA-listed salmonid species.
Pile removal and driving operations at the Front Street Transload Facility will not obstruct movements of marine mammals. The operations at the construction will occur next to the shoreline, leaving the majority of the Yaquina Bay for marine mammals to pass.
In order to issue an incidental take authorization under section 101(a)(5)(D) of the MMPA, NMFS must set forth the permissible methods of taking pursuant to such activity, and other means of effecting the least practicable adverse impact on such species or stock and its habitat, paying particular attention to rookeries, mating grounds, and areas of similar significance, and on the availability of such species or stock for taking for certain subsistence uses.
For Bergerson's proposed Front Street Transload Facility construction project, Bergerson worked with NMFS and proposed the following mitigation measures to minimize the potential impacts to marine mammals in the project vicinity. The primary purposes of these mitigation measures are to minimize sound levels from the activities, to monitor marine mammals within designated zones of influence (ZOI) corresponding to NMFS' current Level B harassment thresholds and, if marine mammals are detected within or approaching the exclusion zone, to initiate immediate shutdown or power down of the impact piling hammer, making it very unlikely potential injury or TTS to marine mammals would occur and ensuring that Level B behavioral harassment of marine mammals would be reduced to the lowest level practicable.
Work would occur only during daylight hours, when visual monitoring of marine mammals can be conducted. In addition, all in-water construction will be limited to the period between November 1, 2015, and February 15, 2016.
Bergerson would be required to install an air bubble curtain system around the pile during pile installation using an impact hammer.
Before the commencement of in-water pile driving activities, Bergerson shall establish Level A exclusion zones and Level B zones of influence (ZOIs). The received underwater sound pressure levels (SPLs) within the exclusion zone would be 190 dB (rms) re 1 µPa and above. The Level B ZOIs would encompass areas where received underwater SPLs are higher than 160 dB (rms) and 120 dB (rms) re 1 µPa for impulse noise sources (impact pile driving) and non-impulses noise sources (vibratory pile driving and mechanic dismantling), respectively.
Based on measurements conducted in nearby in similar water depth and sediment type in the Yaquina Bay for the NOAA Marine Operation Center P Test Pile Program (Miner, 2010), average vibratory hammer sound pressure level for 24-inch steel pile at 10 meters from the pile is 157 dB re 1 µPa (Minor 2010; ICF Jones & Stokes and Illingworth &and Rodkin 2009). Based on practical spreading model with a transmission loss constant of 15, the distance at which the sound pressure levels fall below the 120 dB (rms) re 1 µPa is approximately 1.8 miles from the pile (Miner, 2010).
Modeling of exclusion zone and ZOIs for impact pile driving source level are based on measurements conducted at the nearby Tongue Point Facility in Astoria, Oregon, for installation of 24-in steel pile with an impact hammer (Illingworth and Rodkin, 2009). The result shows that the SPL at 10 m from the pile is 182 dB (rms) re 1 µPa. Nevertheless, a conservative 190 dB (rms) re 1 µPa value at 10 m and a practical spreading with a transmission loss constant of 15 are used to establish the exclusion zone and ZOI. The result shows that the distance at which the SPLs fall below the 160 dB (rms) re 1 µPa behavioral threshold for impact hammering is approximately 0.62 miles. With a bubble curtain and an estimated 10 dB reduction in sound levels, the distance at which the sound pressure levels fall below the 160 dB RMS behavioral threshold for impact hammering is approximately 707 feet. The exclusion zone with the air bubble curtain system would be 7 feet from the pile.
The exclusion zone for Level A harassment and ZOIs for Level B harassment are presented in Table 3 below.
A “soft-start” technique is intended to allow marine mammals to vacate the area before the pile driver reaches full power. Whenever there has been downtime of 30 minutes or more without pile driving, the contractor will initiate the driving with ramp-up procedures described below.
For impact pile driving, the contractor would provide an initial set of strikes from the impact hammer at reduced energy, followed by a 30-second waiting period, then two subsequent sets. (The reduced energy of an individual hammer cannot be quantified because of variations between individual drivers. Also, the number of strikes will vary at reduced energy because raising the hammer at less than full power and then releasing it results in the hammer “bouncing” as it strikes the pile resulting in multiple “strikes”).
For vibratory pile driving, the contractor will initiate noise from vibratory hammers for 15 seconds at reduced energy followed by a 30-second waiting period. The procedure shall be repeated two additional times.
Bergerson shall implement shutdown measures if a marine mammal is sighted approaching the Level A exclusion zone. In-water construction activities shall be suspended until the marine mammal is sighted moving away from the exclusion zone, or if the animal is not sighted for 30 minutes after the shutdown.
NMFS has carefully evaluated the applicant's proposed mitigation measures and considered a range of other measures in the context of ensuring that NMFS prescribes the means of effecting the least practicable impact on the affected marine mammal species and stocks and their habitat. Our evaluation of potential measures included consideration of the following factors in relation to one another:
• The manner in which, and the degree to which, the successful implementation of the measure is expected to minimize adverse impacts to marine mammals
• The proven or likely efficacy of the specific measure to minimize adverse impacts as planned
• The practicability of the measure for applicant implementation.
Any mitigation measure(s) prescribed by NMFS should be able to accomplish, have a reasonable likelihood of accomplishing (based on current science), or contribute to the accomplishment of one or more of the general goals listed below:
(1) Avoidance or minimization of injury or death of marine mammals wherever possible (goals 2, 3, and 4 may contribute to this goal).
(2) A reduction in the numbers of marine mammals (total number or number at biologically important time or location) exposed to received levels of pile driving and pile removal or other activities expected to result in the take of marine mammals (this goal may contribute to 1, above, or to reducing harassment takes only).
(3) A reduction in the number of times (total number or number at biologically important time or location) individuals would be exposed to received levels of pile driving and pile removal, or other activities expected to result in the take of marine mammals (this goal may contribute to 1, above, or to reducing harassment takes only).
(4) A reduction in the intensity of exposures (either total number or number at biologically important time or location) to received levels of pile driving, or other activities expected to result in the take of marine mammals (this goal may contribute to a, above, or to reducing the severity of harassment takes only).
(5) Avoidance or minimization of adverse effects to marine mammal habitat, paying special attention to the food base, activities that block or limit passage to or from biologically important areas, permanent destruction of habitat, or temporary destruction/disturbance of habitat during a biologically important time.
(6) For monitoring directly related to mitigation—an increase in the probability of detecting marine mammals, thus allowing for more effective implementation of the mitigation.
Based on our evaluation of the applicant's proposed measures, as well as other measures considered by NMFS, NMFS has preliminarily determined that the proposed mitigation measures provide the means of effecting the least practicable impact on marine mammals species or stocks and their habitat, paying particular attention to rookeries, mating grounds, and areas of similar significance.
In order to issue an incidental take authorization (ITA) for an activity, section 101(a)(5)(D) of the MMPA states that NMFS must set forth, “requirements pertaining to the monitoring and reporting of such taking.” The MMPA implementing regulations at 50 CFR 216.104 (a)(13) indicate that requests for ITAs must include the suggested means of accomplishing the necessary monitoring and reporting that will result in increased knowledge of the species and of the level of taking or impacts on populations of marine mammals that are expected to be present in the proposed action area. Bergerson submitted a marine mammal monitoring plan as part of the IHA application. It can be found at
Monitoring measures prescribed by NMFS should accomplish one or more of the following general goals:
(1) An increase in the probability of detecting marine mammals, both within the mitigation zone (thus allowing for more effective implementation of the mitigation) and in general to generate more data to contribute to the analyses mentioned below;
(2) An increase in our understanding of how many marine mammals are likely to be exposed to levels of pile driving that we associate with specific adverse effects, such as behavioral harassment, TTS, or PTS;
(3) An increase in our understanding of how marine mammals respond to stimuli expected to result in take and how anticipated adverse effects on individuals (in different ways and to varying degrees) may impact the population, species, or stock (specifically through effects on annual rates of recruitment or survival) through any of the following methods:
• Behavioral observations in the presence of stimuli compared to observations in the absence of stimuli (need to be able to accurately predict received level, distance from source, and other pertinent information);
• Physiological measurements in the presence of stimuli compared to observations in the absence of stimuli (need to be able to accurately predict received level, distance from source, and other pertinent information);
• Distribution and/or abundance comparisons in times or areas with concentrated stimuli versus times or areas without stimuli;
(4) An increased knowledge of the affected species; and
(5) An increase in our understanding of the effectiveness of certain mitigation and monitoring measures.
During pile removal and installation, two land-based protected species observers (PSOs) would monitor the
The PSOs would observe and collect data on marine mammals in and around the project area for 30 minutes before, during, and for 30 minutes after all pile removal and pile installation work. If a PSO observes a marine mammal within or approaching the exclusion zone, the PSO would notify the work crew to initiate shutdown measures.
Monitoring of marine mammals around the construction site shall be conducted using high-quality binoculars (
Data collection during marine mammal monitoring would consist of a count of all marine mammals by species, a description of behavior (if possible), location, direction of movement, type of construction that is occurring, time that pile replacement work begins and ends, any acoustic or visual disturbance, and time of the observation. Environmental conditions such as weather, visibility, temperature, tide level, current, and sea state would also be recorded.
Bergerson would be required to submit a final monitoring report within 90 days after completion of the construction work or the expiration of the IHA (if issued), whichever comes earlier. This report would detail the monitoring protocol, summarize the data recorded during monitoring, and estimate the number of marine mammals that may have been harassed. NMFS would have an opportunity to provide comments on the report, and if NMFS has comments, Bergerson would address the comments and submit a final report to NMFS within 30 days.
In addition, NMFS would require Bergerson to notify NMFS' Office of Protected Resources and NMFS' Stranding Network within 48 hours of sighting an injured or dead marine mammal in the vicinity of the construction site. Bergerson shall provide NMFS with the species or description of the animal(s), the condition of the animal(s) (including carcass condition, if the animal is dead), location, time of first discovery, observed behaviors (if alive), and photo or video (if available).
In the event that Bergerson finds an injured or dead marine mammal that is not in the vicinity of the construction area, Bergerson would report the same information as listed above to NMFS as soon as operationally feasible.
Except with respect to certain activities not pertinent here, the MMPA defines “harassment” as: Any act of pursuit, torment, or annoyance which (i) has the potential to injure a marine mammal or marine mammal stock in the wild [Level A harassment]; or (ii) has the potential to disturb a marine mammal or marine mammal stock in the wild by causing disruption of behavioral patterns, including, but not limited to, migration, breathing, nursing, breeding, feeding, or sheltering [Level B harassment].
As discussed above, in-water pile removal and pile driving (vibratory and impact) generate loud noises that could potentially harass marine mammals in the vicinity of Bergerson's proposed Front Street Transload Facility construction project.
As mentioned earlier in this document, currently NMFS uses 120 dB re 1 µPa and 160 dB re 1 µPa at the received levels for the onset of Level B harassment from non-impulse (vibratory pile driving and removal) and impulse sources (impact pile driving) underwater, respectively. Table 4 summarizes the current NMFS marine mammal take criteria.
As explained above, exclusion and ZOIs will be established that encompass the areas where received underwater sound pressure levels (SPLs) exceed the applicable thresholds for Level A and Level B harassments. In the case of Bergerson's proposed Front Street Transload Facility construction project, the Level B harassment ZOIs for impact and vibratory pile driving are at 215 m and 2,900 m from the source, respectively. The Level A harassment exclusion from impact pile driving is 2.1 m from the source.
Incidental take is calculated for each species by estimating the likelihood of a marine mammal being present within a ZOI during active pile removal/driving. Expected marine mammal presence is determined by past observations and general abundance near the Front Street Transload Facility during the construction window. Ideally, potential take is estimated by multiplying the area of the ZOI by the local animal density. This provides an estimate of the number of animals that might occupy the ZOI at any given moment. However, there are no density estimates for any Puget Sound population of marine mammal. As a result, the take requests were estimated using local marine mammal data sets, and information from state and federal agencies.
The calculation for marine mammal exposures is estimated by:
Exposure estimate = N (number of animals in the area) * 30 days of pile removal/driving activity
Estimates include Level B acoustical harassment during pile removal and driving. All estimates are conservative, as pile removal/driving would not be continuous during the work day. Using this approach, a summary of estimated takes of marine mammals incidental to Bergerson's Front Street Transload Facility construction work are provided in Table 5.
Negligible impact is “an impact resulting from the specified activity that cannot be reasonably expected to, and is not reasonably likely to, adversely affect the species or stock through effects on annual rates of recruitment or survival” (50 CFR 216.103). A negligible impact finding is based on the lack of likely adverse effects on annual rates of recruitment or survival (
To avoid repetition, this introductory discussion of our analyses applies to all the species listed in Table 5, given that the anticipated effects of Bergerson's Front Street Transload Facility construction on marine mammals are expected to be relatively similar in nature. There is no information about the nature or severity of the impacts, or the size, status, or structure of any species or stock that would lead to a different analysis for this activity, else species-specific factors would be identified and analyzed.
Bergerson's proposed Front Street Transload Facility construction project would involve vibratory pile removal and vibratory and impact pile driving activities. Elevated underwater noises are expected to be generated as a result of these activities. The exclusion zone for Level A harassment is extremely small (2.1 m from the source) with the use of air bubble curtain system, and with the implementation of the proposed monitoring and mitigation measures described above, there would be no Level A take of marine mammals. For vibratory pile removal and pile driving, noise levels are not expected to reach the level that may cause TTS, injury (including PTS), or mortality to marine mammals.
Additionally, the sum of noise from Bergerson's proposed Front Street Transload Facility construction activities is confined to a limited area by surrounding landmasses; therefore, the noise generated is not expected to contribute to increased ocean ambient noise. In addition, due to shallow water depths in the project area, underwater sound propagation of low-frequency sound (which is the major noise source from pile driving) is expected to be poor.
In addition, Bergerson's proposed activities are localized and of short duration. The entire project area is limited to Bergerson's Front Street Transload Facility construction work. The entire project would involve the removal of 25 existing piles and installation of 126 piles. The duration for pile removal and pile driving would be 30 days. These low-intensity, localized, and short-term noise exposures may cause brief startle reactions or short-term behavioral modification by the animals. These reactions and behavioral changes are expected to subside quickly when the exposures cease. Moreover, the proposed mitigation and monitoring measures are expected to reduce potential exposures and behavioral modifications even further. Additionally, no important feeding and/or reproductive areas for marine mammals are known to be near the proposed action area. Therefore, the take resulting from the proposed Front Street Transload Facility construction work is not reasonably expected to, and is not reasonably likely to, adversely affect the marine mammal species or stocks through effects on annual rates of recruitment or survival.
The proposed project area is not a prime habitat for marine mammals, nor is it considered an area frequented by marine mammals. Therefore, behavioral disturbances that could result from anthropogenic noise associated with Bergerson's construction activities are expected to affect only a small number of marine mammals on an infrequent and limited basis.
The project also is not expected to have significant adverse effects on affected marine mammals' habitat, as analyzed in detail in the “Anticipated Effects on Marine Mammal Habitat” section. The project activities would not modify existing marine mammal habitat. The activities may cause some fish to leave the area of disturbance, thus temporarily impacting marine mammals' foraging opportunities in a limited portion of the foraging range; but, because of the short duration of the activities and the relatively small area of the habitat that may be affected, the impacts to marine mammal habitat are not expected to cause significant or long-term negative consequences.
Based on the analysis contained herein of the likely effects of the specified activity on marine mammals and their habitat, and taking into consideration the implementation of the proposed monitoring and mitigation measures, NMFS preliminarily finds that the total marine mammal take from Bergerson's Front Street Transload Facility construction project will have a negligible impact on the affected marine mammal species or stocks.
Based on analyses provided above, it is estimated that approximately 750 harbor seals and 1,100 California sea lions could be exposed to received noise levels that could cause Level B behavioral harassment from the proposed construction work at the Front Street Transload Facility in Newport, Oregon. These numbers represent approximately 4.6% and 3.7% of the populations of harbor seal and California sea lion, respectively, that could be affected by Level B behavioral harassment, respectively (see Table 5 above), which are small percentages relative to the total populations of the affected species or stocks.
Based on the analysis contained herein of the likely effects of the specified activity on marine mammals and their habitat, and taking into consideration the implementation of the mitigation and monitoring measures,
There are no subsistence uses of marine mammals in the proposed project area; and, thus, no subsistence uses impacted by this action. Therefore, NMFS has determined that the total taking of affected species or stocks would not have an unmitigable adverse impact on the availability of such species or stocks for taking for subsistence purposes.
NMFS has determined that issuance of the IHA will have no effect on listed marine mammals, as none are known to occur in the action area.
NMFS prepared a draft Environmental Assessment (EA) for the proposed issuance of an IHA, pursuant to NEPA, to determine whether or not this proposed activity may have a significant effect on the human environment. This analysis will be completed prior to the issuance or denial of this proposed IHA.
As a result of these preliminary determinations, NMFS proposes to issue an IHA to Bergerson for conducting the Front Street Transload Facility construction project, provided the previously mentioned mitigation, monitoring, and reporting requirements are incorporated. The proposed IHA language is provided next.
1. This Authorization is valid from November 1, 2015, through October 31, 2016.
2. This Authorization is valid only for activities associated in-water construction work at the Front Street Transload Facility construction project in Newport, Oregon.
3. (a) The species authorized for incidental harassment takings, Level B harassment only, are: Pacific harbor seal (
(b) The authorization for taking by harassment is limited to the following acoustic sources and from the following activities:
• Vibratory and impact pile driving;
• Vibratory pile removal; and
• Work associated with above piling activities.
(c) The taking of any marine mammal in a manner prohibited under this Authorization must be reported within 24 hours of the taking to the West Coast Administrator (206-526-6150), National Marine Fisheries Service (NMFS) and the Chief of the Permits and Conservation Division, Office of Protected Resources, NMFS, at (301) 427-8401, or her designee (301-427-8401).
4. The holder of this Authorization must notify the Chief of the Permits and Conservation Division, Office of Protected Resources, at least 48 hours prior to the start of activities identified in 3(b) (unless constrained by the date of issuance of this Authorization in which case notification shall be made as soon as possible).
5. Prohibitions
(a) The taking, by incidental harassment only, is limited to the species listed under condition 3(a) above and by the numbers listed in Table 5. The taking by Level A harassment, injury or death of these species or the taking by harassment, injury or death of any other species of marine mammal is prohibited and may result in the modification, suspension, or revocation of this Authorization.
(b) The taking of any marine mammal is prohibited whenever the required protected species observers (PSOs), required by condition 7(a), are not present in conformance with condition 7(a) of this Authorization.
6. Mitigation
(a) Time Restriction
In-water construction work shall occur only during daylight hours, when visual monitoring of marine mammals can be conducted.
(b) Air Bubble Curtain
Bergerson shall install an air bubble curtain system around the pile during pile installation using an impact hammer.
(c) Establishment of Level A Exclusion Zone
Before the commencement of in-water impact pile driving activities, Bergerson shall establish Level A exclusion zone where received underwater sound pressure levels (SPLs) are higher than 190 dB (rms) re 1 µPa. The modeled isopleths for exclusion zone 2.1 m from the source.
(d) Establishment of Level B Harassment Zones of Influence
Before the commencement of in-water pile driving activities, Bergerson shall establish Level B behavioral harassment zones of influence (ZOIs) where received underwater sound pressure levels (SPLs) are higher than 120 dB (rms) re 1 µPa for vibratory pile driving and pile removal, and 160 dB (rms) re 1 µPa for impact pile driving. The modeled isopleths for vibratory pile driving and pile removal ZOI is 2,900 m from the source, and the modeled isopleths for impact pile driving ZOI is 215 m from the source.
(e) Monitoring of marine mammals shall take place starting 30 minutes before pile driving begins until 30 minutes after pile driving ends.
(f) Soft Start
(i) When there has been downtime of 30 minutes or more without pile driving, the contractor will initiate the driving with ramp-up procedures described below.
(ii) For impact pile driving, the contractor would provide an initial set of strikes from the impact hammer at reduced energy, followed by a 30-second waiting period, then two subsequent sets.
(iii) For vibratory pile driving, the contractor will initiate noise from vibratory hammers for 15 seconds at reduced energy followed by a 30-second waiting period. The procedure shall be repeated two additional times.
(g) Shutdown Measures
(i) Bergerson shall implement shutdown measures if a marine mammal is sighted within or approaching the Level A exclusion zone. In-water construction activities shall be suspended until the marine mammal is sighted moving away from the exclusion zone, or if the animal is not sighted for 30 minutes after the shutdown.
(ii) Bergerson shall implement shutdown measures if the number of any allotted marine mammal takes reaches the limit under the IHA (if issued), if such marine mammals are sighted within the vicinity of the project area and are approaching the Level B ZOI during pile removal activities.
(iii) Bergerson shall implement shutdown measures if marine mammals with the ZOI appear disturbed by the work activity.
7. Monitoring:
(a) Protected Species Observers
Bergerson shall employ NMFS-approved PSOs to conduct marine mammal monitoring for its construction project.
(i) During pile removal and installation, two land-based protected species observers (PSOs) shall monitor the area from the best observation points available.
(ii) If weather conditions prevent adequate land-based observations of the entire ensonified zones, boat-based monitoring shall be implemented.
(ii) Experience or training in the field identification of marine mammals (cetaceans and pinnipeds).
(iii) Monitoring of marine mammals around the construction site shall be
(iv) Data collection during marine mammal monitoring would consist of a count of all marine mammals by species, a description of behavior (if possible), location, direction of movement, type of construction that is occurring, time that pile replacement work begins and ends, any acoustic or visual disturbance, and time of the observation. Environmental conditions such as weather, visibility, temperature, tide level, current, and sea state would also be recorded.
8. Reporting:
(a) Bergerson shall provide NMFS with a draft monitoring report within 90 days of the conclusion of the construction work or within 90 days of the expiration of the IHA, whichever comes first. This report shall detail the monitoring protocol, summarize the data recorded during monitoring, and estimate the number of marine mammals that may have been harassed.
(b) If comments are received from the NMFS West Coast Regional Administrator or NMFS Office of Protected Resources on the draft report, a final report shall be submitted to NMFS within 30 days thereafter. If no comments are received from NMFS, the draft report will be considered to be the final report.
(c) In the unanticipated event that the construction activities clearly cause the take of a marine mammal in a manner prohibited by this Authorization (if issued), such as an injury, serious injury, or mortality, Bergerson shall immediately cease all operations and immediately report the incident to the Chief, Permits and Conservation Division, Office of Protected Resources, NMFS, and the West Coast Regional Stranding Coordinators. The report must include the following information:
(i) Time, date, and location (latitude/longitude) of the incident;
(ii) Description of the incident;
(iii) Status of all sound source use in the 24 hours preceding the incident;
(iv) Environmental conditions (
(v) Description of marine mammal observations in the 24 hours preceding the incident;
(vi) Species identification or description of the animal(s) involved;
(vii) The fate of the animal(s); and
(viii) Photographs or video footage of the animal (if equipment is available).
Activities shall not resume until NMFS is able to review the circumstances of the prohibited take. NMFS shall work with Bergerson to determine what is necessary to minimize the likelihood of further prohibited take and ensure MMPA compliance. Bergerson may not resume their activities until notified by NMFS via letter, email, or telephone.
(E) In the event that Bergerson discovers an injured or dead marine mammal, and the lead PSO determines that the cause of the injury or death is unknown and the death is relatively recent (
(F) In the event that Bergerson discovers an injured or dead marine mammal, and the lead PSO determines that the injury or death is not associated with or related to the activities authorized in the IHA (
9. This Authorization may be modified, suspended or withdrawn if the holder fails to abide by the conditions prescribed herein or if the authorized taking is having more than a negligible impact on the species or stock of affected marine mammals, or if there is an unmitigable adverse impact on the availability of such species or stocks for subsistence uses.
10. A copy of this Authorization must be in the possession of each contractor who performs the construction work at the Front Street Transload Facility constructions.
Office of the Secretary of Defense, Reserve Forces Policy Board, DoD.
Notice of Federal Advisory Committee Meeting.
The Department of Defense is publishing this notice to announce that the following Federal Advisory Committee meeting of the Reserve Forces Policy Board will take place.
Wednesday, September 2, 2015 from 8:20 a.m. to 4:30 p.m.
The address for the Open Session of the meeting is the Army Navy Country Club, 1700 Army Navy Drive, Arlington, VA 22202.
Mr. Alex Sabol, Designated Federal Officer, (703) 681-0577 (Voice), (703) 681-0002 (Facsimile), Email—
This meeting notice is being published under the provisions of the Federal Advisory Committee Act of 1972 (FACA) (5 U.S.C., Appendix, as amended), the Government in the Sunshine Act of 1976 (5 U.S.C. 552b, as amended), and 41 CFR 102-3.150.
Office of the Secretary/Office of the Deputy Secretary (OS), Department of Education (ED).
Notice.
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 3501
Interested persons are invited to submit comments on or before October 13, 2015.
To access and review all the documents related to the information collection listed in this notice, please use
For specific questions related to collection activities, please contact Bernadette Adams, (202) 205-9898.
The Department of Education (ED), in accordance with the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3506(c)(2)(A)), provides the general public and Federal agencies with an opportunity to comment on proposed, revised, and continuing collections of information. This helps the Department assess the impact of its information collection requirements and minimize the public's reporting burden. It also helps the public understand the Department's information collection requirements and provide the requested data in the desired format. ED is soliciting comments on the proposed information collection request (ICR) that is described below. The Department of Education is especially interested in public comment addressing the following issues: (1) Is this collection necessary to the proper functions of the Department; (2) will this information be processed and used in a timely manner; (3) is the estimate of burden accurate; (4) how might the Department enhance the quality, utility, and clarity of the information to be collected; and (5) how might the Department minimize the burden of this collection on the respondents, including through the use of information technology. Please note that written comments received in response to this notice will be considered public records.
Office of Special Education and Rehabilitative Services, Department of Education.
Notice.
This priority is:
The full text of this priority is included in the NFP for this program, published elsewhere in this issue of the
The regulations in 34 CFR part 79 apply to all applicants except federally recognized Indian tribes.
The regulations in 34 CFR part 86 apply only to IHEs.
The Department is not bound by any estimates in this notice.
In deciding whether to continue funding the Vocational Rehabilitation Workforce Innovation Technical Assistance Center for the fourth and fifth years, the Department, as part of the review of the application narrative and annual performance reports, will consider the degree to which the program demonstrates substantial progress toward completing the tasks outlined in the Project Activities section of the priority, with particular emphasis on the successful delivery of intensive TA.
1.
2.
Under 34 CFR 75.562(c), an indirect cost reimbursement on a training grant is limited to the recipient's actual indirect costs, as determined by its negotiated indirect cost rate agreement, or eight percent of a modified total direct cost base, whichever amount is less. Indirect costs in excess of the limit may not be charged directly, used to satisfy matching or cost-sharing requirements, or charged to another Federal award.
1.
To obtain a copy via the Internet, use the following address:
To obtain a copy from ED Pubs, write, fax, or call the following: ED Pubs, U.S. Department of Education, P.O. Box 22207, Alexandria, VA 22304. Telephone, toll free: 1-877-433-7827. FAX: (703) 605-6794. If you use a telecommunications device for the deaf (TDD) or a text telephone (TTY), call, toll free: 1-877-576-7734.
You can contact ED Pubs at its Web site, also:
If you request an application from ED Pubs, be sure to identify this competition as follows: CFDA number 84.264G.
To obtain a copy from the program office, contact the person listed under
Individuals with disabilities can obtain a copy of the application package in an accessible format (
2.a.
• A “page” is 8.5″ x 11″, on one side only, with 1″ margins at the top, bottom, and both sides.
• Double space (no more than three lines per vertical inch) all text in the application narrative, including titles, headings, footnotes, quotations, references, and captions, as well as all text in charts, tables, figures, and graphs.
• Use a font that is either 12 point or larger or no smaller than 10 pitch (characters per inch).
• Use one of the following fonts: Times New Roman, Courier, Courier New, or Arial. An application submitted in any other font (including Times Roman or Arial Narrow) will not be accepted.
In addition to the page-limit guidance on the application narrative section, we recommend that you adhere to the following page limits, using the standards listed above: (1) The abstract should be no more than one page, (2) the resumes of key personnel should be no more than two pages per person, and (3) the bibliography should be no more than three pages. The only optional materials that will be accepted are letters of support. Please note that our reviewers are not required to read optional materials.
Please note that any funded applicant's application abstract will be made available to the public.
b.
Given the types of projects that may be proposed in applications for the Rehabilitation Training: Vocational Rehabilitation Workforce Innovation Technical Assistance Center competition, an application may include business information that the applicant considers proprietary. The Department's regulations define “business information” in 34 CFR 5.11.
Because we plan to make the abstract of the successful application available to the public, you may wish to request confidentiality of business information.
Consistent with Executive Order 12600, please designate in your application any information that you feel is exempt from disclosure under Exemption 4 of the Freedom of Information Act. In the appropriate Appendix section of your application, under “Other Attachments Form,” please list the page number or numbers on which we can find this information. For additional information please see 34 CFR 5.11(c).
3.
Applications for grants under this competition must be submitted electronically using the Grants.gov Apply site (Grants.gov). For information (including dates and times) about how to submit your application electronically, or in paper format by mail or hand delivery if you qualify for an exception to the electronic submission requirement, please refer to section IV. 7.
We do not consider an application that does not comply with the deadline requirements.
Individuals with disabilities who need an accommodation or auxiliary aid in connection with the application process should contact the person listed under
4.
5.
6.
a. Have a Data Universal Numbering System (DUNS) number and a Taxpayer Identification Number (TIN);
b. Register both your DUNS number and TIN with the System for Award Management (SAM) (formerly the Central Contractor Registry (CCR)), the Government's primary registrant database;
c. Provide your DUNS number and TIN on your application; and
d. Maintain an active SAM registration with current information while your application is under review by the Department and, if you are awarded a grant, during the project period.
You can obtain a DUNS number from Dun and Bradstreet. A DUNS number can be created within one to two business days.
If you are a corporate entity, agency, institution, or organization, you can obtain a TIN from the Internal Revenue Service. If you are an individual, you can obtain a TIN from the Internal Revenue Service or the Social Security Administration. If you need a new TIN, please allow two to five weeks for your TIN to become active.
The SAM registration process can take approximately seven business days, but may take upwards of several weeks, depending on the completeness and accuracy of the data entered into the SAM database by an entity. Thus, if you think you might want to apply for Federal financial assistance under a program administered by the Department, please allow sufficient time to obtain and register your DUNS number and TIN. We strongly recommend that you register early.
Once your SAM registration is active, you will need to allow 24 to 48 hours for the information to be available in Grants.gov and before you can submit an application through Grants.gov.
If you are currently registered with SAM, you may not need to make any changes. However, please make certain that the TIN associated with your DUNS number is correct. Also note that you will need to update your registration annually. This may take three or more business days.
Information about SAM is available at
In addition, if you are submitting your application via Grants.gov, you must (1) be designated by your organization as an Authorized Organization Representative (AOR); and (2) register yourself with Grants.gov as an AOR. Details on these
7.
a.
Applications for grants under the Rehabilitation Training: Vocational Rehabilitation Workforce Innovation Technical Assistance Center, CFDA number 84.264G, must be submitted electronically using the Governmentwide Grants.gov Apply site at
We will reject your application if you submit it in paper format unless, as described elsewhere in this section, you qualify for one of the exceptions to the electronic submission requirement
You may access the electronic grant application for the Rehabilitation Training: Vocational Rehabilitation Workforce Innovation Technical Assistance Center competition at
Please note the following:
• When you enter the Grants.gov site, you will find information about submitting an application electronically through the site, as well as the hours of operation.
• Applications received by Grants.gov are date and time stamped. Your application must be fully uploaded and submitted and must be date and time stamped by the Grants.gov system no later than 4:30:00 p.m., Washington, DC time, on the application deadline date. Except as otherwise noted in this section, we will not accept your application if it is received—that is, date and time stamped by the Grants.gov system—after 4:30:00 p.m., Washington, DC time, on the application deadline date. We do not consider an application that does not comply with the deadline requirements. When we retrieve your application from Grants.gov, we will notify you if we are rejecting your application because it was date and time stamped by the Grants.gov system after 4:30:00 p.m., Washington, DC time, on the application deadline date.
• The amount of time it can take to upload an application will vary depending on a variety of factors, including the size of the application and the speed of your Internet connection. Therefore, we strongly recommend that you do not wait until the application deadline date to begin the submission process through Grants.gov.
• You should review and follow the Education Submission Procedures for submitting an application through Grants.gov that are included in the application package for this competition to ensure that you submit your application in a timely manner to the Grants.gov system. You can also find the Education Submission Procedures pertaining to Grants.gov under News and Events on the Department's G5 system home page at
• You will not receive additional point value because you submit your application in electronic format, nor will we penalize you if you qualify for an exception to the electronic submission requirement, as described elsewhere in this section, and submit your application in paper format.
• You must submit all documents electronically, including all information you typically provide on the following forms: The Application for Federal Assistance (SF 424), the Department of Education Supplemental Information for SF 424, Budget Information—Non-Construction Programs (ED 524), and all necessary assurances and certifications.
• You must upload any narrative sections and all other attachments to your application as files in a PDF (Portable Document) read-only, non-modifiable format. Do not upload an interactive or fillable PDF file. If you upload a file type other than a read-only, non-modifiable PDF or submit a password-protected file, we will not review that material.
• Your electronic application must comply with any page-limit requirements described in this notice.
• After you electronically submit your application, you will receive from Grants.gov an automatic notification of receipt that contains a Grants.gov tracking number. (This notification indicates receipt by Grants.gov only, not receipt by the Department.) The Department then will retrieve your application from Grants.gov and send a second notification to you by email. This second notification indicates that the Department has received your application and has assigned your application a PR/Award number (an ED-specified identifying number unique to your application).
• We may request that you provide us original signatures on forms at a later date.
If you are prevented from electronically submitting your application on the application deadline date because of technical problems with the Grants.gov system, we will grant you an extension until 4:30:00 p.m., Washington, DC time, the following business day to enable you to transmit your application electronically or by hand delivery. You also may mail your application by following the mailing instructions described elsewhere in this notice.
If you submit an application after 4:30:00 p.m., Washington, DC time, on the application deadline date, please contact the person listed under
The extensions to which we refer in this section apply only to the unavailability of, or technical problems with, the Grants.gov system. We will not grant you an extension if you failed to fully register to submit your application to Grants.gov before the application deadline date and time or if the technical problem you experienced is unrelated to the Grants.gov system.
• You do not have access to the Internet; or
• You do not have the capacity to upload large documents to the Grants.gov system;
• No later than two weeks before the application deadline date (14 calendar days or, if the fourteenth calendar day before the application deadline date falls on a Federal holiday, the next business day following the Federal holiday), you mail or fax a written statement to the Department, explaining which of the two grounds for an exception prevents you from using the Internet to submit your application.
If you mail your written statement to the Department, it must be postmarked no later than two weeks before the application deadline date. If you fax your written statement to the Department, we must receive the faxed statement no later than two weeks before the application deadline date.
Address and mail or fax your statement to: Jerry Elliott, U.S. Department of Education, 400 Maryland Avenue SW., Room 5021, Potomac Center Plaza (PCP), Washington, DC 20202-2800. FAX: (202) 245-7335.
Your paper application must be submitted in accordance with the mail or hand delivery instructions described in this notice.
b.
If you qualify for an exception to the electronic submission requirement, you may mail (through the U.S. Postal Service or a commercial carrier) your application to the Department. You must mail the original and two copies of your application, on or before the application deadline date, to the Department at the following address: U.S. Department of Education, Application Control Center, Attention: (CFDA Number 84.264G) LBJ Basement Level 1, 400 Maryland Avenue SW., Washington, DC 202-4260.
You must show proof of mailing consisting of one of the following:
(1) A legibly dated U.S. Postal Service postmark.
(2) A legible mail receipt with the date of mailing stamped by the U.S. Postal Service.
(3) A dated shipping label, invoice, or receipt from a commercial carrier.
(4) Any other proof of mailing acceptable to the Secretary of the U.S. Department of Education.
If you mail your application through the U.S. Postal Service, we do not accept either of the following as proof of mailing:
(1) A private metered postmark.
(2) A mail receipt that is not dated by the U.S. Postal Service.
If your application is postmarked after the application deadline date, we will not consider your application.
The U.S. Postal Service does not uniformly provide a dated postmark. Before relying on this method, you should check with your local post office.
c.
If you qualify for an exception to the electronic submission requirement, you (or a courier service) may deliver your paper application to the Department by hand. You must deliver the original and two copies of your application by hand, on or before the application deadline date, to the Department at the following address: U.S. Department of Education, Application Control Center, Attention: (CFDA Number 84.264G), 550 12th Street SW., Room 7039, Potomac Center Plaza, Washington, DC 20202-4260.
The Application Control Center accepts hand deliveries daily between 8:00 a.m. and 4:30:00 p.m., Washington, DC time, except Saturdays, Sundays, and Federal holidays.
If you mail or hand deliver your application to the Department—
(1) You must indicate on the envelope and—if not provided by the Department—in Item 11 of the SF 424 the CFDA number, including suffix letter, if any, of the competition under which you are submitting your application; and
(2) The Application Control Center will mail to you a notification of receipt of your grant application. If you do not receive this notification within 15 business days from the application deadline date, you should call the U.S. Department of Education Application Control Center at (202) 245-6288.
1.
2.
In addition, in making a competitive grant award, the Secretary also requires various assurances including those applicable to Federal civil rights laws that prohibit discrimination in programs or activities receiving Federal financial assistance from the Department of Education (34 CFR 100.4, 104.5, 106.4, 108.8, and 110.23).
3.
1.
If your application is not evaluated or not selected for funding, we notify you.
2.
We reference the regulations outlining the terms and conditions of an award in the
3.
(b) At the end of your project period, you must submit a final performance report, including financial information, as directed by the Secretary. If you receive a multi-year award, you must submit an annual performance report that provides the most current performance and financial expenditure information as directed by the Secretary under 34 CFR 75.118. The Secretary may also require more frequent performance reports under 34 CFR 75.720(c). For specific requirements on reporting, please go to
4.
The purpose of this priority is to fund a cooperative agreement to establish a Vocational Rehabilitation Workforce Innovation Technical Assistance Center to achieve, at a minimum, the following outcomes:
(a) Implementation of effective and efficient “pre-employment transition services” for students with disabilities, as set forth in section 113 of the Rehabilitation Act;
(b) Implementation by State VR agencies, in coordination with local and State educational agencies and with the Department of Labor, of the requirements in section 511 of the Rehabilitation Act that are under the purview of the Department of Education;
(c) Increased access to supported employment and customized employment services for individuals with the most significant disabilities, including youth with the most significant disabilities, receiving services under the State VR and Supported Employment programs;
(d) An increased percentage of individuals with disabilities who receive services through the State VR agency and who achieve employment outcomes in competitive integrated employment;
(e) Improved collaboration between State VR agencies and other core programs of the workforce development system; and
(f) Implementation of the new common performance accountability system under section 116 of WIOA.
The cooperative agreement will specify the short-term and long-term measures that will be used to assess the grantee's performance against the goals and objectives of the project and the outcomes listed in the preceding paragraph.
In its annual and final performance report to the Department, the grant recipient will be expected to report the data outlined in the cooperative agreement that is needed to assess its performance.
The cooperative agreement and annual report will be reviewed by RSA and the grant recipient between the third and fourth quarter of each project period. Adjustments will be made to the project accordingly in order to ensure demonstrated progress towards meeting the goals and outcomes of the project.
5.
Jerry Elliott, U.S. Department of Education, Rehabilitation Services Administration, 400 Maryland Avenue SW., Room 5021, PCP, Washington, DC 20202-2800. Telephone: (202) 245-7335 or by email:
If you use a TDD or a TTY, call the FRS, toll free, at 1-800-877-8339.
You may also access documents of the Department published in the
Department of Education.
Correction notice.
On August 7, 2015 the U.S. Department of Education published a 30-day comment period notice in the
The Acting Director, Information Collection Clearance Division, Office of the Chief Privacy Officer, Office of Management, hereby issues a correction notice as required by the Paperwork Reduction Act of 1995.
Take notice that on August 6, 2015, pursuant to section 206 of the Federal
BETM certifies that copies of the complaint were served on the contacts for MISO as listed on the Commission's list of Corporate Officials.
Any person desiring to intervene or to protest this filing must file in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211, 385.214). Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceeding. Any person wishing to become a party must file a notice of intervention or motion to intervene, as appropriate. The Respondent's answer and all interventions, or protests must be filed on or before the comment date. The Respondent's answer, motions to intervene, and protests must be served on the Complainants.
The Commission encourages electronic submission of protests and interventions in lieu of paper using the “eFiling” link at
This filing is accessible on-line at
Take notice that the Commission received the following electric corporate filings:
Take notice that the Commission received the following exempt wholesale generator filings:
Take notice that the Commission received the following electric rate filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
Take notice that the Commission received the following electric rate filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
Take notice that on August 6, 2015, pursuant to sections 206 and 306 of the Federal Power Act, 16 U.S.C. 824(e) and 825(e) and section 206 of the Federal Energy Regulatory Commission's (Commission) Rules of Practice and Procedure, 18 CFR 385.206, Indicated Market Participants (Complainant), filed a formal complaint against PJM Interconnection, L.L.C. (Respondent), alleging that the Respondent's Open Access Transmission Tariff is unjust and unreasonable to the extent it does not allow the Respondent to consider total system costs in clearing sell offers in the Capacity Performance Resources Delivery Years 2016-2018 and 2017/2018, as more fully explained in the complaint.
The Complainant certifies that copies of the complaint were served on the contacts for the Respondent as listed on the Commission's list of Corporate Officials and Respondent's representatives of record in Docket No. ER15-623.
Any person desiring to intervene or to protest this filing must file in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211, 385.214). Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceeding. Any person wishing to become a party must file a notice of intervention or motion to intervene, as appropriate. The Respondent's answer and all interventions, or protests must be filed on or before the comment date. The Respondent's answer, motions to intervene, and protests must be served on the Complainants.
The Commission encourages electronic submission of protests and interventions in lieu of paper using the “eFiling” link at
This filing is accessible on-line at
Comment Date: 5:00 p.m. Eastern Time on August 17, 2015.
Take notice that on July 29, 2015, Columbia Gas Transmission, LLC (Columbia) 5151 San Felipe Suite 2500,
Any questions concerning this application may be directed to Matthew J. Agen, Senior Counsel, Columbia Gas Transmission, LLC, 5151 San Felipe Suite 2500, Houston, Texas 77056, at (713) 386-3619.
Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9, within 90 days of this Notice the Commission staff will either: Complete its environmental assessment (EA) and place it into the Commission's public record (eLibrary) for this proceeding; or issue a Notice of Schedule for Environmental Review. If a Notice of Schedule for Environmental Review is issued, it will indicate, among other milestones, the anticipated date for the Commission staff's issuance of the final environmental impact statement (FEIS) or EA for this proposal. The filing of the EA in the Commission's public record for this proceeding or the issuance of a Notice of Schedule for Environmental Review will serve to notify federal and state agencies of the timing for the completion of all necessary reviews, and the subsequent need to complete all federal authorizations within 90 days of the date of issuance of the Commission staff's FEIS or EA.
Any person may, within 60 days after the issuance of the instant notice by the Commission, file pursuant to Rule 214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to intervene or notice of intervention. Any person filing to intervene or the Commission's staff may, pursuant to section 157.205 of the Commission's Regulations under the Natural Gas Act (NGA) (18 CFR 157.205) file a protest to the request. If no protest is filed within the time allowed therefore, the proposed activity shall be deemed to be authorized effective the day after the time allowed for protest. If a protest is filed and not withdrawn within 30 days after the time allowed for filing a protest, the instant request shall be treated as an application for authorization pursuant to section 7 of the NGA.
Persons who wish to comment only on the environmental review of this project should submit an original and two copies of their comments to the Secretary of the Commission. Environmental commenters will be placed on the Commission's environmental mailing list, will receive copies of the environmental documents, and will be notified of meetings associated with the Commission's environmental review process. Environmental commenters will not be required to serve copies of filed documents on all other parties. However, the non-party commenters will not receive copies of all documents filed by other parties or issued by the Commission (except for the mailing of environmental documents issued by the Commission) and will not have the right to seek court review of the Commission's final order.
The Commission strongly encourages electronic filings of comments, protests, and interventions via the internet in lieu of paper. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web site (
Aquenergy filed its request to use the Traditional Licensing Process on May 28, 2015. Aquenergy provided public notice of its request on June 8, 2015. In a letter dated August 6, 2015, the Director of the Division of Hydropower Licensing approved Aquenergy's request to use the Traditional Licensing Process.
With this notice, we are initiating informal consultation with the U.S. Fish and Wildlife Service under section 7 of the Endangered Species Act and the joint agency regulations thereunder at 50 CFR, part 402. We are also initiating consultation with the Virginia State Historic Preservation Officer, as required by section 106, National Historic Preservation Act, and the implementing regulations of the Advisory Council on Historic Preservation at 36 CFR 800.2.
With this notice, we are designating Aquenergy as the Commission's non-federal representative for carrying out informal consultation pursuant to section 7 of the Endangered Species Act and consultation pursuant to section 106 of the National Historic Preservation Act.
Aquenergy filed a Pre-Application Document (PAD; including a proposed process plan and schedule) with the Commission, pursuant to 18 CFR 5.6 of the Commission's regulations.
A copy of the PAD is available for review at the Commission in the Public Reference Room or may be viewed on the Commission's Web site (
The licensee states its unequivocal intent to submit an application for a new license for Project No. 2883. Pursuant to 18 CFR 16.8, 16.9, and 16.10 each application for a new license and any competing license applications must be filed with the Commission at
Register online at
Take notice that on July 27, 2015, Transcontinental Gas Pipe Line Company, LLC (Transco), PO Box 1396, Houston, Texas 77251, filed in Docket No. CP15-536-000 an application pursuant to section 7(b) of the Natural Gas Act (NGA) and part 157 of the Commission's regulations, requesting authorization to abandon by sale approximately 26.55 miles of 20-inch-diameter gathering pipeline and appurtenances to Tana Exploration Company LLC (Tana). Transco states that the facilities extend from the point of interconnection in Matagorda Island Block 669 between Tana's 10-inch-diameter gathering pipeline and Transco's pipeline to Fieldwood Energy LLC's Platform A in Brazos Block A-133, located in federal waters offshore Texas, all as more fully set forth in the application which is on file with the Commission and open to public inspection. The filing may also be viewed on the Web at
Any questions regarding this application should be directed to Scott C. Turkington, Director Rates & Regulatory, Transcontinental Gas Pipe Line Company, LLC, P.O. Box 1396, Houston, Texas 77251-1396, by telephone at (713) 215-3391, or by email at
Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9, within 90 days of this Notice the Commission staff will either: Complete its environmental assessment (EA) and place it into the Commission's public record (eLibrary) for this proceeding; or issue a Notice of Schedule for Environmental Review. If a Notice of Schedule for Environmental Review is issued, it will indicate, among other milestones, the anticipated date for the Commission staff's issuance of the final environmental impact statement (FEIS) or EA for this proposal. The filing of the EA in the Commission's public record for this proceeding or the issuance of a Notice of Schedule for Environmental Review will serve to notify federal and state agencies of the timing for the completion of all necessary reviews, and the subsequent need to complete all federal authorizations within 90 days of the date of issuance of the Commission staff's FEIS or EA.
There are two ways to become involved in the Commission's review of this project. First, any person wishing to obtain legal status by becoming a party to the proceedings for this project should, on or before the comment date stated below, file with the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, a motion to intervene in accordance with the requirements of the Commission's Rules of Practice and Procedure (18 CFR 385.214 or 385.211) and the Regulations under the NGA (18 CFR 157.10). A person obtaining party status will be placed on the service list maintained by the Secretary of the Commission and will receive copies of all documents filed by the applicant and by all other parties. A party must submit five copies of filings made with the Commission and must mail a copy to the applicant and to every other party in the proceeding. Only parties to the proceeding can ask for court review of Commission orders in the proceeding.
However, a person does not have to intervene in order to have comments considered. The second way to participate is by filing with the Secretary of the Commission, as soon as possible, an original and two copies of comments in support of or in opposition to this project. The Commission will consider these comments in determining the appropriate action to be taken, but the filing of a comment alone will not serve to make the filer a party to the proceeding. The Commission's rules require that persons filing comments in opposition to the project provide copies of their protests only to the party or parties directly involved in the protest.
Persons who wish to comment only on the environmental review of this project should submit an original and two copies of their comments to the Secretary of the Commission. Environmental commentors will be placed on the Commission's environmental mailing list, will receive copies of the environmental documents, and will be notified of meetings associated with the Commission's environmental review process. Environmental commentors will not be required to serve copies of filed documents on all other parties. However, the non-party commentors will not receive copies of all documents filed by other parties or issued by the Commission (except for the mailing of environmental documents issued by the Commission) and will not have the right to seek court review of the Commission's final order.
The Commission strongly encourages electronic filings of comments, protests and interventions in lieu of paper using the “eFiling” link at
Comment Date: 5 p.m. Eastern Time on August 27, 2015.
Take notice that during the month of June and July 2015, the status of the above-captioned entities as Exempt Wholesale Generators became effective by operation of the Commission's regulations. 18 CFR 366.7(a).
Take notice that on July 27, 2015, DBM Pipeline, LLC (DBM Pipeline), 1201 Lake Robbins Drive, The Woodlands, Texas 77380, filed in Docket No. CP15-537-000, a prior notice request pursuant to sections 157.205, 157.208, and 157.210 of the Commission's regulations under the Natural Gas Act (NGA). DBM Pipeline seeks authorization to construct and operate approximately 9 miles of 20-inch-diameter pipeline in Reeves and Culberson Counties, Texas, and Eddy County, New Mexico. DBM Pipeline proposes to perform these activities under its blanket certificate issued in Docket No. CP15-104-000 [152 FERC ¶ 62,056 (2015)], all as more fully set forth in the application which is on file with the Commission and open to public inspection.
The filing may be viewed on the web at
Any questions regarding this application should be directed to Philip H. Peacock, Vice President, General Counsel, and Corporate Secretary, DBM Pipeline, LLC, 1201 Lake Robbins Drive, The Woodlands, Texas, 77380, or by calling (832) 636-6000 (telephone)
Any person or the Commission's Staff may, within 60 days after the issuance of the instant notice by the Commission, file pursuant to Rule 214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to intervene or notice of intervention and, pursuant to section 157.205 of the Commission's Regulations under the NGA (18 CFR 157.205) a protest to the request. If no protest is filed within the time allowed therefore, the proposed activity shall be deemed to be authorized effective the day after the time allowed for protest. If a protest is filed and not withdrawn within 30 days after the time allowed for filing a protest, the instant request shall be treated as an application for authorization pursuant to section 7 of the NGA.
Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9, within 90 days of this Notice the Commission staff will either: Complete its environmental assessment (EA) and place it into the Commission's public record (eLibrary) for this proceeding, or issue a Notice of Schedule for Environmental Review. If a Notice of Schedule for Environmental Review is issued, it will indicate, among other milestones, the anticipated date for the Commission staff's issuance of the final environmental impact statement (FEIS) or EA for this proposal. The filing of the EA in the Commission's public record for this proceeding or the issuance of a Notice of Schedule for Environmental Review will serve to notify federal and state agencies of the timing for the completion of all necessary reviews, and the subsequent need to complete all federal authorizations within 90 days of the date of issuance of the Commission staff's FEIS or EA.
Persons who wish to comment only on the environmental review of this project should submit an original and two copies of their comments to the Secretary of the Commission. Environmental commenters will be placed on the Commission's environmental mailing list, will receive copies of the environmental documents, and will be notified of meetings associated with the Commission's environmental review process. Environmental commenters will not be required to serve copies of filed documents on all other parties. However, the non-party commenters will not receive copies of all documents filed by other parties or issued by the Commission (except for the mailing of environmental documents issued by the Commission) and will not have the right to seek court review of the Commission's final order.
The Commission strongly encourages electronic filings of comments, protests, and interventions via the internet in lieu of paper. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web site (
This is a supplemental notice in the above-referenced proceeding of Willey Battery Utility, LLC's application for market-based rate authority, with an accompanying rate tariff, noting that such application includes a request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability.
Any person desiring to intervene or to protest should file with the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone filing a motion to intervene or protest must serve a copy of that document on the Applicant.
Notice is hereby given that the deadline for filing protests with regard to the applicant's request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability, is August 26, 2015.
The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at
Persons unable to file electronically should submit an original and 5 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426.
The filings in the above-referenced proceeding are accessible in the
Take notice that the Commission received the following electric rate filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
This is a supplemental notice in the above-referenced proceeding of Energy.Me Midwest LLC's application for market-based rate authority, with an accompanying rate tariff, noting that such application includes a request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability.
Any person desiring to intervene or to protest should file with the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone filing a motion to intervene or protest must serve a copy of that document on the Applicant.
Notice is hereby given that the deadline for filing protests with regard to the applicant's request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability, is August 19, 2015.
The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at
Persons unable to file electronically should submit an original and 5 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426.
The filings in the above-referenced proceeding are accessible in the Commission's eLibrary system by clicking on the appropriate link in the above list. They are also available for electronic review in the Commission's Public Reference Room in Washington, DC. There is an eSubscription link on the Web site that enables subscribers to receive email notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please email
Environmental Protection Agency (EPA).
Notice.
The Environmental Protection Agency (EPA or Agency) is providing notice of the availability of “Final Update V” to the Third Edition of the manual, “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA publication SW-846. Final Update V contains analytical methods, of which 8 are new and 15 are revised. The methods in Update V may be used in monitoring or complying with the Resource Conservation and Recovery Act (RCRA) hazardous waste regulations. This action includes revisions to the methods in response to comments received on a Notice published in the
Kim Kirkland, Office of Resource Conservation and Recovery (5304P), Environmental Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460-0002; telephone number: (703) 308-8855, fax number: (703) 308-0509, email address:
This notice is directed to the public in general. It may, however, be of particular interest to those conducting waste sampling and analysis for RCRA-related activities. This universe might include any entity that generates, treats, stores, or disposes of hazardous or nonhazardous solid waste and might also include any laboratory that conducts waste sampling and analyses for such entities.
1. The Agency has established a docket for this action under Docket ID No. EPA-RCRA-2012-0072; FRL-9901-86-OSWER and FRL-9929-37-OSWER. Publicly available docket materials are available either electronically through
The Third Edition of SW-846, as amended by Final Updates I, II, IIA, IIB, III, IIIA, IIIB, IVA, IVB, and V, is available in pdf format on the Internet at
The Agency is announcing publication of Final Update V to “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA publication SW-846, which is now part of the SW-846 methods compendium. Specifically, Update V of SW-846 contains revisions to the first five chapters of SW-846 and 23 new and modified analytical methods that the Agency has evaluated, and/or revised and determined to be appropriate and may be used for monitoring or complying with the RCRA hazardous waste regulations. Eight of the 23 methods are new methods that have been fully validated,
The 15 revised methods have replaced the previous versions in the final update package and will also be placed into the SW-846 methods compendium. Because the RCRA hazardous waste regulations do not require the analytical methods contained in Update V, the Agency is issuing this update as guidance. This guidance does not add or change the RCRA regulations, and does not have any impact on existing rulemakings associated with the RCRA program. To date, the Agency has finalized Updates I, II, IIA, IIB, III, IIIA, IIIB, IVA, and IVB to the SW-846 manual, which can be found on the Agency's ORCR Web page at:
SW-846 is revised over time as new information and data become available. The Agency continually reviews advances in analytical instrumentation and techniques and periodically incorporates such advances into SW-846 as method updates by adding new methods to the manual, and replacing existing methods with revised versions of the same method. On October 23,
Revisions made were either editorial for clarity or technical for accuracy. A summary of significant changes are noted in Appendix A of each revised method.
The Agency did not receive any comments regarding the content of the ORCR Policy Statement and has finalized it without change. As a reminder, the Agency strongly recommends the use of the latest version of an SW-846 method. The Agency, however, is not imposing restrictions on the use of earlier versions of non-required SW-846 methods or precluding the use of previous guidance, if such use is appropriate. For example, earlier versions of an SW-846 method may be more appropriate for regulatory purposes (
Final Update V contains revisions to Chapters One through Five of EPA's publication SW-846. As noted above, no changes are made to Method Defined Parameters (MDPs), which are required by the RCRA regulation and must be followed prescriptively. Also, no changes were made to general sections of SW-846 to the extent they apply to MDPs. The analytical methods in Update V are considered guidance, provide a basic standard operating procedure, and may be modified where appropriate.
In addition, included in the original Update V Notice, was “The ORCR Policy Statement,” which was developed as a result of stakeholders' discussions regarding a need for clarification of the status and definitions (
Table 1 provides a listing of the five revised chapters and 23 methods in this Update V.
SW-846 contains the following 13 chapters, which provide additional guidance when conducting sample collection, preparation, treatment and disposal. The first five chapters were revised and/or updated in accordance with Update V method revisions. All the chapter titles for SW-846 are listed in Table 2.
The date that the technical workgroup officially updated the methods is also displayed in the footer of Update V methods and chapters. Specifically, discussion of the comments and the Agency's responses follow:
The Agency received 20 comments on Chapter One. Most comments were favorable. For those that were not, the comments mainly focused on the interpretation of terminology used (
The Method Detection Limit (MDL) procedure in 40 CFR part 136, Appendix B, for the determination of MDLs developed for the Clean Water Act (CWA) program uses a clean matrix (
Since the current MDL procedure is not suitable for complex matrices found in RCRA waste, references to the MDL have been replaced with the LLOQ for non-regulatory methods (guidance). As the regulations are revised, the RCRA program will remove the MDL reference from the MDPs and replace it with the LLOQ concept where appropriate.
The Agency refined the procedure for establishing the LLOQ. This refinement considers sample matrix effects; includes a provision to verify the reasonableness of the reported quantitation limit (QL); and recommends a frequency of LLOQ verification (found in Chapter One and each method) to be balanced between rigor and practicality.
The Agency understands that previous versions of methods published in SW-846 may contain the MDL reference and as methods are updated, the Agency will remove references to the MDLs. The Agency will also remove MDL references in older methods that have not yet been updated, as time and resources allow. References in MDPs will be revised in a future effort since they can only be revised through a notice and comment rulemaking effort. The Agency recommends the use of LLOQ, as appropriate, for the non-MDP methods that have not yet been updated. See Section 9.8 in Method 6020B for Inorganic analytes and Section 9.7 in Method 8000 for Organic analytes on LLOQ for further information on implementation. Also, if method users choose to run the LLOQ sample, it must be run with each batch to see if it meets the established acceptance criteria. Lastly, results above the LLOQ are quantifiable within an acceptable precision and bias. Thus, the LLOQ approach better suits the needs of the RCRA program, because it provides reliable and defensible results, especially at the lower level of quantitation, and can be reported with a known level of confidence for the complex matrices being evaluated. Various programs use SW-846 methods in implementing different statutes, including RCRA, the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the Toxic Substances Control Act (TSCA), the Oil Pollution Act, Homeland Security Presidential Directives and Presidential Policy Directives, for waste and materials characterization, compliance testing, site/incident characterization and extent of contamination, risk assessment, and remediation for protection of human health and the environment, and better management and use of wastes and materials, for a wide range of difficult matrices. The Agency believes that the LLOQ approach is an important improvement and supports the essential need to provide data that are verified to meet the precision and accuracy requirements of the RCRA program.
For organic analyses, the acceptable recovery ranges of target analytes will vary more than for other types of analyses, such as inorganics. The recovery of target analytes in the LLOQ check sample should be within established limits, or other such project-required acceptance limits, for precision and bias to verify the data reporting limits. Until the laboratory has sufficient data to determine acceptance limits statistically, the laboratory control sample (LCS) criterion, +20% (
In-house limits (which a laboratory establishes) for bias (
The LLOQ check sample should be spiked with the analytes of interest at the predicted LLOQ concentration levels and carried through the same preparation and analysis procedures as environmental samples and other QC samples. For more information, please see individual methods (
The Agency did not receive any comments on the IDP, and has finalized the language as presented in the original notice. Language regarding the IDP has been specified in the individual Update V methods where appropriate (
Therefore, if a major change to the sample preparation procedure is made (
When new staff members are trained: A new analyst needs to be capable of performing the method, or portion of the method, for which he/she is responsible. For example, when analysts are trained for a subset of analytes for an 8000 series method, the new sample preparation analyst should prepare reference samples for a representative set of analytes (
To avoid confusion with RSD, RSE has been moved to Section 11.5.4.2 of Method 8000D. In addition, the first sentence in Section 11.5.6.1 of Method 8000D has been changed to read as follows: “Corrective action may be needed if the calibration criteria (RSD/r
RSE refits the calibration data back to the calibration model and evaluates the difference between the measured and the true amounts or concentrations used to create the model.
The RSE acceptance limit criterion for the calibration model is the same as the RSD limit in the determinative method.
If the RSD limit is not defined in the determinative method, the RSE limit should be set at ≤20% for good performing compounds and ≤30% for poor performing compounds.
The Agency received 12 comments on Chapter Two. Most comments were favorable, and others were editorial in nature. Therefore, the Agency has revised and finalized the Table of Contents to add the new and revised methods from Update V to the SW-846 compendium. Method titles from the 8000 series were added to Section 2.2.3 for completeness. Other tables were revised to include additional analytes as appropriate. In addition, a typographical error for bis(2-chloroisopropyl) ether was corrected to bis(2-chloro-1-methylethyl) ether in Tables 2-1, 2-4, 2-15, 2-22, and 2-34. This correction is consistent with the most common way to identify this compound. New compounds were also added to Tables 2-1, 2-6, 2-20, 2-23A, 2-29A, 2-30, 2-31, 2-35A, 2-36A, 2-41, 2-45 and 2-46.
The Agency received six comments on Chapter Three. Most comments were favorable, and the Agency made the appropriate editorial and clarification changes (
The Agency received nine comments on Chapter Four. Most comments focused on Table 4-1, which has now been finalized to exclude the recommendation to collect a second set of samples without adding an acid preservative and analyze in a shorter time frame if vinyl chloride and styrene are analytes of concern for aqueous samples. A study showed that there were no significant differences in sample recovery of those samples preserved with acid versus those not preserved. Other comments were minor, and appropriate revisions have been made adding additional methods to section 4.3.3.
The Agency did not receive any comments on Chapter Five. Chapter 5's changes were general (
The Agency also received comments on Chapter Nine, which was not open for comment. However, the Agency will consider those comments in a future update.
Significant revisions were finalized regarding Methods 6010D, 6020B, and 8000D, and are discussed in this notice. Many methods were revised based on technical and editorial comments received during the comment period. More detailed discussions and responses to all comments received on Update V can be found in the Response to Comments Background Document in the RCRA Docket at: (EPA-HQ-RCRA-2012-0072). A summary of significant comments has been provided.
In addition, the Agency received other comments regarding clarification of the method blank acceptance criteria and definitions (such as Instrument Detection Limit procedure (IDL)) which can be found in detail in Method 6010D.
Eight comments were related to the use and implementation of the LLOQ and its application to method blanks. Several additions and changes were made in the method as a result of these comments. The method blank language in Sections 9.2.6.9 through 9.2.6.11 was updated to reflect that blanks should be considered acceptable if the concentrations found were below one half of the LLOQ (or project DQOs). Blanks may contain hits for reported compounds if the results in the associated samples are >10X the concentration in the blank. The data may also be reported with flags, which is a new option in this version of Method 8000.
Seven comments were related to QC sample frequency and control limits. One commenter requested that a numerical limit for LLOQ standard recovery be used. The users are encouraged to develop statistical acceptance limits rather than to default to a set of numerical limits in the method. The suggested criteria remain ±20% of the laboratory's control sample (LCS) limits. Another commenter objected to removal of the word “must” from some calibration criteria (such as calibration coefficients). The Agency confirmed the intention to allow the project requirements to be flexible. The laboratories are also instructed to perform corrective actions whenever calibration criteria for their project requirements are not met. Some other suggestions were not adopted (such as a requirement to run an end continuing calibration verification (CCV) for every 8000 series method or to require all extraction QC from a batch to be run on the same instrument as every sample and/or dilutions thereof). The Agency's view is that the methods should remain flexible and more restrictive QC requirements (where needed) should be listed in the determinative methods.
One commenter requested the inclusion of an additional reference (the Department of Defense Quality Systems Manual, Version 5.0 (DOD QSM 5.0)) as The Agency used it in developing Update V. The Agency agrees, and added the reference.
These changes in Update V will assist method users in demonstrating method competency and in generating better quality data. For the convenience of the analytical community, the Agency will revise the OSWER Methods' Team homepage on The Agency's Web site to include the final Update V. Also, please see the Web site:
Environmental Protection Agency (EPA).
Notice.
This notice announces EPA's approval of the State of Washington's request to revise/modify its Approved State Hazardous Waste Management EPA-authorized program to allow electronic reporting.
EPA's approval is effective August 13, 2015.
Karen Seeh, U.S. Environmental Protection Agency, Office of Environmental Information, Mail Stop 2823T, 1200 Pennsylvania Avenue NW., Washington, DC 20460, (202) 566-1175,
On October 13, 2005, the final Cross-Media Electronic Reporting Rule (CROMERR) was published in the
On May 21, 2009, the Washington State Department of Ecology (ECY WA) submitted an amended application titled “Turbowaste.net” or revisions/modifications to its EPA-approved program under title 40 CFR to allow new electronic reporting Part 262, 264-265, and 270 program under title 40 CFR to allow new electronic reporting. EPA reviewed ECY WA's request to revise/modify its EPA-authorized Part 272—Approved State Hazardous Waste Management Programs and, based on this review, EPA determined that the application met the standards for approval of authorized program revision/modification set out in 40 CFR part 3, subpart D. In accordance with 40 CFR 3.1000(d), this notice of EPA's decision to approve Washington's request to revise/modify its Part 272—Approved State Hazardous Waste
ECY WA was notified of EPA's determination to approve its application with respect to the authorized program listed above.
Environmental Protection Agency (EPA).
Notice.
The Environmental Protection Agency has submitted an information collection request (ICR), “EPA's Natural Gas STAR Program” (EPA ICR No. 1736.07, OMB Control No. 2060-0328) to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act (44 U.S.C. 3501
Additional comments may be submitted on or before September 14, 2015.
Submit your comments, referencing Docket ID No. EPA-HQ-OAR-2004-0082, to (1) EPA online using
EPA's policy is that all comments received will be included in the public docket without change including any personal information provided, unless the comment includes profanity, threats, information claimed to be Confidential Business Information (CBI) or other information whose disclosure is restricted by statute.
Jerome Blackman, Office of Atmospheric Programs, Climate Change Division, mail code: 6207A, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460; telephone number: 202-343-9630; fax number: 202-343-2342; email address:
Supporting documents which explain in detail the information that the EPA will be collecting are available in the public docket for this ICR. The docket can be viewed online at
Environmental Protection Agency (EPA).
Notice.
The Environmental Protection Agency (EPA) is planning to submit an information collection request (ICR), “Servicing of Motor Vehicle Air Conditioners” (EPA ICR No. 1617.08, OMB Control No. 2060-0247) to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act (44 U.S.C. 3501
Comments must be submitted on or before October 13, 2015.
Submit your comments, referencing Docket ID No. EPA-HQ-OAR-2015-0533, online using
EPA's policy is that all comments received will be included in the public docket without change including any personal information provided, unless the comment includes profanity, threats, information claimed to be Confidential Business Information (CBI) or other information whose disclosure is restricted by statute.
Rebecca von dem Hagen, Environmental Protection Agency, Stratospheric Protection Division, Office of Atmospheric Programs, MC 6205J, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460; telephone number: (202) 343-9445; fax number: (202) 343-2362; email address:
Supporting documents which explain in detail the information that the EPA will be collecting are available in the public docket for this ICR. The docket can be viewed online at
Pursuant to section 3506(c)(2)(A) of the PRA, EPA is soliciting comments and information to enable it to: (i) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility; (ii) evaluate the accuracy of the Agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (iii) enhance the quality, utility, and clarity of the information to be collected; and (iv) minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated electronic, mechanical, or other technological collection techniques or other forms of information technology,
Other affected groups include:
Environmental Protection Agency (EPA).
Notice.
EPA has submitted the following information collection request (ICR) to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act (PRA): “PCBs, Consolidated Reporting and Record Keeping Requirements” and identified by EPA ICR No. 1446.11 and OMB Control No. 2070-0112. The ICR, which is available in the docket along with other related materials, provides a detailed explanation of the collection activities and the burden estimate that is only briefly summarized in this document. EPA has addressed the comments received in response to the previously provided public review opportunity issued in the
Comments must be received on or before September 14, 2015.
Submit your comments, identified by docket identification (ID) number EPA-HQ-OPPT-2014-0597, to both EPA and OMB as follows:
• To EPA online using
• To OMB via email to
EPA's policy is that all comments received will be included in the docket without change, including any personal information provided, unless the comment includes profanity, threats, information claimed to be Confidential Business Information (CBI), or other information whose disclosure is restricted by statute. Do not submit electronically any information you consider to be CBI or other information whose disclosure is restricted by statute.
Colby Lintner, Environmental Assistance Division (7408M), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460-0001; telephone number: (202) 554-1404; email address:
Under PRA, 44 U.S.C. 3501
44 U.S.C. 3501
Environmental Protection Agency (EPA).
Notice.
This notice announces EPA's approval of the State of Alaska's request to revise/modify certain of its EPA-authorized programs to allow electronic reporting.
EPA's approval is effective August 13, 2015.
Karen Seeh, U.S. Environmental Protection Agency, Office of Environmental Information, Mail Stop 2823T, 1200 Pennsylvania Avenue NW., Washington, DC 20460, (202) 566-1175,
On October 13, 2005, the final Cross-Media Electronic Reporting Rule (CROMERR) was published in the
On May 8, 2015, the Alaska Department of Environmental Conservation (ADEC) submitted an amended application titled Air Online Service System for revisions/modifications to its EPA-approved program under title 40 CFR to allow new electronic reporting. EPA reviewed ADEC's request to revise/modify its EPA-authorized programs and, based on this review, EPA determined that the application met the standards for approval of authorized program revisions/modifications set out in 40 CFR part 3, subpart D. In accordance with 40 CFR 3.1000(d), this notice of EPA's decision to approve Alaska's request to revise/modify its following EPA-authorized programs to allow electronic reporting under 40 CFR parts 51, 52, 60-63, and 70 is being published in the
ADEC was notified of EPA's determination to approve its application with respect to the authorized programs listed above.
Environmental Protection Agency (EPA).
Notice.
The Environmental Protection Agency has submitted an information collection request (ICR), “NSPS for Nitric Acid Plants for which Construction, Reconstruction or Modification Commenced after October 14, 2011 (40 CFR part 60, subpart Ga) (Renewal)” (EPA ICR No. 2445.03, OMB Control No. 2060-0674), to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act (44 U.S.C. 3501
Additional comments may be submitted on or before September 14, 2015.
Submit your comments, referencing Docket ID Number EPA-HQ-OECA-2014-0103, to (1) EPA online using
EPA's policy is that all comments received will be included in the public docket without change including any personal information provided, unless the comment includes profanity, threats, information claimed to be Confidential Business Information (CBI), or other information whose disclosure is restricted by statute.
Patrick Yellin, Monitoring, Assistance, and Media Programs Division, Office of Compliance, Mail Code 2227A, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460; telephone number: (202) 564-2970; fax number: (202) 564-0050; email address:
Supporting documents which explain in detail the information that the EPA will be collecting are available in the public docket for this ICR. The docket can be viewed online at
Based upon the foregoing, the Receiver has determined that the continued existence of the receivership will serve no useful purpose. Consequently, notice is given that the receivership shall be terminated, to be effective no sooner than thirty days after the date of this Notice. If any person wishes to comment concerning the termination of the receivership, such comment must be made in writing and sent within thirty days of the date of this Notice to: Federal Deposit Insurance Corporation, Division of Resolutions and Receiverships, Attention: Receivership Oversight Department 32.1, 1601 Bryan Street, Dallas, TX 75201.
No comments concerning the termination of this receivership will be considered which are not sent within this time frame.
The Federal Deposit Insurance Corporation (FDIC), as Receiver for 10014, Ameribank, Inc., Northfork, West Virginia (Receiver) has been authorized to take all actions necessary to terminate the receivership estate of Ameribank, Inc. (Receivership Estate); The Receiver has made all dividend distributions required by law.
The Receiver has further irrevocably authorized and appointed FDIC-Corporate as its attorney-in-fact to execute and file any and all documents that may be required to be executed by the Receiver which FDIC-Corporate, in its sole discretion, deems necessary; including but not limited to releases, discharges, satisfactions, endorsements, assignments and deeds.
Effective August, 01, 2015 the Receivership Estate has been terminated, the Receiver discharged, and the Receivership Estate has ceased to exist as a legal entity.
The notificants listed below have applied under the Change in Bank Control Act (12 U.S.C. 1817(j)) and § 225.41 of the Board's Regulation Y (12 CFR 225.41) to acquire shares of a bank or bank holding company. The factors that are considered in acting on the notices are set forth in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)).
The notices are available for immediate inspection at the Federal Reserve Bank indicated. The notices also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing to the Reserve Bank indicated for that notice or to the offices of the Board of Governors. Comments must be received not later than August 28, 2015.
A. Federal Reserve Bank of Chicago (Colette A. Fried, Assistant Vice President) 230 South LaSalle Street, Chicago, Illinois 60690-1414:
1.
Gulf Coast Ecosystem Restoration Council.
Notice of availability; request for comments.
In accordance with the Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf States Act (RESTORE Act or Act), the Gulf Coast Ecosystem Restoration Council (Council) announces the availability of the Initial Draft Funded Priorities List (draft FPL). The draft FPL sets forth the initial activities that the Council proposes to prioritize for funding and further consideration. This document is now available for public and tribal review and comment.
To ensure consideration, we must receive your written comments on the draft FPL by September 28, 2015.
You may submit comments on the draft FPL by either of the following methods:
•
•
In general, the Council will make such comments available for public inspection and copying on its Web site,
Please send questions by email to
In addition to creating the Trust Fund, the Act established the Council, which is chaired by the Secretary of Commerce and includes the Governors of Alabama, Florida, Louisiana, Mississippi, and Texas, and the Secretaries of the U.S. Departments of Agriculture, the Army, Homeland Security, and the Interior, and the Administrator of the U.S. Environmental Protection Agency.
Under the Act, the Council will administer a portion of the Trust Fund known as the Council-Selected Restoration Component in order to “undertake projects and programs, using the best available science, that would restore and protect the natural resources, ecosystems, fisheries, marine and wildlife habitats, beaches, coastal wetlands, and economy of the Gulf Coast.” In August 2013 the Council approved an Initial Comprehensive Plan (Initial Plan) (
As a supplement to the Initial Plan and pursuant to the requirement in the Restore Act to draft a “prioritized list of specific projects and programs to be funded,” the Council is now publishing a draft FPL that proposes the activities which the Council intends to prioritize for funding and further consideration. The Council will carefully review public and tribal comments, make appropriate changes, and then finalize the FPL with appropriate notice in the
The Council seeks public and tribal comment on all aspects of the draft FPL, including comments related to the process used to develop the draft FPL, the projects and programs contained therein, and the associated environmental compliance documentation.
The members of the Council collaborated in creating a draft FPL that responds to ecological needs regardless of jurisdictional boundaries. With the draft FPL, the Council seeks to provide near-term “on-the-ground” ecosystem benefits, while also building a planning and science foundation for future success. In the draft FPL, the Council proposes to focus on ten key watersheds across the Gulf in order to concentrate and leverage available funds in addressing critical ecological needs in high-priority locations. The draft FPL focuses on habitat and water quality, and includes restoration and conservation activities that can be implemented in the near term. It also supports project-specific planning efforts necessary to advance large-scale restoration. The comprehensive planning and monitoring efforts proposed in the draft FPL would provide Gulf-wide benefits into the future.
The Council intends to play a key role in helping to ensure that the Gulf's natural resources are sustainable and available for future generations. Currently available Gulf restoration funds and those that may become available in the future represent a great responsibility. The ongoing involvement of the people who live, work and play in the Gulf region is critical to ensuring that these monies are used wisely and effectively. The Council thanks all those who have participated in the process thus far, and offers thanks in advance to those who will take the time to again offer thoughts on how we can collectively help restore the Gulf.
Electronic versions of the draft FPL can be viewed and downloaded at
Centers for Disease Control and Prevention (CDC), Department of Health and Human Services (HHS).
Notice with comment period.
The Centers for Disease Control and Prevention (CDC), as part of its continuing efforts to reduce public burden and maximize the utility of government information, invites the general public and other Federal agencies to take this opportunity to
Written comments must be received on or before October 13, 2015.
You may submit comments, identified by Docket No. CDC-2015-0069 by any of the following methods:
All public comment should be submitted through the Federal eRulemaking portal (
To request more information on the proposed project or to obtain a copy of the information collection plan and instruments, contact the Information Collection Review Office, Centers for Disease Control and Prevention, 1600 Clifton Road, NE., MS-D74, Atlanta, Georgia 30329; phone: 404-639-7570; Email:
Under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501-3520), Federal agencies must obtain approval from the Office of Management and Budget (OMB) for each collection of information they conduct or sponsor. In addition, the PRA also requires Federal agencies to provide a 60-day notice in the
Comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; to develop, acquire, install and utilize technology and systems for the purpose of collecting, validating and verifying information, processing and maintaining information, and disclosing and providing information; to train personnel and to be able to respond to a collection of information, to search data sources, to complete and review the collection of information; and to transmit or otherwise disclose the information.
Efficacy Study of a Mobile Application to Provide Comprehensive and Medically Accurate Sexual Health Information for Adolescent Girls—New—National Center for Chronic Disease Prevention and Health Promotion (NCCDPHP), Centers for Disease Control and Prevention (CDC).
Despite drastic reductions in teen births across all racial and ethnic groups, Black and Latino girls continue to have disproportionately high rates of teen births. Increasing girls' access to medically accurate and comprehensive sexual health information is the first step in sustaining momentum in teen pregnancy reduction among all racial and ethnic groups, and in promoting healthy sexual behaviors, especially among minority girls.
CDC plans to collect the information needed to test the efficacy of a comprehensive and medically accurate mobile application, titled Crush, in increasing adolescent girls' contraception use and clinic visitation for sexual and reproductive health services. The information disseminated via Crush is similar to the sexual health information youth can access via other Web sites, sexual health promotion educational materials or in clinics.
The study will randomize a sample of 1,200 girls, ages 14-18, into two groups: The intervention group and the control group. The intervention group will have access to Crush and will receive weekly sexual health information via text to the phones for six months. The control group will have access to a fitness mobile application (“app”) and will receive general health information via text to their phones for six months. Participants are expected to access either app frequently throughout a six month period. As part of the analysis, sexual behavior and key psychosocial factors will be assessed three points in time: At baseline, and at three- and six-month follow-ups.
Efficacy testing will respond to the following research questions: Research Question #1 is: Does exposure to Crush increase consistent contraception use among participants? We hypothesize that participants in the intervention group will report increased intent to use effective contraception at three and six months post-intervention. Research Question #2 is: Does exposure to Crush increase clinic utilization rate among participants? We hypothesize that participants in the intervention group will report higher rates of intent to utilize clinic services at three and six months post intervention.
The study will also include a usability testing component to identify the content and features of Crush that are most attractive to participants, the frequency in which Crush was used, and the navigation patterns within Crush. Participants will create an account in the Enrollment Database. This database will host participants' enrollment information, basic demographic information, and will also track their navigation pattern to monitor Crush visitation frequency and visit duration. Navigation data will be used to assess intervention exposure and dosage to specific content areas of Crush. To test real-world utilization of Crush, control group participants will gain access to Crush six months after enrolling into the study, but will not receive weekly text messages. The study will track visitation frequency and duration of each visit. Usability testing will respond to Research Question #3
All information will be collected electronically. This study will collect data through two mechanisms: (1) Self-administered online surveys, and (2) the Crush enrollment database. Participants will complete a total of three self-administered online surveys at baseline, three and six month follow-up. Survey questions will assess behavior, attitudes, social norms about sexual behavior, contraception and clinic utilization, and satisfaction with Crush.
The mobile response surveys will be sent to participants via text message which they can complete on a smartphone. The estimated burden per response is 13-20 minutes. Survey responses will be matched by each participant's unique identifying number. Each participant will receive up to two survey reminders starting one week after the initial survey link is sent, for two consecutive weeks. There are minor differences in survey content for the control and intervention groups.
Each participant will create a profile in the database upon enrollment. This database will collect initial demographic and contact information, informed consent signatures, and information about the participant's navigation pattern through Crush. Any information entered directly into Crush interactive features will not be stored in the system. The database only collects web analytics data about page visited and duration of each visit by User ID and IP address. Web analytics are generated for any Web site and are a standard evaluation mechanism for assessing the traffic patterns on Web pages. This technology permits development of an objective and quantifiable measure that tracks and records participants' exposure to Crush. This study component does not entail any response burden to participants.
Findings will be used to inform the development and delivery of effective health communications.
OMB approval is requested for one year. Participation is voluntary and there are no costs to respondents other than their time.
To fully address the objectives outlined for this project, it was determined that additional information collection beyond what was proposed in the 60 day
The proposed data collection activities described in this notice will collect data about state policies and practices; how TANF, RCA, and associated services are provided; the respective roles of the various agencies and organizations in serving participants; how the agencies and organizations integrate services internally and/or collaborate with other organizations; refugee populations served; approaches to addressing the particular barriers refugees face; promising practices and strategies for assisting refugees; gaps in services; local labor market conditions; and experiences of refugees accessing services through these programs.
This
(2) The four
(3) The
Estimated Total Annual Burden Hours: 187.
Department of Health and Human Services (HHS), Office of the Secretary (OS).
Notice to establish a new system of records, to replace two existing systems.
In accordance with the requirements of the Privacy Act of 1974 (5 U.S.C. 552a), HHS is proposing to establish a single, department-wide system of records to cover all HHS payroll records, to be numbered 09-90-1402 and titled “HHS Payroll Records, HHS/OS.” The new system will replace two existing systems of records covering payroll records for civilian and commissioned corps personnel (09-40-0006 “Public Health Service (PHS) Commissioned Corps Payroll Records, HHS/PSC/HRS” and 09-40-0010 “Pay, Leave and Attendance Records, HHS/PSC/HRS”). The existing systems were last altered effective September 2012 (see Notice published August 15, 2012 at 77 FR 48984, amending System of Records Notices (SORNs) published December 11, 1998 at 63 FR 68596, to revise the routine use covering disclosures to contractors and to add a new routine use covering disclosures in the course of responding to a data security breach). The existing systems will be considered deleted upon the effective date of the proposed new system. The SORN for the new system includes updates or changes to the System Location, Routine Uses, System Manager, and Record Access Procedure sections, as more fully explained in the “Supplementary Information” section of this Notice.
Effective upon publication, with the exception of the routine uses. The routine uses for the new system will be effective 30 days after publication of this Notice, unless comments are received that warrant a revision to this Notice. Written comments on the routine uses should be submitted within 30 days. Until the routine uses for the new system are effective, the routine uses previously published for the existing systems will remain in effect.
The public should address written comments to: CAPT Eric Shih, Office of the Surgeon General (OSG), Division of Systems Integration (DSI), Tower Oaks Building, Plaza Level 100, 1101 Wootton Parkway, Rockville, Maryland 20852. Comments will be available for public viewing at the same location. To review comments in person, please contact the Office of the Surgeon General (OSG), Division of Systems Integration (DSI), Tower Oaks Building, Plaza Level 100, 1101 Wootton Parkway, Rockville, Maryland 20852.
The proposed new system, 09-90-1402 “HHS Payroll Records,” will combine two payroll systems of records which, until December 11, 1998, were covered in a single system of records notice (SORN), under the former number 09-90-0017 and title “Pay, Leave and Attendance Records.” The two existing systems (09-40-0006 and 09-40-0010) replaced system number 09-90-0017 in 1998 (see 63 FR 68596 at 68612 and 68615), following a 1995 reorganization that transferred payroll functions to the Program Support Center (PSC), an Operating Division that was created in 1995 to perform Human
• Updates have been made to the System Location and System Manager sections.
• The Record Access Procedures section has been changed for civilian payroll records, to no longer allow telephone requests, to be consistent with access procedures for commissioned corps payroll records which state that telephone requests for access to records will not be honored because positive identification of the caller cannot be established with sufficient certainty.
• One new routine use has been added, authorizing disclosures to the U.S. Department of Homeland Security (DHS) for cybersecurity monitoring purposes.
• Revisions have been made to the descriptions of certain purposes and routine uses common to both civilian and commissioned corps payroll records, in order to consolidate them. For example:
○ The congressional office routine use now includes the word “written” and excludes the word “verified” (both words were in the routine use published in SORN 09-40-0006; neither word was in the routine use published in SORN 09-40-0010).
○ Disclosures to tax authorities are now covered in three routine uses, consistent with the treatment in SORN 09-40-0006 (SORN 09-40-0010 covered them in two routine uses).
• Routine uses authorizing disclosures in response to court orders (
• The following routine uses were previously published only for civilian payroll records, but now apply to both civilian and commissioned corps payroll records:
○ “To financial institutions, organizations and companies administering charitable contribution payments, labor union dues payments (applicable to civilian personnel only), and benefit plan payments and reimbursements (
○ “To a federal, state or local agency maintaining civil, criminal or other relevant enforcement records or other pertinent records, such as current licenses, if necessary to obtain a record relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.”
○ “To thrift and savings institutions to conduct analytical studies of benefits being paid under such programs, provided such disclosure is consistent with the purpose for which the information was originally collected.”
○ “To relevant agencies for purposes of conducting computer matching programs designed to reduce fraud, waste and abuse in federal, state and local public assistance programs and operations.”
• The following routine uses were previously published only for commissioned corps payroll records, but now apply to both civilian and commissioned corps payroll records:
○ “To disclose information about the entitlements and benefits of a beneficiary of a deceased employee, retiree or annuitant for the purpose of making disposition of the decedent's estate.”
○ “To the Office of Management and Budget (OMB) at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19, or for budgetary or management oversight purposes.”
• The following routine use has been reworded and moved from the list of routine uses and included as a “Note” at the end of the “Routine Uses” section, because it describes a disclosure authorized by subsection (b)(7) of the Privacy Act (5 U.S.C. 552a(b)(7)) for which no routine use is needed:
○ “To a Federal agency in response to a written request from the agency head specifying the particular portion desired and the law enforcement activity for which the record is sought. The request for the record must be connected with the agency's auditing and investigative functions designed to reduce fraud, waste and abuse; it must be based on information which raises questions about an individual's eligibility for benefits or payments; and it must be made reasonably soon after the information is received.”
Because some of the changes are significant, a report on the proposed new system has been sent to Congress and OMB in accordance with 5 U.S.C. 552a(r).
The Privacy Act (5 U.S.C. 552a) governs the means by which the U.S. Government collects, maintains, and uses information about individuals in a system of records. A “system of records” is a group of any records under the control of a Federal agency from which information about an individual is retrieved by the individual's name or other personal identifier. The Privacy Act requires each agency to publish in the
09-90-1402
HHS Payroll Records, HHS/OS
Unclassified
• Defense Finance and Accounting Service (DFAS) and records storage facility at Rock Island, IL. For more information contact HHS/Customer Care Services, 8455 Colesville Rd., Silver Spring, MD 20910.
Retirement records: Federal Retirement Records Center, Boyers, PA.
Records are also maintained by timekeepers and payroll liaisons. Contact HHS/Customer Care Services for specific locations.
• PHS/Office of the Assistant Secretary for Health (OASH)/Office of the Surgeon General (OSG)/Division of
• U.S. Coast Guard COMDT, Washington, DC.
Commissioned corps payroll records are kept at the addresses shown above when the person to whom the record pertains has an active relationship with the PHS commissioned corps personnel system. When an officer ceases the active relationship with the commissioned corps, the payroll records are combined with the Official Personnel Folder (OPF) covered in SORN 09-40-0001, “PHS Commissioned Corps General Personnel Records, HHS/PSC/ESS” and transferred to the appropriate facility as outlined in that SORN.
The system collects and maintains records about HHS personnel (current and former civilian employees, and current and former PHS Commissioned Corps employees); current and former applicants for employment with HHS; and HHS employees' dependents, survivors, beneficiaries, and current and former spouses.
The system includes the following categories of records containing personally identifiable information (PII). PII data elements include: name, email and telephone contact information, Social Security Number, date of birth, work and home addresses, pay plan and grade, dates and hours worked, dates, hours or amounts of leave accrued, used, awarded or donated, travel benefits and allowances and educational allowances (including educational allowances for dependents of commissioned corps personnel), certifications and licenses affecting pay, personnel orders, special positions (
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2.
3.
4.
5 U.S.C. Chapter 55—Pay Administration and Chapter 63—Leave; the Public Health Service Act (42 U.S.C. 202-217, 218a, and other pertinent sections); the Social Security Act (42 U.S.C. 410(m)); portions of Title 10, U.S.C., related to the uniformed services; portions of Title 37, U.S.C., related to pay and allowance for members of the uniformed services; portions of Title 38, U.S.C., related to benefits administered by the Department of Veterans Affairs; sections of 50 U.S.C. App., related to the selective service obligations and the Soldiers' and Sailors' Civil Relief Act; Executive Order (EO) 9397, as amended, “Numbering System for Federal Accounts Relating to Individual Persons”; and E.O. 11140, as amended, which delegates the authority to administer the PHS Commissioned Corps from the President to the Secretary, HHS.
HHS uses relevant information about individuals from this system on a need to know basis to:
• Determine the individual's eligibility for pay, allowances, entitlements, privileges, and benefits, and ensure that the individual receives proper pay and allowances, that proper deductions and authorized allowances are made from the individual's pay, and that the individual is credited and charged with the proper amount of sick and annual leave.
• Determine eligibility or entitlements of the individual's dependents and beneficiaries for benefits based on the individual's service records.
• Give legal force to personnel transactions and establish the individual's rights and obligations under the pertinent laws and regulations governing the applicable personnel system (civilian or commissioned corps).
• With the individual's consent, provide information to the HHS Voluntary Leave Transfer Program for Department-wide announcements.
• Produce management reports, summary descriptive statistics, and analytical studies in support of the functions for which the records are collected and maintained and for related personnel management functions compatible with the intent for which the record system was created.
• Provide information to HHS' Debt Management and Collection System to collect a delinquent debt owed to the federal government, but only to the extent necessary to document and collect the delinquent debt.
• Provide information to HHS components (the Office of Child Support Enforcement (OCSE) within the Administration for Children and Families) and HHS systems (the National Directory of New Hires (NDNH) and the Federal Parent Locator System (FPLS)), for use in locating individuals and identifying their income sources to establish paternity, to establish and modify orders of support and for enforcement actions in accordance with 42 U.S.C. 653.
• Provide information to OCSE to share with the Social Security Administration for purposes of verifying Social Security Numbers used in operating FPLS.
• Provide information to OCSE to release to the Department of the Treasury for purposes of administering 26 U.S.C. 32 (earned income tax credit), administering 26 U.S.C. 3507 (advance payment of earned income tax credit), and verifying a claim with respect to employment in a tax return.
• Upon the request of the individual, provide information to organizations and companies administering charitable contribution payments, labor organization dues payments, and benefit plan payments (
Relevant information about an individual may be disclosed from this system of records to the following parties outside HHS, without the individual's prior, written consent, for the following routine uses:
1. To federal agencies and Department contractors that have been engaged by
2. To authorized officials in federal agencies where commissioned officers are assigned, for purposes described in the “Purpose(s) of the System” section.
3. To financial institutions, organizations and companies administering charitable contribution payments, labor organization dues payments (applicable to civilian personnel only), and benefit plan payments and reimbursements (
4. To the U.S. Department of the Treasury which performs federal payment and tax collection activities and needs information such as name, home address, Social Security Number, earned income amount, withholding status, and amount of taxes withheld, for purposes such as processing W-2 forms submitted to the Internal Revenue Service; issuing salary, retired pay and annuity checks or electronic payments; issuing U.S. savings bonds; recording income information; offsetting salary and other federal payments to collect delinquent federal debt owed by the individual; and collecting income taxes.
5. To state and local government agencies having taxing authority, which need pertinent records relating to employees, retirees, and annuitants, such as name, home address, Social Security Number, earned income amount, and amount of taxes withheld, when these agencies have entered into tax withholding agreements with the Secretary of Treasury, but only to those state and local taxing authorities for which an employee, retiree, or annuitant is or was subject to tax, regardless of whether tax is or was withheld.
6. To the Social Security Administration, which requires pertinent records relating to employees, retirees, and annuitants, including name, home address, Social Security Number, earned income amount, and amount of taxes withheld to administer the Social Security program.
7. To respond to interrogatories in the prosecution of a divorce action or settlement for purposes stated in 10 U.S.C. 1408 (The Former Spouses Protection Act) pertaining to commissioned corps personnel.
8. To disclose information about the entitlements and benefits of a beneficiary of a deceased employee, retiree or annuitant for the purpose of making disposition of the decedent's estate.
9. To the U.S. Department of Justice (DOJ) or to a court or other tribunal when:
a. The agency or any component thereof; or
b. any employee of the agency in his or her official capacity, or
c. any employee of the agency in his or her individual capacity where DOJ has agreed to represent the employee, or
d. the United States Government,
is a party to litigation or has an interest in such litigation and, by careful review, HHS determines that the records are both relevant and necessary to the litigation and that, therefore, the use of such records by the DOJ, court or other tribunal is deemed by HHS to be compatible with the purpose for which the agency collected the records.
10. When a record on its face, or in conjunction with other records, indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate public authority, whether federal, foreign, state, local, tribal, or otherwise, responsible for enforcing, investigating or prosecuting the violation or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the information disclosed is relevant to the enforcement, regulatory, investigative or prosecutorial responsibility of the receiving entity.
11. To a Member of Congress or to a Congressional staff member in response to a written inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained. The Member of Congress does not have any greater authority to obtain records than the individual would have if requesting the records directly.
12. To the Office of Management and Budget (OMB) at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19, or for budgetary or management oversight purposes.
13. To a federal, foreign, state, local, tribal or other public authority of the fact that this system of records contains information relevant to the hiring or retention of an employee, the issuance or retention of a security clearance, the letting of a contract, or the issuance or retention of a license, grant or other benefit. The other agency or licensing organization may then make a request supported by the written consent of the individual for further information if it so chooses. HHS will not make an initial disclosure unless the information has been determined to be sufficiently reliable to support a referral to another office within the agency or to another federal agency for criminal, civil, administrative, personnel, or regulatory action.
14. To thrift and savings institutions to conduct analytical studies of benefits being paid under such programs, provided such disclosure is consistent with the purpose for which the information was originally collected.
15. To relevant agencies for the purpose of conducting computer matching programs designed to reduce fraud, waste and abuse in federal, state and local public assistance programs and operations.
16. To the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the federal sector, examination of federal affirmative employment programs, or other functions vested in the Commission.
17. To the Office of Personnel Management, to the extent it requires information to carry out its role as the oversight agency responsible for promoting the effectiveness of civilian personnel management and ensuring compliance with civilian personnel laws and regulations, if the information is relevant and necessary for that purpose.
18. To the Merit Systems Protection Board (including its Office of the Special Counsel) if relevant and necessary for its oversight responsibility, to protect the integrity of federal merit systems and the rights of federal civilian employees working in the systems.
19. To the Federal Labor Relations Authority (including the General Counsel of the Authority and the Federal Service Impasses Panel) if relevant and necessary for its oversight of the federal service labor-management relations program, pertaining to civilian employees.
20. To a labor organization recognized under E.O. 11491 or 5 U.S.C. Chapter
21. To the Department of Labor to make a compensation determination in connection with a claim filed by a civilian employee for worker's compensation on account of a job-connected injury or disease.
22. To state officers of unemployment compensation in connection with claims filed by former HHS civilian employees for unemployment compensation.
23. To the U.S. Department of Homeland Security (DHS) if captured in an intrusion detection system used by HHS and DHS pursuant to a DHS cybersecurity program that monitors Internet traffic to and from federal government computer networks to prevent a variety of types of cybersecurity incidents.
24. To appropriate federal agencies and Department contractors that have a need to know the information for the purpose of assisting the Department's efforts to respond to a suspected or confirmed breach of the security or confidentiality of information maintained in this system of records, when the information disclosed is relevant and necessary for that assistance.
Information about an individual may also be disclosed to parties outside the agency without the individual's prior, written consent for any of the uses authorized directly in the Privacy Act at 5 U.S.C. 552a(b)(2) and (b)(4)-(11). Note: The following requirements apply to a disclosure to another federal agency pursuant to 5 U.S.C. 552a(b)(7) (
Automated files are stored on secured electronic storage applications, disks, electronic medium and magnetic tapes. Non-automated (hard-copy) files are kept in offices, and may be stored in shelves, safes, cabinets, bookcases or desks.
Safeguards conform to the HHS Information Security and Privacy Program,
1. Authorized Users
2. Physical safeguards
3. Procedural safeguards
4. Contractor Guidelines
A contractor given records under routine use 1 must maintain the records in a secured area, allow only those individuals immediately involved in the processing of the records to have access to them, prevent any unauthorized persons from gaining access to the records, and return the records to the System Manager immediately upon completion of the work specified in the contract. Contractor compliance is assured though inclusion of Privacy Act requirements in contract clauses, and through monitoring by contract and project officers. Contractors who maintain records are instructed to make no disclosure of the records except as authorized by the System Manager and stated in the contract.
An individual who wishes to know if this system contains records about him or her should submit a written request to the applicable System Manager. The request should include the full name of the individual, appropriate personal identification, and the individual's current address.
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2.
3.
4.
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2.
3.
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6.
An individual seeking to contest the content of information about him or her in this system should contact the applicable System Manager at the address specified under “System Manager” above and reasonably identify the record, specify the information contested, state the corrective action sought, and provide the reasons for the correction, with supporting justification.
Information is obtained from individual personnel members (civilian employees and Public Health Service officers) and applicants, their dependents and former spouses, governmental and private training facilities, health professional licensing and credentialing organizations (
None.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
National Institutes of Health, HHS.
Notice.
The inventions listed below are owned by an agency of the U.S. Government and are available for licensing in the U.S. in accordance with 35 U.S.C. 209 and 37 CFR part 404 to achieve expeditious commercialization of results of federally-funded research and development. Foreign patent applications are filed on selected inventions to extend market coverage for companies and may also be available for licensing.
Licensing information and copies of the U.S. patent applications listed below may be obtained by writing to the indicated licensing contact at the Office of Technology Transfer, National Institutes of Health, 6011 Executive Boulevard, Suite 325, Rockville, Maryland 20852-3804; telephone: 301-496-7057; fax: 301-402-0220. A signed Confidential Disclosure Agreement will be required to receive copies of the patent applications.
Technology descriptions follow.
1. Hirasawa M,
2. Hirasawa M,
• Virulence attenuated vectors that can be used as vaccines against chlamydia.
• Combination of vector with attenuated pathogenic agent improves the stability and replicative capacity of the pathogen.
• Features nucleic acids, attenuated pathogens, compositions, methods and kits to treat and prevent chlamydia infections.
• In vitro data available.
• In vivo data available (animal).
• In vivo data available (human).
• Prototype.
1. Song L,
2. Kari L,
• US Provisional Application No. 61/753,320 filed 16 Jan 2013.
• PCT Application No. PCT/US2014/011799 filed 16 Jan 2014, which published as WO 2014/113541 on 24 Jul 2014.
Cancer stems cells (CSCs) are tumorigenic cells that are difficult to target with conventional chemotherapies due to their undifferentiated state. Stem cells also play an important role in the pathogenesis of cancer. CSCs have been reported to express elevated CD47 levels, but the role of CD47 in directly regulating cancer stem cell function has not been examined.
Researchers at the National Cancer Institute's Laboratory of Pathology found in nonmalignant cells and tissues that the absence of CD47 enhances stem cell renewal
• Treatment for breast cancer and other cancers.
• Antibodies for biomedical research.
Kaur S,
• HHS Reference No. E-227-2006/5—US Patent 8,236,313 issued August 7, 2012; US Patent 8,557,788 issued October 15, 2013; US Patent 8,865,672 issued October 21, 2014.
• HHS Reference No. E-153-2008/0—US Patent No. 8,951,527 issued February 10, 2015.
• HHS Reference No. E-086-2012/1—US Patent Application No. 61/735,701 filed December 11, 2012.
• HHS Reference No. E-296-2011/0—Application PCT/US2014/025989 filed March 13, 2014.
• HHS Reference E-275-2008/0—US Patent Number 8,916,596 issued 23 Dec 2014; US Application No. 14/543,321 filed 17 Nov 2014; PCT Application No. PCT/US2009/051557 filed 23 Jul 2009
• HHS Reference E-184-2010/0—US Patent Number 8,871,789 issued 28 Oct 2014; PCT Application No. PCT/US2011/044835 filed 21 Jul 2011
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of a meeting of the Board of Scientific Counselors, NIDDK.
The meeting will be open to the public as indicated below, with attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.
The meeting will be closed to the public as indicated below in accordance with the provisions set forth in section 552b(c)(6), Title 5 U.S.C., as amended for the review, discussion, and evaluation of individual intramural programs and projects conducted by the NATIONAL INSTITUTE OF DIABETES AND DIGESTIVE AND KIDNEY DISEASES, including consideration of personnel qualifications and performance, and the competence of individual investigators, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Open: September 10, 2015, 8:00 a.m. to 8:20 a.m.
Closed: September 10, 2015, 8:20 a.m. to 5:00 p.m.
Closed: September 11, 2015, 8:00 a.m. to 4:00 p.m.
In the interest of security, NIH has instituted stringent procedures for entrance onto the NIH campus. All visitor vehicles, including taxicabs, hotel, and airport shuttles will be inspected before being allowed on campus. Visitors will be asked to show one form of identification (for example, a government-issued photo ID, driver's license, or passport) and to state the purpose of their visit.
Notice is hereby given of a change in the meeting of the National Cancer Institute Special Emphasis Panel, July 30, 2015, 11 a.m. to July 31, 2015, 6 p.m., National Cancer Institute Shady Grove, 9609 Medical Center Drive, 2W032/034, Rockville, MD 20850 which was published in the
The meeting notice is amended to change the end date from July 31, 2015 to July 30, 2015, this meeting conclude in one day. The meeting is closed to the public.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of a meeting of the National Advisory Council on Aging.
The meeting will be open to the public as indicated below, with attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Any interested person may file written comments with the committee by forwarding the statement to the Contact Person listed on this notice. The statement should include the name, address, telephone number and when applicable, the business or professional affiliation of the interested person.
In the interest of security, NIH has instituted stringent procedures for entrance onto the NIH campus. All visitor vehicles, including taxicabs, hotel, and airport shuttles will be inspected before being allowed on campus. Visitors will be asked to show one form of identification (for example, a government-issued photo ID, driver's license, or passport) and to state the purpose of their visit.
Information is also available on the Institute's/Center's home page:
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.
The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.
The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial
In compliance with the requirement of section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, for opportunity for public comment on proposed data collection projects, the National Institute of General Medical Sciences (NIGMS), the National Institutes of Health (NIH) will publish periodic summaries of proposed projects to be submitted to the Office of Management and Budget (OMB) for review and approval.
Written comments and/or suggestions from the public and affected agencies are invited to address one or more of the following points: (1) Whether the proposed collection of information is necessary for the proper performance of the function of the agency, including whether the information will have practical utility; (2) The accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) Ways to enhance quality, utility, and clarity of the information to be collected; and (4) Ways to minimize the burden of the collection of information on those who are to respond, including the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.
OMB approval is requested for 3 years. There are no costs to respondents other than their time. The total estimated annualized burden hours are 613.
Pursuant to Public Law 92-463, notice is hereby given that the Substance Abuse and Mental Health Services Administration's (SAMHSA's) Center for Substance Abuse Treatment (CSAT) National Advisory Council will meet on August 26, 2015, from 9 a.m.-5 p.m. (EDT) and will include a session that is closed to the public.
The open session of the meeting will be held 9 a.m.-3:30 p.m. and will include consideration of minutes from the SAMHSA CSAT NAC meeting of April 15, 2015, the CSAT Director's report, budget update, a presentation on the Science of Recovery, an overview of Recovery Month, and a presentation related to CSAT's role in responding to public health crisis events in communities.
The closed session will be held 3:30 p.m.-5 p.m. and will include discussion and evaluation of grant applications reviewed by Initial Review Groups, and involve an examination of confidential financial and business information as well as personal information concerning the applicants. Therefore, this portion of the meeting will be closed to the public, as determined by the SAMHSA Administrator, in accordance with Title 5 U.S.C. 552b(c)(4) and (6) and (c)(9)(B) and 5 U.S.C. App. 2, Section 10(d).
The meeting will be held at the SAMHSA building, 1 Choke Cherry Road, Sugarloaf Conference Room, Rockville, MD 20850. Attendance by the public will be limited to space available and will be limited to the open sessions of the meeting. Interested persons may present data, information, or views, orally or in writing, on issues pending before the Council. Written submissions should be forwarded to the contact person on or before August 16, 2015. Oral presentations from the public will be scheduled at the conclusion of the meeting. Individuals interested in making oral presentations are encouraged to notify the contact on or before August 16, 2015. Five minutes will be allotted for each presentation.
The open meeting session may be accessed via telephone. To attend on site, obtain the call-in number and access code, submit written or brief oral comments, or request special accommodations for persons with disabilities, please register on-line at
Substantive meeting information and a roster of Council members may be obtained either by accessing the SAMHSA Council Web site at:
Substantive program information may be obtained after the meeting by accessing the SAMHSA Council Web site,
Coast Guard, DHS.
Sixty-day notice requesting comments.
In compliance with the Paperwork Reduction Act of 1995, the U.S. Coast Guard intends to submit an Information Collection Request (ICRs) to the Office of Management and Budget (OMB), Office of Information and Regulatory Affairs (OIRA), requesting approval of a revision of a currently approved collection: 1625-0070, Vessel Identification System. Our ICR describes the information we seek to collect from the public. Before submitting this ICR to OIRA, the Coast Guard is inviting comments as described below.
Comments must reach the Coast Guard on or before October 13, 2015.
You may submit comments identified by Coast Guard docket number [USCG-2015-0689] to the Docket Management Facility (DMF) at the U.S. Department of Transportation (DOT). To avoid duplicate submissions, please use only one of the following means:
(1)
(2)
(3)
(4)
The DMF maintains the public docket for this Notice. Comments and material received from the public, as well as documents mentioned in this Notice as being available in the docket, will become part of the docket and will be available for inspection or copying at room W12-140 on the West Building Ground Floor, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. You may also find the docket on the Internet at
Copies of the ICR(s) are available through the docket on the Internet at
Contact Mr. Anthony Smith, Office of Information Management, telephone 202-475-3532, or fax 202-372-8405, for questions on these documents. Contact Ms. Cheryl Collins, Program Manager, Docket Operations, 202-366-9826, for questions on the docket.
This Notice relies on the authority of the Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to OIRA seeking the approval, extension, or renewal of a Coast Guard collection of information (Collection). The ICR contains information describing the Collection's purpose, the Collection's likely burden on the affected public, an explanation of the necessity of the Collection, and other important information describing the Collection. There is one ICR for each Collection.
The Coast Guard invites comments on whether these ICRs should be granted based on the Collections being necessary for the proper performance of Departmental functions. In particular, the Coast Guard would appreciate comments addressing: (1) The practical utility of the Collection; (2) the accuracy of the estimated burden of the Collection; (3) ways to enhance the quality, utility, and clarity of information subject to the Collection; and (4) ways to minimize the burden of the Collection on respondents, including the use of automated collection techniques or other forms of information technology. In response to your comments, we may revise these ICRs or decide not to seek approval of revisions of the Collection. We will consider all comments and material received during the comment period.
We encourage you to respond to this request by submitting comments and related materials. Comments must contain the OMB Control Number of the ICR and the docket number of this request, [USCG-2015-0689], and must be received by October 13, 2015. We will post all comments received, without change, to
If you submit a comment, please include the docket number [USCG-2015-0689], indicate the specific section of the document to which each comment applies, providing a reason for each comment. You may submit your comments and material online (via
You may submit your comments and material by electronic means, mail, fax, or delivery to the DMF at the address under
Anyone can search the electronic form of comments received in dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review a Privacy Act statement regarding Coast Guard public dockets in the January 17, 2008, issue of the
1.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended.
Coast Guard, DHS.
Sixty-day notice requesting comments.
In compliance with the Paperwork Reduction Act of 1995, the U.S. Coast Guard intends to submit an Information Collection Request (ICRs) to the Office of Management and Budget (OMB), Office of Information and Regulatory Affairs (OIRA), requesting approval of a revision of a currently approved collection: 1625-0088, Voyage Planning for Tank Barge Transits in the Northeast United States. Our ICR describes the information we seek to collect from the public. Before submitting this ICR to OIRA, the Coast Guard is inviting comments as described below.
Comments must reach the Coast Guard on or before October 13, 2015.
You may submit comments identified by Coast Guard docket number [USCG-2015-0636] to the Docket Management Facility (DMF) at the U.S. Department of Transportation (DOT). To avoid duplicate submissions, please use only one of the following means:
(1)
(2)
(3)
(4)
The DMF maintains the public docket for this Notice. Comments and material received from the public, as well as documents mentioned in this Notice as being available in the docket, will become part of the docket and will be available for inspection or copying at room W12-140 on the West Building Ground Floor, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. You may also find the docket on the Internet at
Copies of the ICR(s) are available through the docket on the Internet at
Mr. Anthony Smith, Office of Information Management, telephone 202-475-3532, or fax 202-372-8405, for questions on these documents. Contact Ms. Cheryl Collins, Program Manager, Docket Operations, 202-366-9826, for questions on the docket.
This Notice relies on the authority of the Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to OIRA seeking the approval, extension, or renewal of a Coast Guard collection of information (Collection). The ICR contains information describing the Collection's purpose, the Collection's likely burden on the affected public, an explanation of the necessity of the Collection, and other important information describing the Collection. There is one ICR for each Collection.
The Coast Guard invites comments on whether these ICRs should be granted based on the Collections being necessary for the proper performance of Departmental functions. In particular, the Coast Guard would appreciate comments addressing: (1) The practical utility of the Collection; (2) the accuracy of the estimated burden of the Collection; (3) ways to enhance the quality, utility, and clarity of information subject to the Collection; and (4) ways to minimize the burden of the Collection on respondents, including the use of automated collection techniques or other forms of information technology. In response to your comments, we may revise these ICRs or decide not to seek approval of revisions of the Collection. We will consider all comments and material received during the comment period.
We encourage you to respond to this request by submitting comments and related materials. Comments must contain the OMB Control Number of the ICR and the docket number of this request, [USCG-2015-0636], and must be received by October 13, 2015. We will post all comments received, without change, to
If you submit a comment, please include the docket number [USCG-2015-0636], indicate the specific section of the document to which each comment applies, providing a reason for each comment. You may submit your comments and material online (via
You may submit your comments and material by electronic means, mail, fax, or delivery to the DMF at the address under
Anyone can search the electronic form of comments received in dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review a Privacy Act statement regarding Coast Guard public dockets in the January 17, 2008, issue of the
1.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended.
Coast Guard, DHS.
Sixty-day notice requesting comments.
In compliance with the Paperwork Reduction Act of 1995, the U.S. Coast Guard intends to submit an Information Collection Request (ICRs) to the Office of Management and Budget (OMB), Office of Information and Regulatory Affairs (OIRA), requesting approval of an extension of a currently approved collection: 1625-0048, Vessel Reporting Requirements. Our ICR describes the information we seek to collect from the public. Before submitting this ICR to OIRA, the Coast Guard is inviting comments as described below.
Comments must reach the Coast Guard on or before October 13, 2015.
You may submit comments identified by Coast Guard docket number [USCG-2015-0631] to the Docket Management Facility (DMF) at the U.S. Department of Transportation (DOT). To avoid duplicate submissions, please use only one of the following means:
(1)
(2)
(3)
(4)
The DMF maintains the public docket for this Notice. Comments and material received from the public, as well as documents mentioned in this Notice as being available in the docket, will become part of the docket and will be available for inspection or copying at room W12-140 on the West Building Ground Floor, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. You may also find the docket on the Internet at
Copies of the ICR(s) are available through the docket on the Internet at
Mr. Anthony Smith, Office of Information Management, telephone 202-475-3532, or fax 202-372-8405, for questions on these documents. Contact Ms. Cheryl Collins, Program Manager, Docket Operations, 202-366-9826, for questions on the docket.
This Notice relies on the authority of the Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to OIRA seeking the approval, extension, or renewal of a Coast Guard collection of information (Collection). The ICR contains information describing the Collection's purpose, the Collection's likely burden on the affected public, an explanation of the necessity of the Collection, and other important information describing the Collection. There is one ICR for each Collection.
The Coast Guard invites comments on whether these ICRs should be granted based on the Collections being necessary for the proper performance of Departmental functions. In particular, the Coast Guard would appreciate comments addressing: (1) The practical utility of the Collection; (2) the accuracy of the estimated burden of the Collection; (3) ways to enhance the quality, utility, and clarity of information subject to the Collection; and (4) ways to minimize the burden of the Collection on respondents, including the use of automated collection techniques or other forms of information technology. In response to your comments, we may revise these ICRs or decide not to seek approval of revisions of the Collection. We will consider all comments and material received during the comment period.
We encourage you to respond to this request by submitting comments and related materials. Comments must contain the OMB Control Number of the ICR and the docket number of this request, [USCG-2015-0631], and must be received by October 13, 2015. We will post all comments received, without change, to
If you submit a comment, please include the docket number [USCG-2015-0631], indicate the specific section of the document to which each comment applies, providing a reason for each comment. You may submit your comments and material online (via
You may submit your comments and material by electronic means, mail, fax, or delivery to the DMF at the address under
Anyone can search the electronic form of comments received in dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review a Privacy Act statement regarding Coast Guard public dockets in the January 17, 2008, issue of the
1.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended.
Coast Guard, DHS.
Sixty-day notice requesting comments.
In compliance with the Paperwork Reduction Act of 1995, the U.S. Coast Guard intends to submit an Information Collection Request (ICRs) to the Office of Management and Budget (OMB), Office of Information and Regulatory Affairs (OIRA), requesting approval of a revision of a currently approved collection: 1625-0103, Mandatory Ship Reporting System for the Northeast and Southeast Coasts of the United States. Our ICR describes the information we seek to collect from the public. Before submitting this ICR to OIRA, the Coast Guard is inviting comments as described below.
Comments must reach the Coast Guard on or before October 13, 2015.
You may submit comments identified by Coast Guard docket number [USCG-2015-0692] to the Docket Management Facility (DMF) at the U.S. Department of Transportation (DOT). To avoid duplicate submissions, please use only one of the following means:
(1)
(2)
(3)
(4)
The DMF maintains the public docket for this Notice. Comments and material received from the public, as well as documents mentioned in this Notice as being available in the docket, will become part of the docket and will be available for inspection or copying at room W12-140 on the West Building Ground Floor, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. You may also find the docket on the Internet at
Copies of the ICR(s) are available through the docket on the Internet at
Mr. Anthony Smith, Office of Information
This Notice relies on the authority of the Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to OIRA seeking the approval, extension, or renewal of a Coast Guard collection of information (Collection). The ICR contains information describing the Collection's purpose, the Collection's likely burden on the affected public, an explanation of the necessity of the Collection, and other important information describing the Collection. There is one ICR for each Collection.
The Coast Guard invites comments on whether these ICRs should be granted based on the Collections being necessary for the proper performance of Departmental functions. In particular, the Coast Guard would appreciate comments addressing: (1) The practical utility of the Collection; (2) the accuracy of the estimated burden of the Collection; (3) ways to enhance the quality, utility, and clarity of information subject to the Collection; and (4) ways to minimize the burden of the Collection on respondents, including the use of automated collection techniques or other forms of information technology. In response to your comments, we may revise these ICRs or decide not to seek approval of revisions of the Collection. We will consider all comments and material received during the comment period.
We encourage you to respond to this request by submitting comments and related materials. Comments must contain the OMB Control Number of the ICR and the docket number of this request, [USCG-2015-0692], and must be received by October 13, 2015. We will post all comments received, without change, to
If you submit a comment, please include the docket number [USCG-2015-0692], indicate the specific section of the document to which each comment applies, providing a reason for each comment. You may submit your comments and material online (via
You may submit your comments and material by electronic means, mail, fax, or delivery to the DMF at the address under
Anyone can search the electronic form of comments received in dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review a Privacy Act statement regarding Coast Guard public dockets in the January 17, 2008, issue of the
1.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended.
Coast Guard, DHS.
Sixty-day notice requesting comments.
In compliance with the Paperwork Reduction Act of 1995, the U.S. Coast Guard intends to submit an Information Collection Request (ICRs) to the Office of Management and Budget (OMB), Office of Information and Regulatory Affairs (OIRA), requesting approval of a revision of a currently approved collection: 1625-0099, Requirements for the Use of Liquefied Petroleum Gas and Compressed Natural Gas as Cooking Fuel on Passenger Vessels. Our ICR describes the information we seek to collect from the
Comments must reach the Coast Guard on or before October 13, 2015.
You may submit comments identified by Coast Guard docket number [USCG-2015-0691] to the Docket Management Facility (DMF) at the U.S. Department of Transportation (DOT). To avoid duplicate submissions, please use only one of the following means:
(1)
(2)
(3)
(4)
The DMF maintains the public docket for this Notice. Comments and material received from the public, as well as documents mentioned in this Notice as being available in the docket, will become part of the docket and will be available for inspection or copying at Room W12-140 on the West Building Ground Floor, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. You may also find the docket on the Internet at
Copies of the ICR(s) are available through the docket on the Internet at
Mr. Anthony Smith, Office of Information Management, telephone 202-475-3532, or fax 202-372-8405, for questions on these documents. Contact Ms. Cheryl Collins, Program Manager, Docket Operations, 202-366-9826, for questions on the docket.
This Notice relies on the authority of the Paperwork Reduction Act of 1995; 44 U.S.C. chapter 35, as amended. An ICR is an application to OIRA seeking the approval, extension, or renewal of a Coast Guard collection of information (Collection). The ICR contains information describing the Collection's purpose, the Collection's likely burden on the affected public, an explanation of the necessity of the Collection, and other important information describing the Collection. There is one ICR for each Collection.
The Coast Guard invites comments on whether these ICRs should be granted based on the Collections being necessary for the proper performance of Departmental functions. In particular, the Coast Guard would appreciate comments addressing: (1) The practical utility of the Collection; (2) the accuracy of the estimated burden of the Collection; (3) ways to enhance the quality, utility, and clarity of information subject to the Collection; and (4) ways to minimize the burden of the Collection on respondents, including the use of automated collection techniques or other forms of information technology. In response to your comments, we may revise these ICRs or decide not to seek approval of revisions of the Collection. We will consider all comments and material received during the comment period.
We encourage you to respond to this request by submitting comments and related materials. Comments must contain the OMB Control Number of the ICR and the docket number of this request, [USCG-2015-0691], and must be received by October 13, 2015. We will post all comments received, without change, to
If you submit a comment, please include the docket number [USCG-2015-0691], indicate the specific section of the document to which each comment applies, providing a reason for each comment. You may submit your comments and material online (via
You may submit your comments and material by electronic means, mail, fax, or delivery to the DMF at the address under
Anyone can search the electronic form of comments received in dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review a Privacy Act statement regarding Coast Guard public dockets in the January 17, 2008, issue of the
1.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended.
Office of the Assistant Secretary for Housing—Federal Housing Commissioner, Department of Housing and Urban Development (HUD).
Notice of second extension of time.
This notice advises the public that HUD received a request from Clayton Homes, Inc. (Clayton) for an extension of time to fully implement its plan to notify purchasers and correct certain manufactured homes that were installed with TruVent plastic range hood exhaust ducts, an item that Clayton agreed to recall after a HUD audit questioned whether the duct complied with HUD's Manufactured Home Construction and Safety Standards. The recall includes homes built by the following Clayton manufacturing subsidiaries: CMH Manufacturing, Inc.; CMH Manufacturing West, Inc.; Southern Energy Homes, Inc.; Giles Industries, Inc.; and Cavalier Homes, Inc. Clayton initiated the recall on April 6, 2015. On May 30, 2015, Clayton requested additional time to complete repairs on affected homes. After reviewing Clayton's request, HUD determined that Clayton had shown good cause and granted its request for an extension until August 3, 2015. HUD notified the public regarding its determination on June 15, 2015. Due to additional difficulties in notifying all affected homeowners, however, Clayton requested a second extension on July 23, 2015. After reviewing Clayton's second request, HUD determined that Clayton has shown good cause and granted its second request for an extension. Clayton's extension is granted until September 2, 2015.
Pamela Beck Danner, Administrator, Office of Manufactured Housing Programs, Department of Housing and Urban Development, 451 Seventh Street SW., Room 9166, Washington, DC 20410, telephone 202-708-6423 (this is not a toll-free number). Persons who have difficulty hearing or speaking may access this number via TTY by calling the toll-free Federal Information Relay Service at 800-877-8339.
The National Manufactured Housing Construction and Safety Standards Act of 1974 (42 U.S.C. 5401-5426) (the Act) authorizes HUD to establish the Federal Manufactured Home Construction and Safety Standards (Construction and Safety Standards), codified in 24 CFR part 3280. Section 615 of the Act (42 U.S.C. 5414) requires that manufacturers of manufactured homes notify purchasers if the manufacturer determines, in good faith, that a defect exists or is likely to exist in more than one home manufactured by the manufacturer and the defect relates to the Construction and Safety Standards or constitutes an imminent safety hazard to the purchaser of the manufactured home. The notification shall also inform purchasers whether the defect is one that the manufacturer will have corrected at no cost or is one that must be corrected at the expense of the purchaser/owner. The manufacturer is responsible to notify purchasers of the defect within a reasonable time after discovering the defect.
HUD's procedural and enforcement provisions at 24 CFR part 3282, subpart I (Subpart I), implement these notification and correction requirements. If a manufacturer determines that it is responsible for providing notification under § 3282.405 and correction under § 3282.406, the manufacturer must prepare a plan for notifying purchasers of the homes containing the defect pursuant to §§ 3282.408 and 3282.409. Notification of purchasers must be accomplished by certified mail or other more expeditious means that provides a receipt. Notification must be provided to each retailer or distributor to whom any manufactured home in the class of homes containing the defect was delivered, to the first purchaser of each manufactured home in the class of manufactured homes containing the defect, and to other persons who are registered owners of a manufactured home in the class of homes containing the defect. The manufacturer must complete the implementation of the plan for notification and correction on or before the deadline approved by the State Administrative Agency or the Department. Under § 3282.410(c), the manufacturer may request an extension of the deadline if it shows good cause for the extension and the Secretary decides that the extension is justified and not contrary to the public interest. If the request for extension is approved, § 3282.410(c) requires that the Department publish notice of the extension in the
During a HUD audit of the CMH Manufacturing Savannah, TN, facility, the use of TruVent plastic expanding vent pipes for the range hood exhaust was questioned as not being in compliance with § 3280.710(e) of HUD's Construction and Safety Standards. On April 6, 2015, after reviewing the matter, Clayton agreed to begin a recall of homes sold with the plastic expanding vent pipes and repair the homes by installing new metal ducts. On May 30, 2015, Clayton requested an extension of time to complete the correction process. On June 4, 2015, HUD granted the extension until August 3, 2015. HUD notified the public regarding its determination on June 15, 2015 (80 FR 34165). However, on July 23, 2015, Clayton requested an additional 30 days to complete its repairs. With its request, Clayton submitted an update on the implementation on its plan of notification and correction. Specifically, Clayton stated that it was still attempting to contact approximately 162 homeowners that had not responded to its certified notification letter. To contact these homeowners, Clayton stated that it was attempting to contact these homeowners by telephone based upon the purchaser information on record. In addition, Clayton stated that it had requested that personnel in its retail locations physically go to purchasers' addresses to attempt to contact the homeowner personally.
Given Clayton's continued efforts to contact these homeowners, this notice advises the public that HUD determined that Clayton has shown good cause for the extension and that the extension is justified and not contrary to the public interest. As a result, HUD granted Clayton's requested extension until September 2, 2015, to permit it to continue its good faith efforts to continue repairs on the remaining homes affected by this recall.
Bureau of Indian Affairs, Interior.
Notice of request for comments.
In compliance with the Paperwork Reduction Act of 1995, the Bureau of Indian Education (BIE) is seeking comments on the renewal of Office of Management and Budget (OMB) approval for the collection of information for Data Elements for Student Enrollment in Bureau-funded Schools. This information collection is currently authorized by OMB Control Number 1076-0122, which expires August 31, 2015.
Interested persons are invited to submit comments on or before September 14, 2015.
You may submit comments on the information collection to the Desk Officer for the Department of the Interior at the Office of Management and Budget, by facsimile to (202) 395-5806 or you may send an email to:
Dr. Joe Herrin, phone: (202) 208-7658. You may review the information collection request online at
The BIE is requesting renewal of OMB approval for the admission forms for the Student Enrollment Application in Bureau-funded Schools. School registrars collect information on this form to determine the student's eligibility for enrollment in a Bureau-funded school, and if eligible, is shared with appropriate school officials to identify the student's base and supplemental educational and/or residential program needs. The BIE compiles the information into a national database to facilitate budget requests and the allocation of congressionally appropriated funds.
On April 30, 2015, the BIA published a notice announcing the renewal of this information collection and provided a 60-day comment period in the
The BIE requests your comments on this collection concerning: (a) The necessity of this information collection for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) The accuracy of the agency's estimate of the burden (hours and cost) of the collection of information, including the validity of the methodology and assumptions used; (c) Ways we could enhance the quality, utility, and clarity of the information to be collected; and (d) Ways we could minimize the burden of the collection of the information on the respondents.
Please note that an agency may not conduct or sponsor, and an individual need not respond to, a collection of information unless it displays a valid OMB Control Number.
It is our policy to make all comments available to the public for review at the location listed in the
Bureau of Indian Affairs, Interior.
Notice of extension of Tribal-State Class III Gaming Compact.
This publishes notice of the extension of the Class III gaming compact between the Crow Creek Sioux Tribe and the State of South Dakota.
Ms. Paula L. Hart, Director, Office of Indian Gaming, Office of the Deputy Assistant Secretary—Policy and Economic Development, Washington, DC 20240, (202) 219-4066.
Pursuant to 25 CFR 293.5, an extension to an existing tribal-state Class III gaming compact does not require approval by the Secretary if the extension does not include any amendment to the terms of the compact. The Crow Creek Sioux Tribe and the State of South Dakota have reached an agreement to extend the expiration of their existing Tribal-State Class III gaming compact to December 26, 2015. This publishes notice of the new expiration date of the compact.
Bureau of Indian Affairs, Interior.
Notice.
This notice advises the public that the Bureau of Indian Affairs (BIA) as lead agency and the Tejon Indian Tribe (Tribe) as cooperating agency intend to gather information necessary to prepare an Environmental Impact Statement (EIS) for the Tribe's Proposed Trust Acquisition and Casino Project, Kern County, California. This notice also opens public scoping to identify potential issues, concerns and alternatives to be considered in the EIS.
To ensure consideration during the development of the EIS, written comments on the scope of the EIS should be sent as soon as possible and no later than September 14, 2015. The date of the public scoping meeting will be announced at least 15 days in advance through a notice to be published in the local newspaper (the Bakersfield Californian) and online at
You may mail or hand-deliver written comments to Amy Dutschke, Regional Director, Bureau of Indian Affairs, Pacific Region, 2800 Cottage Way, Sacramento, California 95825. Please include your name, return address, and “NOI Comments, Tejon Indian Tribe Project” on the first page of your written comments. The location of the public scoping meeting will be announced at least 15 days in advance through a notice to be published in the local newspaper (the Bakersfield Californian) and online at
Mr. John Rydzik, Chief, Division of Environmental, Cultural Resource Management and Safety, Bureau of Indian Affairs, Pacific Regional Office, 2800 Cottage Way, Sacramento, Room W-2820, Sacramento, California 95825, telephone (916) 978-6051, email
The proposed action and a reasonable range of alternatives, including a no-action alternative, will be analyzed in the EIS. The Tribe has submitted a request to the Department of the Interior (Department) for the placement of approximately 306 acres of fee land in trust by the United States upon which the Tribe would construct a gaming facility. The facility would initially be approximately 250,000 square feet, and in a subsequent phase, an approximately 300-room hotel and banquet space would be added. Accordingly, the proposed action for the Department is the acquisition requested by the Tribe. The proposed fee-to-trust property is located in unincorporated Kern County, immediately west of the town of Mettler and approximately 14 miles south of the City of Bakersfield. The property is comprised of four parcels, Assessor's Parcel Numbers (APN's) 238-204-02, 238-204-04, 238-204-07 and 238-204-14. The purpose of the proposed action is to improve the economic status of the Tribal government so it can better provide housing, health care, education, cultural programs, and other services to its members.
The proposed action encompasses the various Federal approvals which may be required to implement the Tribe's proposed economic development project, including approval of the Tribe's fee-to-trust application. The EIS will identify and evaluate issues related to these approvals, and will also evaluate a range of reasonable alternatives. Other possible alternatives currently under consideration are a reduced-intensity casino alternative, an alternate-use (non-casino) alternative and one or more off-site alternatives. The range of issues and alternatives may be expanded based on comments received during the scoping process.
Areas of environmental concern preliminarily identified for analysis in the EIS include land resources; water resources; air quality; noise; biological resources; cultural/historical/archaeological resources; resource use patterns; traffic and transportation; public health and safety; hazardous materials and hazardous wastes; public services and utilities; socioeconomics; environmental justice; visual resources/aesthetics; and cumulative, indirect, and growth-inducing effects. Additional information, including a map of the project site, is available by contacting the person listed in the
Bureau of Indian Affairs, Interior.
Notice of Tribal-State Class III Gaming Compacts taking effect.
The Department provides notice that the Indian Gaming Compact between the State of New Mexico and Ohkay Owingeh governing Class III gaming (Compact) is in effect pursuant to the Indian Gaming Regulatory Act.
Effective Date: August 13, 2015.
Ms. Paula L. Hart, Director, Office of Indian Gaming, Office of the Deputy Assistant Secretary—Policy and Economic Development, Washington, DC 20240, (202) 219-4066.
Under section 11 of the Indian Gaming Regulatory Act (IGRA) Public Law 100-497, 25 U.S.C. 2701
National Park Service, Interior.
Notice; request for comments.
We (National Park Service, NPS) have sent an Information Collection Request (ICR) to OMB for review and approval. We summarize the ICR below and describe the nature of the collection and the estimated burden and cost. We may not conduct or sponsor and a person is not required to respond to a collection of information unless it displays a currently valid OMB Control Number. However, under OMB regulations, we may continue to conduct or sponsor this information collection while it is pending at OMB.
You must submit comments on or before September 14, 2015.
Send your comments and suggestions on this information collection to the Desk Officer for the Department of the Interior at OMB-OIRA at (202) 395-5806 (fax) or
Joshua Nadas, National Park Service. 1201 Eye Street NW., 9th Floor. Washington, DC 20005.
The National Parks and Federal Recreational Lands Pass program is a cooperative effort between five federal agencies: National Park Service, U.S. Forest Service, Bureau of Reclamation, U.S. Fish and Wildlife Service, and Bureau of Land Management. A survey will be used to understand how passes are being used in recreational areas managed by the five partnering agencies. These passes are intended to provide ease of use and potential cost savings to the public, however there is no centralized tracking system available to determine where, when and how often the passes are used; and with that, there is no way to estimate the division of revenue between the agencies for the sale and use of the passes. The proposed survey will be used to gather information on use patterns from current pass holders to provide data that could be used to develop strategies for the equitable division of pass revenues between participating agencies.
On December 23, 2014 we published in the
We again invite comments concerning this information collection on:
• Whether or not the collection of information is necessary, including whether or not the information will have practical utility;
• The accuracy of our estimate of the burden for this collection of information;
• Ways to enhance the quality, utility, and clarity of the information to be collected; and
• Ways to minimize the burden of the collection of information on respondents.
Comments that you submit in response to this notice are a matter of public record. Before including your address, phone number, email address, or other personal identifying information in your comment, you should be aware that your entire comment, including your personal identifying information, may be made publicly available at any time. While you can ask OMB in your comment to withhold your personal identifying information from public review, we cannot guarantee that it will be done.
Bureau of Reclamation, Interior.
Notice of renewal and request for comments.
We, the Bureau of Reclamation, have forwarded the following Information Collection Request to the Office of Management and Budget (OMB) for review and approval: Individual Landholder's and Farm Operator's Certification and Reporting Forms for Acreage Limitation, 43 CFR part 426 and 43 CFR part 428 (OMB Control Number 1006-0005). The Information Collection Request describes the nature of the information collection and its expected cost burden.
OMB has up to 60 days to approve or disapprove this information collection request, but may respond after 30 days; therefore, public comments must be received on or before September 14, 2015.
Send written comments to the Desk Officer for the Department of the Interior at the Office of Management and Budget, Office of Information and
Stephanie McPhee, Bureau of Reclamation, at (303) 445-2897. You may also view the Information Collection Request at
This information collection is required under the Reclamation Reform Act of 1982 (RRA), Acreage Limitation Rules and Regulations, 43 CFR part 426, and Information Requirements for Certain Farm Operations In Excess of 960 Acres and the Eligibility of Certain Formerly Excess Land, 43 CFR part 428. This information collection requires certain landholders (direct or indirect landowners or lessees) and farm operators to complete forms demonstrating their compliance with the acreage limitation provisions of Federal reclamation law. The forms in this information collection are submitted to districts that use the information to establish each landholder's status with respect to landownership limitations, full-cost pricing thresholds, lease requirements, and other provisions of Federal reclamation law. In addition, forms are submitted by certain farm operators to provide information concerning the services they provide and the nature of their farm operating arrangements. All landholders whose entire westwide landholdings total 40 acres or less are exempt from the requirement to submit RRA forms. Landholders who are “qualified recipients” have RRA forms submittal thresholds of 80 acres or 240 acres depending on the district's RRA forms submittal threshold category where the land is held. Only farm operators who provide multiple services to more than 960 acres held in trusts or by legal entities are required to submit forms.
We invite comments concerning this information collection on:
(a) Whether the proposed collection of information is necessary for the proper performance of our functions, including whether the information will have practical use;
(b) The accuracy of our burden estimate for the proposed collection of information, including the validity of the methodology and assumptions used;
(c) Ways to enhance the quality, usefulness, and clarity of the information to be collected; and
(d) Ways to minimize the burden of the collection of information on respondents.
An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. Reclamation will display a valid OMB control number on the forms.
A
Before including your address, phone number, email address, or other personal identifying information in your comment, you should be aware that your entire comment—including your personal identifying information—may be made publicly available at any time. While you can ask us in your comment to withhold your personal identifying information from public review, we
Bureau of Reclamation, Interior.
Notice of renewal and request for comments.
We, the Bureau of Reclamation, have forwarded the following Information Collection Request to the Office of Management and Budget (OMB) for review and approval: Certification Summary Form and Reporting Summary Form for Acreage Limitation, 43 CFR part 426 and 43 CFR part 428 (OMB Control Number 1006-0006). The Information Collection Request describes the nature of the information collection and its expected cost burden.
OMB has up to 60 days to approve or disapprove this Information Collection Request, but may respond after 30 days; therefore, public comments must be received on or before September 14, 2015.
Send written comments to the Desk Officer for the Department of the Interior at the Office of Management and Budget, Office of Information and Regulatory Affairs, via facsimile to (202) 395-5806, or email to
Stephanie McPhee, Bureau of Reclamation, at (303) 445-2897. You may also view the Information Collection Request at
This information collection is required under the Reclamation Reform Act of 1982 (RRA), Acreage Limitation Rules and Regulations, 43 CFR part 426, and Information Requirements for Certain Farm Operations In Excess of 960 Acres and the Eligibility of Certain Formerly Excess Land, 43 CFR part 428. The forms in this information collection are to be used by district offices to summarize individual landholder (direct or indirect landowner or lessee) and farm operator certification and reporting forms. This information allows us to establish water user compliance with Federal reclamation law.
We invite comments concerning this information collection on:
(a) Whether the proposed collection of information is necessary for the proper performance of our functions, including whether the information will have practical use;
(b) The accuracy of our burden estimate for the proposed collection of information, including the validity of the methodology and assumptions used;
(c) Ways to enhance the quality, usefulness, and clarity of the information to be collected; and
(d) Ways to minimize the burden of the collection of information on respondents.
An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. Reclamation will display a valid OMB control number on the forms.
A
Before including your address, phone number, email address, or other personal identifying information in your comment, you should be aware that your entire comment—including your personal identifying information—may be made publicly available at any time. While you can ask us in your comment to withhold your personal identifying information from public review, we cannot guarantee that we will be able to do so.
Bureau of Reclamation, Interior.
Notice of renewal and request for comments.
We, the Bureau of Reclamation, have forwarded the following Information Collection Request to the Office of Management and Budget (OMB) for review and approval: Forms to Determine Compliance by Certain Landholders, 43 CFR part 426 (OMB Control Number 1006-0023). The Information Collection Request describes the nature of the information collection and its expected cost burden.
OMB has up to 60 days to approve or disapprove this Information Collection Request, but may respond after 30 days; therefore, public comments must be received on or before September 14, 2015.
Send written comments to the Desk Officer for the Department of the Interior at the Office of Management and Budget, Office of Information and Regulatory Affairs, via facsimile to (202) 395-5806, or email to
Stephanie McPhee, Bureau of Reclamation, at (303) 445-2897. You may also view the Information Collection Request at
We invite comments concerning this information collection on:
(a) Whether the proposed collection of information is necessary for the proper performance of our functions, including whether the information will have practical use;
(b) The accuracy of our burden estimate for the proposed collection of information, including the validity of the methodology and assumptions used;
(c) Ways to enhance the quality, usefulness, and clarity of the information to be collected; and
(d) Ways to minimize the burden of the collection of information on respondents.
An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. Reclamation will display a valid OMB control number on the forms.
A
Before including your address, phone number, email address, or other personal identifying information in your comment, you should be aware that your entire comment—including your personal identifying information—may be made publicly available at any time. While you can ask us in your comment to withhold your personal identifying information from public review, we cannot guarantee that we will be able to do so.
Federal Bureau of Investigation, Department of Justice
60 day notice.
The Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Division (CJIS) has submitted the following Information Collection Request to the Office of Management and Budget (OMB) for review and clearance in accordance with the established review procedures of the Paperwork Reduction Act of 1995.
The
All comments, suggestions, or questions regarding additional information, to include obtaining a copy of the proposed information collection instrument with instructions, should be directed to Mr. Samuel Berhanu, Unit Chief, Federal Bureau of Investigation, CJIS Division, Module E-3, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306; facsimile (304) 625-3566.
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Comments should address one or more of the following four points:
(1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques of other forms of information technology,
(1)
(2)
(3)
Sponsor: Criminal Justice Information Services Division, Federal Bureau of Investigation, Department of Justice.
(4)
(5)
(6)
If additional information is required contact: Jerri Murray, Department Clearance Officer, Policy and Planning Staff, Justice Management Division, United States Department of Justice, Two Constitution Square, 145 N Street NE., Room 3E.405, Washington, DC 20530.
Bureau of Alcohol, Tobacco, Firearms and Explosives, Department of Justice.
30-Day notice.
The Department of Justice (DOJ), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) will submit the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995. This proposed information collection was previously published in the 80 FR 33291, on June 11, 2015, allowing for a 60 day comment period.
The purpose of this notice is to allow for an additional 30 days for public comment until September 14, 2015.
If you have comments, especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Christopher Reeves at
This process is conducted in accordance with 5 CFR 1320.10. Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
• Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
• Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
• Enhance the quality, utility, and clarity of the information to be collected; and
• Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
(1)
(2)
(3) Agency form number, if any, and the applicable component of the Department sponsoring the collection:
(4) Affected public who will be asked or required to respond, as well as a brief abstract:
Abstract: The information will help ATF identify any waste product(s) generated as a result of the operations by the applicant and the disposal of the products. The information will help determine if there is any adverse impact on the environment.
(5) An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond: An estimated 680 respondents will take 30 minutes to complete the form.
(6) An estimate of the total public burden (in hours) associated with the collection: The estimated annual public burden associated with this collection is 340 hours.
If additional information is required contact: Jerri Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street NE., Room 3E-405B, Washington, DC 20530.
Bureau of Justice Statistics, Department of Justice.
30-Day notice.
The Department of Justice (DOJ), Office of Justice Programs, Bureau of Justice Statistics, will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995. This proposed information collection was previously published in the
Comments are encouraged and will be accepted for an additional 30 days until September 14, 2015.
If you have additional comments especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Elizabeth Ann Carson, Statistician, Bureau of Justice Statistics, 810 Seventh Street NW., Washington, DC 20531 (email:
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
(1)
(2)
(3)
(4)
In addition, BJS is requesting OMB clearance to add the following items to the NCRP collection, all of which are likely available from the same databases as existing data elements, and should therefore pose minimal additional burden to the respondents, while greatly enhancing BJS' ability to better characterize the corrections systems and populations it serves:
BJS uses the information gathered in NCRP in published reports and statistics. The reports will be made available to the U.S. Congress, Executive Office of the President, practitioners, researchers, students, the media, others interested in criminal justice statistics, and the general public via the BJS Web site.
(5)
(6)
If additional information is required contact: Jerri Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street NE., 3E.405B, Washington, DC 20530.
Bureau of Justice Statistics, Department of Justice.
60-Day notice.
The Department of Justice (DOJ), Office of Justice Programs, Bureau of Justice Statistics, will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995.
Comments are encouraged and will be accepted for 60 days until November 12, 2015.
If you have additional comments especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Jennifer Truman, Statistician, Bureau of Justice Statistics, 810 Seventh Street NW., Washington, DC 20531 (email:
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
(1)
(2)
(3)
(4)
(5)
(6)
If additional information is required contact: Jerri Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street NE., 3E.405B, Washington, DC 20530.
Federal Bureau of Investigation, Department of Justice.
60-Day notice.
The Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Division has submitted the following information collection request to the Office of Management and Budget (OMB) for review and clearance in accordance with established review procedures of the Paperwork Reduction Act of 1995.
The proposed information collection is published to obtain comments from the public and affected agencies. Comments are encouraged and will be accepted until October 13, 2015.
All comments, suggestions, or questions regarding additional information, to include obtaining a copy of the proposed information collection instrument with instructions, should be directed to Mr. Samuel Berhanu, Unit Chief, Federal Bureau of Investigation, Criminal Justice Information Services (CJIS) Division, Module E-3, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306, or facsimile to (304) 625-3566.
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Comments should address one or more of the following four points:
(1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques of other forms of information technology,
(1)
(2)
(3)
(4)
(5)
(6)
If additional information is required contact: Jerri Murray, Department Clearance Officer, Policy and Planning Staff, Justice Management Division, United States Department of Justice, Two Constitution Square, 145 N Street NE., Room 3E.405B, Washington, DC 20530.
Bureau of Justice Statistics, Department of Justice.
30-Day notice; Reinstatement, with change, of a previously approved collection for which approval has expired.
The Department of Justice (DOJ), Office of Justice Programs, Bureau of Justice Statistics, will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995.
Comments are encouraged and will be accepted for 30 days until September 14, 2015.
If you have additional comments especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Erika Harrell, Statistician, Bureau of Justice Statistics, 810 Seventh Street NW., Washington, DC 20531 (email:
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
(1)
(2)
(3)
(4)
(5)
(6)
Office of Juvenile Justice and Delinquency Prevention, Justice.
Notice of webinar meeting.
The Office of Juvenile Justice and Delinquency Prevention (OJJDP) has scheduled a webinar meeting of the Federal Advisory Committee on Juvenile Justice (FACJJ).
Scott Pestridge, Acting Designated Federal Official, OJJDP,
The Federal Advisory Committee on Juvenile Justice (FACJJ), established pursuant to Section 3(2)A of the Federal Advisory Committee Act (5 U.S.C. App. 2), will meet to carry out its advisory functions under Section 223(f)(2)(C-E) of the Juvenile Justice and Delinquency Prevention Act of 2002. The FACJJ is composed of representatives from the states and territories. FACJJ member duties include: Reviewing Federal policies regarding juvenile justice and delinquency prevention; advising the OJJDP Administrator with respect to particular functions and aspects of OJJDP; and advising the President and Congress with regard to State perspectives on the operation of OJJDP and Federal legislation pertaining to juvenile justice and delinquency prevention. More information on the FACJJ may be found at
To participate in or view the webinar meeting, FACJJ members and the public must pre-register online. Members and interested persons must link to the webinar registration portal through
An on-site room is available for members of the public interested in viewing the webinar in person. If members of the public wish to view the webinar in person, they must notify Marshall Edwards by email message at
With the exception of the FACJJ Chair, FACJJ members will not be physically present in Washington, DC for the webinar. They will participate in the webinar from their respective home jurisdictions.
Notice.
The Department of Labor (DOL) is submitting the Mine Safety and Health Administration (MSHA) sponsored information collection request (ICR) titled, “Notification of Methane Detected in Underground Metal and Nonmetal Mine Atmospheres,” to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501
The OMB will consider all written comments that agency receives on or before September 14, 2015.
A copy of this ICR with applicable supporting documentation; including a description of the likely respondents, proposed frequency of response, and estimated total burden may be obtained free of charge from the RegInfo.gov Web site at
Submit comments about this request by mail or courier to the Office of Information and Regulatory Affairs, Attn: OMB Desk Officer for DOL-MSHA, Office of Management and Budget, Room 10235, 725 17th Street NW., Washington, DC 20503; by Fax: 202-395-5806 (this is not a toll-free number); or by email:
Contact Michel Smyth by telephone at 202-693-4129, TTY 202-693-8064, (these are not toll-free numbers) or by email at
44 U.S.C. 3507(a)(1)(D).
This ICR seeks to extend PRA authority for the Notification of Methane Detected in Underground Metal and Nonmetal Mine Atmospheres information collection requirements codified in regulations 30 CFR part 57. Regulations 30 CFR 57.22004(c) requires a Metal/Non-Metal mine operator to notify the MSHA as soon as possible when any of the following events occur: There is an outburst that results in 0.25 percent or more methane in the mine atmosphere, there is a blowout that results in 0.25 percent or more methane in the mine atmosphere, there is an ignition of methane, or air sample results indicate 0.25 percent or more methane in the mine atmosphere of a I-B, I-C, II-B, V-B, or Category VI mine. Under §§ 57.22239 and 57.22231, if methane reaches 2.0 percent in a Category IV mine or if methane reaches 0.25 percent in the mine atmosphere of a Subcategory I-B, II-B, V-B, or VI mine, the MSHA is to be immediately notified. Regulations 30 CFR 57.22229 and 57.22230 require that the mine atmosphere be tested for either or both methane and carbon dioxide at least once every seven days by a competent person or atmospheric monitoring system or a combination of both. Section 57.2229 applies to an underground Metal/Non-Metal mine categorized as I-A, III, and V-A mines where the atmosphere is tested for both methane and carbon dioxide. Section 57.22230 applies to an underground Metal/Non-Metal mine categorized as II-A mines where the atmosphere is tested for methane. Where an examination discloses hazardous conditions, affected miners must be informed. Sections 57.22229(d) and 57.22230(c) require that the person performing a test certify by signature and date that the test has been conducted. Certifications of examinations are to be kept for at least one year and made available to authorized representatives of the Secretary of Labor. Federal Mine Safety and Health Act of 1977 sections 101(a) and 103(h) and (i) authorize this information collection.
This information collection is subject to the PRA. A Federal agency generally cannot conduct or sponsor a collection of information, and the public is generally not required to respond to an information collection, unless it is approved by the OMB under the PRA and displays a currently valid OMB Control Number. In addition, notwithstanding any other provisions of law, no person shall generally be subject to penalty for failing to comply with a collection of information that does not display a valid Control Number.
OMB authorization for an ICR cannot be for more than three (3) years without renewal, and the current approval for this collection is scheduled to expire on September 30, 2015. The DOL seeks to extend PRA authorization for this information collection for three (3) more
Interested parties are encouraged to send comments to the OMB, Office of Information and Regulatory Affairs at the address shown in the
• Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
• Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
• Enhance the quality, utility, and clarity of the information to be collected; and
• Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
Notice.
The Department of Labor (DOL) is submitting the Occupational Safety and Health Administration (OSHA) sponsored information collection request (ICR) titled, “Reports of Injuries to Employees Operating Mechanical Power Presses,” to the Office of Management and Budget (OMB) for review and approval for continued use, without change, in accordance with the Paperwork Reduction Act of 1995 (PRA), 44 U.S.C. 3501
The OMB will consider all written comments that agency receives on or before September 14, 2015.
A copy of this ICR with applicable supporting documentation; including a description of the likely respondents, proposed frequency of response, and estimated total burden may be obtained free of charge from the RegInfo.gov Web site at
Submit comments about this request by mail or courier to the Office of Information and Regulatory Affairs, Attn: OMB Desk Officer for DOL-OSHA, Office of Management and Budget, Room 10235, 725 17th Street NW., Washington, DC 20503; by Fax: 202-395-5806 (this is not a toll-free number); or by email:
Michel Smyth by telephone at 202-693-4129, TTY 202-693-8064, (these are not toll-free numbers) or by email at
44 U.S.C. 3507(a)(1)(D).
This ICR seeks to extend PRA authority for the Reports of Injuries to Employees Operating Mechanical Power Presses information collection. In the event a worker is injured while operating a mechanical power press, regulations 29 CFR 1910.217(g) makes it mandatory for an Occupational Safety and Health Act (OSH Act) covered employer to report, within thirty (30) days of the occurrence, all point-of-operation injuries to operators or other employees either to the Director of the Directorate of Standards or to the State agency administering a plan approved by the Assistant Secretary of Labor for Occupational Safety and Health. Particularly, this information identifies the equipment used and conditions associated with these injuries. These reports are a source of up-to-date information on power press machines. OSH Act sections 2(b)(9), 6, and 8(c) authorize this information collection.
This information collection is subject to the PRA. A Federal agency generally cannot conduct or sponsor a collection of information, and the public is generally not required to respond to an information collection, unless it is approved by the OMB under the PRA and displays a currently valid OMB Control Number. In addition, notwithstanding any other provisions of law, no person shall generally be subject to penalty for failing to comply with a collection of information that does not display a valid Control Number.
OMB authorization for an ICR cannot be for more than three (3) years without renewal, and the current approval for this collection is scheduled to expire on October 31, 2015. The DOL seeks to extend PRA authorization for this information collection for three (3) more years, without any change to existing requirements. The DOL notes that existing information collection requirements submitted to the OMB receive a month-to-month extension while they undergo review. For additional substantive information about this ICR, see the related notice published in the
Interested parties are encouraged to send comments to the OMB, Office of Information and Regulatory Affairs at the address shown in the
• Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
• Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
• Enhance the quality, utility, and clarity of the information to be collected; and
• Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
Postal Service
Notice.
The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedule's Competitive Products List.
Elizabeth A. Reed, 202-268-3179.
The United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on August 7, 2015, it filed with the Postal Regulatory Commission a
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the “Act”)
The MSRB filed with the Commission proposed revisions to the content outlines for the Municipal Fund Securities Limited Principal Qualification Examination (Series 51), Municipal Securities Representative Qualification Examination (Series 52) and Municipal Securities Principal Qualification Examination (Series 53). As a result of changes to MSRB rules, revisions to the content outlines are necessary to more accurately indicate the current rule requirements and rule citations. Additionally, the MSRB is proposing revisions to the selection specifications for the Series 53 qualification examination (collectively, the “proposed rule change”).
The text of the proposed rule change is available on the MSRB's Web site at
In its filing with the Commission, the MSRB included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The MSRB has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements.
Section 15B(b)(2)(A) of the Act
The selection specifications for the Series 53 examination, which the MSRB has submitted under separate cover with a request for confidential treatment to the Commission's
Secretary pursuant to Rule 24b-2 under the Act,
The Municipal Fund Securities Limited Principal Qualification Examination is designed to determine whether an individual meets the MSRB's qualification standards for municipal fund securities limited principals applicable to the activities described in Rule G-3(b)(iv).
(A) Underwriting, trading or sales of municipal securities;
(B) financial advisory or consultant services for issuers in connection with the issuance of municipal securities;
(C) processing, clearance, and, in the case of brokers, dealers and municipal securities dealers other than bank dealers, safekeeping of municipal securities;
(D) research or investment advice with respect to municipal securities;
(E) any other activities which involve communication, directly or indirectly, with public investors in municipal securities;
(F) maintenance of records with respect to the activities described in subparagraphs (A) through (E); or
(G) training of municipal securities principals or municipal securities representatives;
As a result of recent changes to MSRB rules, revisions to the Series 51 content outline are necessary to indicate the current rule requirements and rule citations. A summary of the changes to the content outline for the Series 51 examination, detailed by major topic headings, is provided below:
• Footnote 2 will be changed to footnote 3.
• The rule citation and quotation in footnote 3 regarding the “Confidentiality of Qualification Examinations” is being revised from “Rule G-3(e)” to “Rule G-3(f)” to conform to amendments to Rule G-3.
• The sub-topic “Registration with the MSRB and payment of initial fee and annual fee A-12; A-14” is being revised to “Registration requirements A-12(a)” to reflect that the relevant provision (which is now included in Rule A-12) is no longer included in Rule A-14, as amended.
• The rule citation and sub-topic “Notification to the MSRB of change in status, name or address A-15” is being revised to “Form A-12 updates and withdrawal A-12(j)” to conform to recent amendments of Rule A-12.
• The rule citation and sub-topic “Requirement to submit email contact to MSRB G-40” is being revised to “Designated contacts A-12(f)” to conform to recent amendments of Rule A-12.
• The sub-topic “financial and operations principals G-3(d)(i) and (ii)” is being rescinded to reflect that this registration category is no longer referenced in Rule G-3.
• The sub-topic “municipal advisor representatives G-3(d)” and “municipal advisor principals G-3(e)” are being added to reflect the new registration category as referenced in Rule G-3.
• The sub-topic “Apprenticeship requirement G-3(a)(iii)” is being rescinded to reflect that, as amended, Rule G-3 no longer has this requirement.
• The sub-topic “Restrictions on apprentices G-3(a)(iii)(A)” is being rescinded to reflect that, as amended, Rule G-3 no longer has this requirement.
• The rule citation for sub-topic “1. Responsible for municipal securities business and activities of associated persons” is being revised from “G-27(b)(i)” to “G-27(b)(ii)” to reflect the reorganization of Rule G-27, as amended.
• The rule citation for sub-topic “Prices and Commissions” is being revised from “G-30(b); G-18” to “G-30(b)” to reflect that the relevant requirements are included in Rule G-30, as amended.
• The rule citation for sub-topic “Advertising, 1. Definition” is being revised from “G-21(a)” to “G-21(a)(i)” to reflect the reorganization of Rule G-21, as amended.
• The rule citation for sub-topic “Requirement to obtain customer account information” is being revised from “G-19(a)” to “G-19” to reflect the reorganization of Rule G-19, as amended.
• The sub-topic “Transactions with employees and partners of other dealers G-28” is being revised to “Transactions
• The rule citation for sub-topic “Knowledge of customer” is being revised from “G-19(b)” to “G-19 [Supp. .04 and .06]” to reflect that the relevant requirements are included in paragraphs .04 and .06 of the Supplementary Material of Rule G-19, as amended.
• The rule citation for sub-topic “Suitability of recommendations” is being revised from “G-19(c)” to “G-19 [Supp. .05]” to reflect that the relevant requirements are included in paragraph .05 of the Supplementary Material of Rule G-19, as amended.
• The title of topic “Improper Activities” is being revised to “Improper Use of Customer Assets.”
• The sub-topic and rule citation “Churning G-19(e)” are being revised to “Quantitative suitability G-19 [Supp. .05(c)]” to reflect that the relevant requirements are included in paragraph .05 of the Supplementary Material of Rule G-19, as amended.
• The sub-topic and related rule citation “Material disclosures at time of trade G-17” are being revised to “Time of trade disclosure G-47” to reflect that the requirements are included in new Rule G-47.
• The rule citation for sub-topic “Periodic statements” is being revised from “G-15(a)(viii)” to “G-15(a)(viii)(B)(1)” to reflect the reorganization of Rule G-15, as amended.
• Sample question number 2 is being removed from the outline because the topic (apprenticeship) is no longer tested on the examination.
The Municipal Securities Representative Qualification Examination is designed to determine whether an individual meets the MSRB's qualification standards for municipal securities representatives by measuring a candidate's knowledge of MSRB rules, rule interpretations and federal statutory provisions applicable to the activities listed in Rule G-3(a)(i).
(A) The term “municipal securities representative” means a natural person associated with a broker, dealer or municipal securities dealer, other than a person whose functions are solely clerical or ministerial, whose activities include one or more of the following:
(1) underwriting, trading or sales of municipal securities;
(2) financial advisory or consultant services for issuers in connection with the issuance of municipal securities;
(3) research or investment advice with respect to municipal securities; or
(4) any other activities which involve communication, directly or indirectly, with public investors in municipal securities;
As a result of recent changes to MSRB rules, revisions to the Series 52 content outline are necessary to indicate the current rule requirements and rule citations. A summary of the changes to the content outline for the Series 52 examination, detailed by major topic headings, is provided below:
• The rule citation and quote in the “Confidentiality” section is being revised from “Rule G-3(e)” to “Rule G-3(f)” and added as footnote 2, to conform to amendments to Rule G-3.
• The rule citation “Professional Qualifications (G-2 through G-7)” is being revised to “Standards of Professional Qualification and Professional Qualification Requirements (G-2 through G-3)” to conform to the current titles of the Rules, as amended.
• The rule citation “Recordkeeping (G-8)” is being revised to “Books and Records to be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors (G-8)” to conform to the current title of Rule G-8, as amended.
• The rule citation “Preservation of Records (G-9)” is being added, to reflect the relevant requirements included in Rule G-9.
• The rule citation “Investor Brochure (G-10)” is being revised to “Delivery of Investor Brochure (G-10)” to conform to the current title of Rule G-10.
• The rule citation “New Issue Syndicate Practices (G-11)” is being revised to “Primary Offering Practices (G-11)” to conform to the current title of Rule G-11.
• The rule citation “Conduct of Municipal Securities Activities (G-17)” is being revised to “Conduct of Municipal Securities and Municipal Advisory Activities (G-17)” to conform to the current title of Rule G-17, as amended.
• The rule citation “Execution of Transactions (G-18)” is being revised to “Best Execution (G-18)” to conform to the current title of Rule G-18, as amended.
• The rule citation “Suitability of Recommendations and Transactions; Discretionary Accounts (G-19)” is being revised to “Suitability of Recommendations and Transactions (G-19)” to conform to the current title of Rule G-19, as amended.
• The rule citation “Disclosure of Control Relationships (G-22)” is being revised to “Control Relationships (G-22)” to conform to the current title of Rule G-22, as amended.
• The rule citation “Transactions with Employees of Other Municipal Securities Professionals (G-28)” is being revised to “Transactions with Employees and Partners of Other Municipal Securities Professionals (G-28)” to conform to the current title of Rule G-28, as amended.
• The rule citation “Calculations (G-33)” is being added to reflect the requirements included in Rule G-33.
• The rule citation “Broker's Broker (G-43)” is being added to reflect the requirements included in Rule G-43.
• The rule citation “Time of Trade Disclosure (G-47)” is being added to reflect the requirements included in Rule G-47.
• The rule citation “Transactions with Sophisticated Municipal Market Professionals (G-48)” is being added to reflect the relevant requirements included in Rule G-48, as amended.
The Municipal Securities Principal Qualification Examination (Series 53) is designed to determine whether an individual meets the Board's qualification standards for municipal securities principals. The Series 53 examination measures a candidate's knowledge of Board rules, rule interpretations and federal statutory provisions applicable to municipal securities activities. It also measures an
(i) Definition. The term “municipal securities principal” means a natural person (other than a municipal securities sales principal), associated with a broker, dealer or municipal securities dealer who is directly engaged in the management, direction or supervision of one or more of the following activities:
(A) underwriting, trading or sales of municipal securities;
(B) financial advisory or consultant services for issuers in connection with the issuance of municipal securities;
(C) processing, clearance, and, in the case of brokers, dealers and municipal securities dealers other than bank dealers, safekeeping of municipal securities;
(D) research or investment advice with respect to municipal securities;
(E) any other activities which involve communication, directly or indirectly, with public investors in municipal securities;
(F) maintenance of records with respect to the activities described in subparagraphs (A) through (E); or
(G) training of municipal securities principals or municipal securities representatives;
The selection specifications for the Series 53 examination, which the MSRB has submitted under separate cover with a request for confidential treatment to the Commission's Secretary pursuant to Rule 24b-2 under the Act,
As a result of recent changes to MSRB rules, revisions to the Series 53 content outline are necessary to indicate the current rule requirements and rule citations. A summary of the changes to the content outline for the Series 53 examination, detailed by major topic headings, is provided below:
• The rule citation and quotation in footnote 2 regarding “Confidentiality” is being revised from “Rule G-3(e)” to “Rule G-3(f)” to conform to amendments to Rule G-3.
• The rule citation “Dodd-Frank Wall Street Financial Reform and Consumer Protection Act” is being added to reflect the current status of federal securities law.
• The rule citation “Associated person D-11” is being added to reflect the requirements included in Rule D-11, as amended.
• The rule citation “Sophisticated Municipal Market Professional (SMMP) D-15” is being added to reflect the requirements included in Rule D-15, as amended.
• The rule citation “Registration with the MSRB and payment of initial fee A-12” is being revised to “Registration A-12” to conform to amendments to Rule A-12.
• The topic “MSRB annual fee A-14” is being removed to reflect that the relevant provision of Rule A-14 is now included in Rule A-12, as amended.
• The rule citation “Assessments for Municipal Advisor Professionals A-11” is being added to reflect the new requirement in Rule A-11.
• The topic “Electronic mail contacts G-40” is being removed because Rule G-40 has been rescinded.
• The rule citation “Notification to the MSRB of change in status, name or address A-15” is being removed to reflect that the relevant provision of Rule A-15 is now included in Rule A-12, as amended.
• The rule citation “Limited representative—investment company and variable contracts products G-3(a)(i)(C)” is being added to reflect the requirements included in Rule G-3, as amended.
• The rule citation “Municipal advisor representative G-3(d)” is being added to reflect the requirements included in Rule G-3, as amended.
• The rule citation “Municipal advisor principal G-3(e)” is being added to reflect the requirements included in Rule G-3, as amended.
• The topic “financial and operations principals G-3d(i) and (ii)” is being removed to reflect the rescission of the requirement in Rule G-3d(i) and (ii), as amended.
• The rule citation “Continuing education requirements G-3(h)” is being revised to “Continuing education requirements G-3(i)” to reflect the reorganization of Rule G-3, as amended.
• The rule citation “Confidentiality of qualification examinations G-3(e)” is being revised to “Confidentiality of qualification examinations G-3(f)” to reflect the reorganization of Rule G-3, as amended.
• The topic “Apprenticeship requirement G-3(a)(iii)” is being removed to reflect the rescission of the requirement.
• The rule citation “Responsibility for municipal securities business and activities of associated persons G-27(b)(i)” is being revised to “Responsibility for municipal securities business and activities of associated persons G-27(b)” to reflect the reorganization of Rule G-27.
• The topic and rule citation “Internal inspections G-27(d)” is being added to reflect the requirements included in Rule G-27.
• The topic area “Definition G-22(a)” is being revised to “Definition of control relationship G-22(a)” to provide clarity to the title of the topic area.
• The topic area “Definitions G-20(e)” is being revised to “Definitions of `non-cash compensation', `cash compensation', `offeror' and `primary offering' G-20(e)” to provide clarity to the title of the topic area.
• The topic area “Prohibition from engaging in municipal securities business” is being revised to “Political contributions and prohibition from engaging in municipal securities business” to provide clarity to the title of the topic area.
• The topic area “Definitions G-37(g)” is being revised to “Definitions including `municipal finance professional,' `municipal securities businesses' and `issuer official' G-37(g)” to provide clarity to the title of the topic area.
• The topic area “Period of prohibition G-37(b)” is being revised to “Ban on municipal securities business;
• The topic area and rule citation “Prohibition on Soliciting and Coordinating Contributions G-37(c)” is being added to reflect the requirements included in Rule G-37.
• The topic area “Definitions G-21(a)” is being revised to “Definitions; General standard for advertisements G-21(a)(iii)” to provide clarity to the title of the topic area.
• The rule citation “Requirement to obtain customer account information G-19(a)” is being revised to “Requirement to obtain customer account information G-19” to reflect the reorganization of Rule G-19, as amended.
• The topic area “Transactions with employees and partners of other dealers” is being revised to “Transactions with employees and partners of other municipal securities professionals” to provide clarity to the title of the topic area.
• The topic area “Exemption for municipal fund securities G-28(c)” is being added to reflect the relevant requirements included in Rule G-28.
• The topic area and rule citation “Restrictions on apprentices G-3(a)(iii)(A)” is being removed to reflect the rescission of the requirement in Rule G-3, as amended.
• The topic area and rule citation “Tape recording of conversations G-27(c)(ii)” is being added to reflect the requirements included in Rule G-27.
• The rule citation for topic area “Knowledge of customer G-19(b)” is being revised to “Knowledge of customer G-19 [Supp. .04]” to reflect that the relevant requirements are included in paragraph .04 of the Supplementary Material of Rule G-19, as amended.
• The rule citation for topic area “Suitability of recommendations G-19(c)” is being revised to “Suitability of recommendations and transactions G-19” to reflect that the relevant requirements are included in Rule G-19, as amended.
• The topic area and rule citation “Time of trade disclosure G-47” is being added to reflect the requirements included in Rule G-47.
• The topic area and rule citation “Sophisticated Municipal Market Professionals (SMMP) G-48” is being added to reflect the requirements included in Rule G-48, as amended.
• The section header “Improper Activities” is being revised to “Supervisory Concerns” to provide clarity to the title of the section.
• The topic area and rule citation “Churning G-19(e)” is being revised to “Quantitative Suitability G-19 [Supp. .05]” to reflect that the relevant requirements are included in paragraph .05 of the Supplementary Material of Rule G-19, as amended.
• The topic area “Prohibition against soliciting and coordinating political contributions G-37(c) and (d)” is being revised to “Prohibition against soliciting and coordinating political contributions; and circumvention of rule, G-37(c) and (d)” to reflect that the relevant requirements are included in Rule G-37.
• The topic area and rule citation “Suitability G-19(d)” is being moved to the suitability section in Part three of the content outline.
• The topic area and rule citation “Written supervisory procedures G-27(c)(i)” is being revised to “Approval of transactions G-27(c)(i)(G)(2)” to reflect the reorganization of Rule G-27.
• The rule citation for topic area “Review by a principal G-27(c)(ii)” is being revised to “Review by a principal G-27(c)(i)(B)” to reflect the reorganization of Rule G-27.
• The topic area and rule citation “Retail order period and required disclosures G-11(k)” are being added to reflect the requirements included in Rule G-11.
• The topic area “Definitions A-13(f)” is being revised to “Definition of primary offering A-13(f)” to provide clarity to the title of the topic area.
• The topic area “Transactions as agent G-18” is being revised to “Best execution G-18” to reflect the requirements included in Rule G-18.
• The topic area “Prices and Commissions” is being added to reflect the requirements included in Rule G-30.
• The topic area and rule citation “Principal transactions G-30(a)” is being moved from section two regarding general supervision to section five regarding trading.
• The topic area and rule citation “Agency transactions G-30(b)” is being moved from section two regarding general supervision to section five regarding trading.
• The topic area and rule citation “Time of trade disclosure G-47” is being added to reflect the requirements included in Rule G-47, as amended.
• The topic area “Definitions G-14, RTRS Procedures, Sect. (d)” is being revised to “Definitions relating to reporting requirements for specific types of transactions” to provide clarity to the title of the topic area.
The MSRB believes that the proposed rule change is consistent with the provisions of Section 15B(b)(2)(A) of the Act,
The MSRB believes that the proposed revisions to the content outline for the Series 51, Series 52, and Series 53 examinations and changes to the selection specifications for the Series 53 examination are consistent with the provisions of Section 15B(b)(2)(A) of the Act
The MSRB does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. The updated Series 51, Series 52, and Series 53 content outlines align with the functions and associated tasks currently performed by municipal fund securities limited principals, municipal securities representatives, and municipal securities principals and tests knowledge of the most current laws, rules, and regulations and skills relevant to those functions and associated tasks. As such, the proposed rule change would make the examinations more efficient and effective.
Written comments were neither solicited nor received on the proposed rule change.
Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
For the Commission, pursuant to delegated authority.
Pursuant to Section 19(b)(1)
The Exchange proposes to amend Rule 6.15 to establish Exchange rules governing the give up of a Clearing Member by Options Trading Permit Holders and OTP Firms and proposes conforming changes to Rules 6.66 and 6.79. The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.
The Exchange proposes to amend Rule 6.15 to establish Exchange rules governing the “give up” of a Clearing Member
By way of background, to enter transactions on the Exchange, an OTP must either be a Clearing Member or must have a Clearing Member agree to accept financial responsibility for all of its transactions. Specifically, Rule 6.15 provides that every Clearing Member will be responsible for the clearance of Exchange option transactions of each OTP that gives up the Clearing Member's name in an Exchange option transaction, provided the clearing member has authorized such member or member organization to give up its name with respect to Exchange option transactions. Similarly, Rule 6.79 provides, in relevant part, that every Clearing Member will be responsible for the clearance of Exchange transactions of each OTP that gives up the Clearing Member's name pursuant to a Letter of Authorization, Letter of Guarantee, or other authorization given by the Clearing Member to the executing OTP. In addition, Rule 6.66(a) (Order Identification) provides that for each transaction in which an OTP participates, the OTP must give up the name of the Clearing Member through whom the transaction will be cleared. The Exchange has determined that it would be beneficial to amend Rule 6.15 and specify in detail the give-up process and to modify Rules 6.66 and 6.79, as described below. The Exchange believes the proposed changes would result in a more comprehensive streamlined give up process.
The Exchange proposes to amend current Rule 6.15 by replacing the current rule text
Specifically, amended Rule 6.15 would introduce and define the term “Designated Give Up” as any Clearing Member that an OTP (other than a Market Maker)
The Exchange notes that, as proposed, an OTP may designate any Clearing Member as a Designated Give Up. Additionally, there would be no minimum or maximum number of Designated Give Ups that an OTP must identify. The Exchange would notify a Clearing Member, in writing and as soon as practicable, of each OTP that has identified it as a Designated Give Up. The Exchange, however, would not accept any instructions, and would not give effect to any previous instructions, from a Clearing Member not to permit an OTP to designate the Clearing Member as a Designated Give Up. Further, the Exchange notes that there is no subjective evaluation of an OTP's list of proposed Designated Give Ups by the Exchange. Rather, the Exchange proposes to process each list as submitted and ensure that the Clearing Members identified as Designated Give Ups are in fact current Clearing Members, as well as confirm that the Notification Forms are complete (
As amended, Rule 6.15 would also define the term “Guarantor” as a Clearing Member that has issued a Letter of Guarantee or Letter of Authorization for the executing OTP, pursuant to Rules of the Exchange
As noted above, amended Rule 6.15 would provide that an OTP may give up only (i) the name of a Clearing Member that has previously been identified and processed by the Exchange as a Designated Give Up for that OTP, if not a Market Maker or (ii) its Guarantor.
The Exchange proposes in paragraph (e) of amended Rule 6.15 that a Designated Give Up and a Guarantor may, in certain circumstances, determine not to accept a trade on which its name was given up. If a Designated Give Up or Guarantor determines not to accept a trade, the proposed Rule would provide that it may reject the trade in accordance with the procedures described more fully below under “Procedures to Reject a Trade.”
As proposed, a Designated Give Up may determine to not accept a trade on which its name was given up so long as it believes in good faith that it has a valid reason not to accept the trade and follows the procedures to reject a trade in proposed paragraph (f) of the amended Rule.
The Exchange also proposes to provide that a Guarantor may opt to not accept (and thereby reject) a non-Market Maker trade on which its name was given up, provided that the following steps are completed: (i) Another Clearing Member agrees to be the give up on the trade; (ii) that other Clearing Member has notified both the Exchange and executing OTP in writing of its intent to accept the trade; and (iii) the procedures in Rule 6.15(f) are followed. In addition, the give up must be changed to the Clearing Member that has agreed to accept the trade in accordance with the procedures in paragraph (f) of Rule 6.15. A Guarantor may not reject a trade given up by a Market Maker.
The Exchange notes that only a Designated Give Up or Guarantor whose name was initially given up on a trade is permitted to reject the trade, subject to the conditions noted above. The Clearing Member or Guarantor that becomes the give up on a rejected trade may not also reject the trade.
The Exchange proposes to include in amended Rule 6.15 procedures that must be followed and completed in order for a Designated Give Up or Guarantor
As proposed, a Guarantor may only reject a non-Market Maker trade for which its name was the initial give up by an OTP, if another Clearing Member has agreed to be the give up on the trade and has notified the Exchange and executing OTP in writing of its intent to accept the trade. If a Guarantor of an OTP decides to reject a trade on the trade date, it must follow the same procedures to change the give up as would be followed by a Designated Give Up. The ability to make any changes, either by the Designated Give Up or Guarantor, to the give up pursuant to this procedure would end at the Trade Date Cutoff Time.
Finally, once the give up on a trade has been changed, the Designated Give Up or Guarantor making the change must immediately thereafter notify, in writing, the Exchange, the parties to the trade, and the Clearing Member given up, of the change.
As proposed, a trade may only be rejected on (i) the trade date or (ii) the business day following the trade date (“T+1”) (except that transactions in expiring options series on the last trading day prior to expiration may not be rejected on T+1).
If, on the trade date, a Designated Give Up decides to reject a trade, or another Clearing Member agrees to be the give up on a trade for which a Guarantor's name was given up, the Exchange proposes that the rejecting Designated Give Up or Guarantor must notify, in writing, the executing OTP or its designated agent, as soon as possible and attempt to resolve the disputed give up. This requirement puts the executing OTP on notice that the give up on the trade may be changed and provides the executing OTP and Designated Give Up or Guarantor an opportunity to resolve the dispute. The Exchange notes that a Designated Give Up or Guarantor may request from the Exchange the contact information of the executing OTP or its designated agent for any trade it intends to reject.
Following notification to the executing OTP on the trade date, a Designated Give Up or Guarantor may request the ability from the Exchange to change the give up on the trade, in a form and manner prescribed by the Exchange (“Give-Up Change Form”). A copy of the proposed Give-Up Change Form is included with this filing in Exhibit 3. Provided that the Exchange is able to process the request prior to the trade input cutoff time established by the OCC (or the applicable later time if the Exchange receives and is able to process a request to extend its time of final trade submission to the OCC) (“Trade Date Cutoff Time”), the Exchange would provide the Designated Give Up or Guarantor the ability to make the change to the give up on the trade to either (1) another Clearing Member or, as applicable, (2) the executing OTP's Guarantor.
The Exchange acknowledges that some clearing firms may not reconcile their trades until after the Trade Date Cutoff Time. A clearing firm, therefore, may not realize that a valid reason exists to not accept a particular trade until after the close of the trading day or until the following morning. Accordingly, the Exchange proposes to establish a
Consistent with amended Rule 6.15(f), a Designated Give Up or Guarantor
In addition, once any change to the give up has been made, the Designated Give Up or Guarantor making the change would be required to immediately thereafter notify, in writing, the Exchange, the parties to the trade and the Clearing Member given up, of the change.
As discussed above, the Exchange proposes to allow OTPs that are not Market Makers to identify any Clearing Member as a Designated Give Up. The Exchange's proposal does not permit a Clearing Member to provide the Exchange instructions to prohibit a particular OTP from giving up the Clearing Member's name. This limitation prevents the Exchange from being placed in the position of arbiter among a Clearing Member, an OTP and a customer. The Exchange recognizes, however, that OTPs should not be given the ability to give up any Clearing Member without also providing a method of recourse to those Clearing Members which, for the prescribed reasons discussed above,
The Exchange proposes to modify the text of Rule 6.66(a), related to the give up requirement for OTPs, to simply cross reference amended Rule 6.15 given the detailed give up process proposed by the Exchange in that Rule.
The Exchange also proposes in paragraph (g) of amended Rule 6.15 three scenarios in which a give up on a transaction may be changed without Exchange involvement. First, if an executing OTP has the ability through an Exchange system to do so, it could change the give up on a trade to another Designated Give Up or its Guarantor. The Exchange notes that OTPs often make these changes when, for example, there is a keypunch error (
Next, the modified rule would provide that, if a Designated Give Up has the ability to do so, it may change the give up on a transaction for which it was given up to (i) another Clearing Member affiliated with the Designated Give Up or (ii) a Clearing Member for which the Designated Give Up is a back office agent. The ability to make such a change would end at the Trade Date Cutoff Time. The procedures to reject a trade, as set forth in proposed subparagraph (f) of Rule 6.15 and described above, would not apply in these instances. The Exchange notes that often Clearing Members themselves have the ability to change a give up on a trade for which it was given up to another Clearing Member affiliate or Clearing Member for which the Designated Give Up is a back office agent. Therefore, Exchange involvement in these instances is not necessary.
In addition, the proposed rule provides that if both a Designated Give Up or Guarantor and a Clearing Member have the ability through an Exchange system to do so, the Designated Give Up or Guarantor and Clearing Member may each enter trade records into the Exchange's systems on T+1 that would effect a transfer of the trade in a non-expired option series from that Designated Give Up to that Clearing Member. Likewise, if a Guarantor of an OTP trade (that is not a Market Maker trade) and a Clearing Member have the ability through an Exchange system to do so, the Guarantor and Clearing Member may each enter trade records into the Exchange's systems on T+1 that would effect a transfer of the trade in a non-expired option series from that Guarantor to that Clearing Member. The Designated Give Up or Guarantor could not make any such change after the T+1 Cutoff Time. The Exchange notes that a Designated Give Up (or Guarantor) must notify, in writing, the Exchange and all the parties to the trade, of any such change made pursuant to this provision. This notification alerts the parties and the Exchange that a change to the give up has been made. Finally, the Designated Give Up (or Guarantor) would be responsible for monitoring the trade and ensuring that the other Clearing Member has entered its side of the transaction timely and correctly. If
The Exchange proposes in paragraph (h) of amended Rule 6.15 to state that a Clearing Member would be financially responsible for all trades for which it is the give up at the Applicable Cutoff Time (for purposes of the proposed rule, the “Applicable Cutoff Time” shall refer to the T+1 Cutoff Time for non-expiring option series and to the Trade Date Cutoff Time for expiring option series). The Exchange notes, however, that nothing in the proposed rule shall preclude a different party from being responsible for the trade outside of the Rules of the Exchange pursuant to OCC Rules, any agreement between the applicable parties, other applicable rules and regulations, arbitration, court proceedings or otherwise.
The Exchange notes that given the inherent time constraints in making a change to a give up on a transaction, the Exchange would not be able to adequately consider the above-mentioned requirements and make a determination within the prescribed period of time. Rather, the Exchange would examine trades for which a give up was changed pursuant to subparagraphs (e) and (f) after the fact to ensure compliance with the requirements set forth in amended Rule 6.15. Particularly, the Exchange notes that the give up Change Forms that Designated Give Ups, Guarantors and New Clearing Members must submit, would help to ensure that the Exchange obtains, in a uniform format, the information that it needs to monitor and regulate this Rule and these give up changes in particular. This information, for example, would better allow the Exchange to determine whether the Designated Give Up had a valid reason to reject the trade, as well as assist the Exchange in cross checking and confirming that what the Designated Give Up or Guarantor said it was going to do is what it actually did (
Finally, the Exchange proposes to eliminate language in Rule 6.79 that addresses the financial responsibility of transactions clearing through Clearing Members. Under the proposal, financial responsibility would be addressed and clarified in amended Rule 6.15, and as such, the Exchange believes this language in Rule 6.79 is unnecessary.
The Exchange proposes to announce the implementation of the proposed rule change via Trader Update, to be published no later than thirty (30) days following the effectiveness of this proposal. The implementation date will be no sooner than fourteen (14) day and no later than thirty (30) days following publication of the Trader Update. This additional time would afford the Exchange and OTPs the time to submit and process the forms required under the proposed rule.
The Exchange believes that the proposed change is consistent with Section 6(b) of the Act,
First, detailing in the rules how OTPs would give up Clearing Members and how Clearing Members may “reject” a trade provides transparency and operational certainty. The Exchange believes additional transparency removes a potential impediment to, and would contribute to perfecting, the mechanism for a free and open market and a national market system, and, in general, would protect investors and the public interest. Moreover, the Exchange notes that amended Rule 6.15 requires OTPs to adhere to a standardized process to ensure a seamless administration of the Rule. For example, all notifications relating to a change in give up must be made in writing. The Exchange believes that these requirements will aid the Exchange's efforts to monitor and regulate OTPs and Clearing Members as they relate to amended Rule 6.15 and changes in give ups, thereby protecting investors and the public interest.
Additionally, the Exchange believes that its proposed give up rule strikes the right balance between the various views and interests of market participants. For example, although the rule allows OTPs that are not Market Makers to identify any Clearing Member as a Designated Give Up, it also provides that OTPs would receive notice of any OTP that has designated it as a Designated Give Up and provides for a procedure for a Clearing Member to “reject” a trade in accordance with the Rules, both on the trade date and T+1.
The Exchange recognizes that OTPs should not be given the ability to give up any Clearing Members without also providing a method of recourse to those Clearing Members which, for the prescribed reasons discussed above, should not be obligated to clear certain
The Exchange notes that amended Rule 6.15 does not preclude a different party than the party given up from being responsible for the trade outside of the Rules of the Exchange, pursuant to OCC Rules, any agreement between the applicable parties, other applicable rules and regulations, arbitration, court proceedings or otherwise. The Exchange acknowledges that it would not consider whether the Designated Give Up has satisfied the requirements of this Rule in relation to having a good faith belief that it has a valid reason not to accept a trade or having notified the executing OTP and attempting to resolve the disputed give up prior to changing the give up, due to inherent time restrictions. However, the Exchange believes investor and public interest are still protected as the Exchange will still examine trades for which a give up was changed pursuant to subparagraphs (e) and (f) of amended Rule 6.15 after the fact to ensure compliance with the requirements set forth in the Rule. As noted above, the implementation of a standardized process and the requirement that certain notices be in writing would assist monitoring any give up changes and enforcing amended Rule 6.15.
Further, the Exchange notes that the Rule does not preclude these factors from being considered in a different forum (
Finally, the Exchange believes that making non-substantive, technical corrections to the rule text (
The Exchange does not believe that this proposed rule change would impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. The Exchange does not believe that the proposed rule change would impose an unnecessary burden on intramarket competition because it would apply equally to all similarly situated OTPs. The Exchange also notes that, should the proposed changes make the Exchange more attractive for trading, market participants trading on other exchanges can always elect to become OTPs on the Exchange to take advantage of the trading opportunities. In addition, as noted above, the Exchange believes the proposed rule change is pro-competitive and would allow the Exchange to compete more effectively with other options exchanges that have already adopted changes to their give up process that are substantially identical to the changes proposed by this filing.
No written comments were solicited or received with respect to the proposed rule change.
Because the proposed rule change does not (i) significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act
A proposed rule change filed under Rule 19b-4(f)(6)
At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B)
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1)
The Exchange proposes to modify the manner in which it calculates certain volume, liquidity and quoting thresholds applicable to billing on the Exchange in relation to a suspension of trading on the Exchange on July 8, 2015. The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.
The Exchange is proposing to modify the manner in which it calculates certain volume, liquidity and quoting thresholds applicable to billing on the Exchange in relation to a suspension of trading on the Exchange on July 8, 2015 (“trading suspension”).
The trading suspension resulted in a more than 40% decrease in trading volume on the Exchange on July 8, 2015 for that day as compared to average daily volume (“ADV”) on the Exchange for the prior trading days in July 2015. The Exchange believes that the trading suspension prevented member organizations on the Exchange, including Designated Market Makers (“DMMs”), Supplemental Liquidity Providers (“SLPs”) and Retail Liquidity Providers (“RLPs”), from engaging in normal trading, quoting and liquidity in their assigned securities, leading to decreased quoting and trading volume compared to ADV.
As provided in the Exchange's Price List, many of the Exchange's transaction fees and credits are based on trading, quoting and liquidity thresholds that member organizations must satisfy in order to qualify for the particular rates. The Exchange believes that the trading suspension may affect the ability of member organizations to meet certain of these thresholds during July 2015.
First, the Exchange proposes to exclude July 8, 2015 for purposes of determining transaction fees and credits that are based on ADV executed by the member organization during the billing month, either directly or as a percentage of consolidated average daily volume in NYSE-listed securities (“NYSE CADV”). If the Exchange did not exclude July 8, 2015 when calculating ADV for July, the numerator for the calculation (
Second, the Exchange proposes to exclude July 8, 2015 for purposes of determining transaction fees and credits that are based on quoting and/or liquidity levels of DMMs, SLPs and RLPs. The calculations of such quoting and liquidity levels include the amount of time that the relevant DMM, SLP or RLP quoted at the National Best Bid or Offer (“NBBO”).
The Exchange notes that the proposed exclusions would be similar to the current provision in the Price List whereby, for purposes of transaction fees and SLP credits, ADV calculations exclude early closing days.
Finally, the Exchange does not propose to exclude July 8, 2015 for purposes of the DMM thresholds in the Price List that are based solely on U.S. consolidated average daily volume (“CADV”),
The Exchange notes that the proposed change is not otherwise intended to address any other issues surrounding billing for activity on the Exchange and the Exchange is not aware of any negative impact on member organizations that would result from the proposed change.
The Exchange believes that the proposed change is consistent with Section 6(b) of the Securities Exchange Act of 1934 (the “Act”),
Specifically, the Exchange believes that excluding July 8, 2015 for purposes of determining transaction fees and credits that are based on ADV during the billing month, either directly or as a percentage of NYSE CADV, is reasonable because trading suspension resulted in a significant decrease in trading volume on the Exchange. This proposed change is reasonable because, without this exclusion, the numerator for the calculations of ADV (
The Exchange also believes that excluding July 8, 2015 for purposes of determining transaction fees and credits that are based on quoting and/or liquidity levels of DMMs, SLPs and RLPs is reasonable because the calculations of such quoting and liquidity levels include the amount of time that the relevant DMM, SLP or RLP quoted at the NBBO. In this regard, excluding July 8, 2015 from these quoting and liquidity calculations is reasonable because, without this exclusion, the numerator for the calculations (
Finally, the Exchange believes that not excluding activity on July 8, 2015 for purposes of determining transaction fees and credits related to the DMM thresholds in the Price List that are based solely on CADV is reasonable. This is because the thresholds that are based solely on CADV consider volume across all markets, not only the
The Exchange also believes that the proposed rule change furthers the objectives of Section 6(b)(5) of the Act,
The Exchange believes that the proposed exclusions would remove impediments to and perfect the mechanism of a free and open market and a national market system because they would reasonably ensure that a member organization that would otherwise qualify for a particular threshold during the month, and the corresponding transaction rate, would not be negatively impacted by the trading suspension. In particular, the Exchange believes that the proposed exclusions promote just and equitable principles of trade because they account for the impact on trading volume, liquidity and quoting that resulted from the trading suspension for all securities traded on the Exchange. The Exchange further believes that the proposed exclusions remove impediments to and perfect the mechanism of a free and open market and a national market system because they provide transparency for member organizations and the public regarding the manner in which the Exchange will calculate certain volume, liquidity and quoting thresholds related to billing for activity on the Exchange on July 8, 2015 and for the month of July 2015. In this regard, the Exchange believes that the proposed exclusions are consistent with the Act because they address inquiries from member organizations regarding how the Exchange will treat July 8, 2015 for purposes of billing. Also, the proposed exclusions are not designed to permit unfair discrimination between customers, issuers, brokers, or dealers, but are instead designed to provide transparency for all member organizations and the public regarding the manner in which the Exchange will calculate certain volume, liquidity and quoting thresholds in relation to the trading suspension. The Exchange is not aware of any negative impact on member organizations that would result from the proposed change.
In accordance with Section 6(b)(8) of the Act,
No written comments were solicited or received with respect to the proposed rule change.
The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act
A proposed rule change filed under Rule 19b-4(f)(6) normally may not become operative prior to 30 days after the date of filing. However, Rule 19b-4(f)(6)(iii)
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act.
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
The Exchange proposes to update Exchange Rule 4759 and to amend the public disclosure of the sources of data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes.
The text of the proposed rule change is below. Proposed new language is italicized; proposed deletions are bracketed.
The NASDAQ System utilizes the below proprietary and network processor feeds [utilized by the System] for the handling, routing, and execution of orders, as well as for the regulatory compliance processes related to those functions. The Secondary Source of data is,
(b) Not applicable.
(c) Not applicable.
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
The Exchange proposes to update and amend the table in Exchange Rule 4759 that sets forth on a market-by-market basis the specific network processor and proprietary data feeds that the Exchange utilizes for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions.
Specifically, the table will be amended to include National Stock Exchange (“NSX”), which has informed the UTP Securities Information Processor (“UTP SIP”) that, subject to regulatory approval, it is projecting to reactivate its status as an operating participant for quotation and trading of NASDAQ-listed securities under the Unlisted Trading Privileges (“UTP”) Plan on or about August 31, 2015. The other changes to the table merely reflect updates to mirror the current network processor and proprietary data feeds utilized by the Exchange for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions.
The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Act,
The Exchange believes that its proposal to update the table in Exchange Rule 4759 to make certain it is current, as well as to amend the table to include NSX, would ensure that Exchange Rule 4759 correctly identifies and publicly states on a market-by-market basis all of the specific network processor and proprietary data feeds that the Exchange utilizes for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions, and that the proposed rule change removes impediments to and perfects the mechanism of a free and open market and protects investors and the public interest because it provides additional specificity, clarity and transparency.
The Exchange does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act, as amended. To the contrary, the Exchange believes the proposal would enhance competition because including all of the exchanges enhances transparency and enables investors to better assess the quality of the Exchange's execution and routing services.
No written comments were either solicited or received.
Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A)
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly.
All submissions should refer to File Number SR-NASDAQ-2015-093 and should be submitted on or before September 3, 2015.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1)
The Exchange proposes to modify the manner in which it calculates certain volume and quoting thresholds applicable to billing on the Exchange in relation to a suspension of trading on the Exchange on July 8, 2015. The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.
The Exchange is proposing to modify the manner in which it calculates certain volume and quoting thresholds applicable to billing on the Exchange in relation to a suspension of trading on the Exchange on July 8, 2015 (“trading suspension”).
The trading suspension resulted in a more than 40% decrease in trading volume on the Exchange on July 8, 2015 for that day as compared to average daily volume (“ADV”) on the Exchange for the prior trading days in July 2015. The Exchange believes that the trading suspension prevented member organizations on the Exchange, including Designated Market Makers (“DMMs”), Supplemental Liquidity Providers (“SLPs”) and Retail Liquidity Providers (“RLPs”), from engaging in normal trading and quoting in their assigned securities, leading to decreased quoting and trading volume compared to ADV.
As provided in the Exchange's Price List, certain of the Exchange's transaction fees and credits are based on trading and quoting thresholds that member organizations must satisfy in order to qualify for the particular rates. The Exchange believes that the trading suspension may affect the ability of member organizations to meet certain of these thresholds during July 2015.
First, the Exchange proposes to exclude July 8, 2015 for purposes of determining transaction fees and credits that are based on quoting levels of DMMs, SLPs and RLPs. The calculations of such quoting levels include the amount of time that the relevant DMM, SLP or RLP quoted at the National Best Bid or Offer (“NBBO”).
Second, the Exchange proposes to exclude July 8, 2015 for purposes of determining transaction credits applicable to executions in the Retail Liquidity Program that are based on ADV executed by a non-RLP member organization during the billing month. If the Exchange did not exclude July 8, 2015 when calculating ADV for July, the numerator for the calculation (
Finally, the Exchange does not propose to exclude July 8, 2015 from the calculation of consolidated average daily volume (“CADV”) for purposes of determining the qualification for certain
The Exchange notes that the proposed change is not otherwise intended to address any other issues surrounding billing for activity on the Exchange and the Exchange is not aware of any negative impact on member organizations that would result from the proposed change.
The Exchange believes that the proposed change is consistent with Section 6(b) of the Securities Exchange Act of 1934 (the “Act”),
The Exchange believes that excluding July 8, 2015 for purposes of determining transaction fees and credits that are based on quoting levels of DMMs, SLPs and RLPs is reasonable because the calculations of such quoting levels include the amount of time that the relevant DMM, SLP or RLP quoted at the NBBO. In this regard, excluding July 8, 2015 from these quoting calculations is reasonable because, without this exclusion, the numerator for the calculations (
The Exchange also believes that excluding July 8, 2015 for purposes of determining transaction fees and credits applicable to executions in the Retail Liquidity Program that are based on ADV executed by a non-RLP member organization during the billing month, is reasonable because trading suspension resulted in a significant decrease in trading volume on the Exchange. This proposed change is reasonable because, without this exclusion, the numerator for the calculations of ADV (
Finally, the Exchange believes that not excluding activity on July 8, 2015 from the calculation of CADV for purposes of determining the qualification for certain DMM thresholds in the Price List is reasonable. This is because the thresholds that are based on CADV consider volume across all markets, not only the Exchange's, and therefore the trading suspension would not be expected to significantly impact CADV. This is equitable and not unfairly discriminatory because, in addition to applying to all DMMs on the Exchange, the Exchange believes that the trading suspension did not have a significant impact on these thresholds and, therefore, including activity on July 8, 2015 will have an equal impact for all DMMs.
The Exchange also believes that the proposed rule change furthers the objectives of Section 6(b)(5) of the Act,
The Exchange believes that the proposed exclusions would remove impediments to and perfect the mechanism of a free and open market and a national market system because they would reasonably ensure that a member organization that would otherwise qualify for a particular threshold during the month, and the corresponding transaction rate, would not be negatively impacted by the trading suspension. In particular, the Exchange believes that the proposed exclusions promote just and equitable principles of trade because they account for the impact on trading volume and quoting that resulted from the trading suspension for all securities traded on the Exchange. The Exchange further believes that the proposed exclusions remove impediments to and perfect the mechanism of a free and open market and a national market system because they provide transparency for member organizations and the public regarding the manner in which the Exchange will calculate certain volume and quoting thresholds related to billing for activity on the Exchange on July 8, 2015 and for the month of July 2015. In this regard, the Exchange believes that the proposed exclusions are consistent with the Act because they address inquiries from member organizations regarding how the Exchange will treat July 8, 2015 for purposes of billing. Also, the proposed exclusions are not designed to permit unfair discrimination between customers, issuers, brokers, or dealers, but are instead designed to provide transparency for all member organizations and the public regarding the manner in which the Exchange will calculate certain volume and quoting thresholds in relation to the trading suspension. The Exchange is not aware of any negative impact on member organizations that would result from the proposed change.
In accordance with Section 6(b)(8) of the Act,
No written comments were solicited or received with respect to the proposed rule change.
The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act
A proposed rule change filed under Rule 19b-4(f)(6) normally may not become operative prior to 30 days after the date of filing. However, Rule 19b-4(f)(6)(iii)
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
The Exchange proposes to extend the implementation timeframe for adopting
The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
The purpose of the proposal is to extend the implementation of the timeframe for the Exchange's amendments to BX's Rules at Chapter VII, Section 6(f) entitled “Market Maker Quotations.”
By way of background, the risk protections provided for in Chapter VII, Section 6(f) are intended to assist BX Market Makers in controlling their trading risks.
The Exchange believes that its proposal is consistent with Section 6(b) of the Act
The delay of the implementation of BX Rules at Chapter VII, Section 6(f) will permit the Exchange an additional thirty days within which to implement these risk protections that will be utilized by BX Market Makers.
The Exchange does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. With respect to the risk protections, the proposal will not impose a burden on intra-market or inter-market competition; rather it provides BX Market Makers with the opportunity to avail themselves of similar risk tools that are currently available on other exchanges.
The delay of the implementation of BX Rules at Chapter VII, Section 6(f) will permit the Exchange additional time to implement these risk protections that will be utilized by BX Market Makers.
No written comments were either solicited or received.
Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) by its terms, become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
The Exchange proposes to update the public disclosure of the sources of data that PHLX utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes through the inclusion of the National Stock Exchange (“NSX”).
The text of the proposed rule change is below. Proposed new language is italicized.
The PSX System utilizes the below proprietary and network processor feeds [utilized by the System] for the handling, routing, and execution of orders, as well as for the regulatory compliance processes related to those functions. The Secondary Source of data is,
(b) Not applicable.
(c) Not applicable.
The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
The Exchange proposes to update and amend the table in Exchange Rule 3304 that sets forth on a market-by-market basis the specific network processor and proprietary data feeds that the Exchange utilizes for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions.
Specifically, the table will be amended to include National Stock Exchange (“NSX”), which has informed the UTP Securities Information Processor (“UTP SIP”) that, subject to regulatory approval, it is projecting to reactivate its status as an operating participant for quotation and trading of NASDAQ-listed securities under the Unlisted Trading Privileges (“UTP”) Plan on or about August 31, 2015. The other changes to the table merely reflect updates to mirror the current network processor and proprietary data feeds utilized by the Exchange for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions.
The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Act,
The Exchange believes that its proposal to update the table in Exchange Rule 3304 to make certain it is current, as well as to amend the table to include NSX, would ensure that Exchange Rule 3304 correctly identifies and publicly states on a market-by-market basis all of the specific network processor and proprietary data feeds that the Exchange utilizes for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions, and that the proposed rule change removes impediments to and perfects the mechanism of a free and open market and protects investors and the public interest because it provides additional specificity, clarity and transparency.
The Exchange does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act, as amended. To the contrary, the Exchange believes the proposal would enhance competition because including all of the exchanges enhances transparency and enables investors to better assess the quality of the Exchange's execution and routing services.
No written comments were either solicited or received.
Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A)
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly.
All submissions should refer to File Number SR-Phlx-2015-70 and should be submitted on or before September 3, 2015.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1)
The Exchange proposes to amend Rule 961 to establish Exchange rules governing the give up of a Clearing Member by ATP Holders and proposes conforming changes to Rules 960 and 954NY. The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.
The Exchange proposes to amend Rule 961 to establish Exchange rules governing the “give up” of a Clearing Member
By way of background, to enter transactions on the Exchange, an ATP Holder must either be a Clearing Member or must have a Clearing Member agree to accept financial responsibility for all of its transactions. Specifically, Rule 961 provides that every Clearing Member will be responsible for the clearance of Exchange option transactions of ATP Holder that gives up the Clearing Member's name in an Exchange option transaction, provided the clearing member has authorized such member or member organization to give up its name with respect to Exchange option transactions.
The Exchange proposes to amend current Rule 961 by replacing the current rule text
Specifically, amended Rule 961 would introduce and define the term “Designated Give Up” as any Clearing Member that an ATP Holder (other than a Market Maker
The Exchange notes that, as proposed, an ATP Holder may designate any Clearing Member as a Designated Give Up. Additionally, there would be no minimum or maximum number of Designated Give Ups that an ATP Holder must identify. The Exchange would notify a Clearing Member, in writing and as soon as practicable, of each ATP Holder that has identified it as a Designated Give Up. The Exchange, however, would not accept any instructions, and would not give effect to any previous instructions, from a Clearing Member not to permit an ATP Holder to designate the Clearing Member as a Designated Give Up. Further, the Exchange notes that there is no subjective evaluation of an ATP Holder's list of proposed Designated Give Ups by the Exchange. Rather, the Exchange proposes to process each list as submitted and ensure that the Clearing Members identified as Designated Give Ups are in fact current Clearing Members, as well as confirm that the Notification Forms are complete (
As amended, Rule 961 would also define the term “Guarantor” as a Clearing Member that has issued a Letter of Guarantee or Letter of Authorization for the executing ATP Holder, pursuant to Rules of the Exchange
As noted above, amended Rule 961 would provide that an ATP Holder may give up only (i) the name of a Clearing Member that has previously been identified and processed by the Exchange as a Designated Give Up for that ATP Holder, if not a Market Maker or (ii) its Guarantor.
The Exchange proposes in paragraph (e) of amended Rule 961 that a Designated Give Up and a Guarantor may, in certain circumstances, determine not to accept a trade on which its name was given up. If a Designated Give Up or Guarantor determines not to accept a trade, the proposed Rule would provide that it may reject the trade in accordance with the procedures described more fully below under “Procedures to Reject a Trade.”
As proposed, a Designated Give Up may determine to not accept a trade on which its name was given up so long as it believes in good faith that it has a valid reason not to accept the trade and follows the procedures to reject a trade in proposed paragraph (f) of the amended Rule.
The Exchange also proposes to provide that a Guarantor may opt to not accept (and thereby reject) a non-Market Maker trade on which its name was given up, provided that the following steps are completed: (i) Another Clearing Member agrees to be the give up on the trade; (ii) that other Clearing Member has notified both the Exchange and executing ATP Holder in writing of its intent to accept the trade; and (iii) the procedures in Rule 961(f) are
The Exchange notes that only a Designated Give Up or Guarantor whose name was initially given up on a trade is permitted to reject the trade, subject to the conditions noted above. The Clearing Member or Guarantor that becomes the give up on a rejected trade may not also reject the trade.
The Exchange proposes to include in amended Rule 961 procedures that must be followed and completed in order for a Designated Give Up or Guarantor
As proposed, a Guarantor may only reject a non-Market Maker trade for which its name was the initial give up by an ATP Holder, if another Clearing Member has agreed to be the give up on the trade and has notified the Exchange and executing ATP Holder in writing of its intent to accept the trade. If a Guarantor of an ATP Holder decides to reject a trade on the trade date, it must follow the same procedures to change the give up as would be followed by a Designated Give Up. The ability to make any changes, either by the Designated Give Up or Guarantor, to the give up pursuant to this procedure would end at the Trade Date Cutoff Time.
Finally, once the give up on a trade has been changed, the Designated Give Up or Guarantor making the change must immediately thereafter notify in writing the Exchange, the parties to the trade and the Clearing Member given up of the change.
As proposed, a trade may only be rejected on (i) the trade date or (ii) the business day following the trade date (“T+1”) (except that transactions in expiring options series on the last trading day prior to expiration may not be rejected on T+1).
If, on the trade date, a Designated Give Up decides to reject a trade, or another Clearing Member agrees to be the give up on a trade for which a Guarantor's name was given up, the Exchange proposes that the rejecting Designated Give Up or Guarantor must notify, in writing, the executing ATP Holder or its designated agent, as soon as possible and attempt to resolve the disputed give up. This requirement puts the executing ATP Holder on notice that the give up on the trade may be changed and provides the executing ATP Holder and Designated Give Up or Guarantor an opportunity to resolve the dispute. The Exchange notes that a Designated Give Up or Guarantor may request from the Exchange the contact information of the executing ATP Holder or its designated agent for any trade it intends to reject.
Following notification to the executing ATP Holder on the trade date, a Designated Give Up or Guarantor may request the ability from the Exchange to change the give up on the trade, in a form and manner prescribed by the Exchange (“Give-Up Change Form”). A copy of the proposed Give-Up Change Form is included with this filing in Exhibit 3. Provided that the Exchange is able to process the request prior to the trade input cutoff time established by the OCC (or the applicable later time if the Exchange receives and is able to process a request to extend its time of final trade submission to the OCC) (“Trade Date Cutoff Time”), the Exchange would provide the Designated Give Up or Guarantor the ability to make the change to the give up on the trade to either (1) another Clearing Member or, as applicable, (2) the executing ATP Holder's Guarantor.
The Exchange acknowledges that some clearing firms may not reconcile their trades until after the Trade Date Cutoff Time. A clearing firm, therefore, may not realize that a valid reason exists to not accept a particular trade until after the close of the trading day or until the following morning. Accordingly, the Exchange proposes to establish a procedure for a Designated Give Up or Guarantor of an ATP Holder that is not a Market Maker to reject a trade on the following trade day (“T+1”).
Consistent with amended Rule 961(f), a Designated Give Up or Guarantor
In addition, once any change to the give up has been made, the Designated Give Up or Guarantor making the change would be required to immediately thereafter notify, in writing, the Exchange, the parties to the trade and the Clearing Member given up, of the change.
As discussed above, the Exchange proposes to allow ATP Holders that are not Market Makers to identify any Clearing Member as a Designated Give Up. The Exchange's proposal does not permit a Clearing Member to provide the Exchange instructions to prohibit a particular ATP Holder from giving up the Clearing Member's name. This limitation prevents the Exchange from being placed in the position of arbiter among a Clearing Member, an ATP Holder and a customer. The Exchange recognizes, however, that ATP Holders should not be given the ability to give up any Clearing Member without also providing a method of recourse to those Clearing Members which, for the prescribed reasons discussed above,
The Exchange proposes to modify the text of Rule 954NY(a), related to the give up requirement for ATP Holders, to simply cross reference Rule 961 given the detailed give up process proposed by the Exchange in that Rule.
The Exchange also proposes in paragraph (g) of amended Rule 961 three scenarios in which a give up on a transaction may be changed without Exchange involvement. First, if an executing ATP Holder has the ability through an Exchange system to do so, it could change the give up on a trade to another Designated Give Up or its Guarantor. The Exchange notes that ATP Holders often make these changes when, for example, there is a keypunch error (
Next, the modified rule would provide that, if a Designated Give Up has the ability to do so, it may change the give up on a transaction for which it was given up to (i) another Clearing Member affiliated with the Designated Give Up or (ii) a Clearing Member for which the Designated Give Up is a back office agent. The ability to make such a change would end at the Trade Date Cutoff Time. The procedures to reject a trade, as set forth in proposed subparagraph (f) of Rule 961 and described above, would not apply in these instances. The Exchange notes that often Clearing Members themselves have the ability to change a give up on a trade for which it was given up to another Clearing Member affiliate or Clearing Member for which the Designated Give Up is a back office agent. Therefore, Exchange involvement in these instances is not necessary.
In addition, the proposed rule provides that if both a Designated Give Up or Guarantor and a Clearing Member have the ability through an Exchange system to do so, the Designated Give Up or Guarantor and Clearing Member may each enter trade records into the Exchange's systems on T+1 that would effect a transfer of the trade in a non-expired option series from that Designated Give Up to that Clearing Member. Likewise, if a Guarantor of an ATP Holder trade (that is not a Market Maker trade) and a Clearing Member have the ability through an Exchange system to do so, the Guarantor and Clearing Member may each enter trade records into the Exchange's systems on T+1 that would effect a transfer of the trade in a non-expired option series from that Guarantor to that Clearing Member. The Designated Give Up or Guarantor could not make any such change after the T+1 Cutoff Time. The Exchange notes that a Designated Give Up (or Guarantor) must notify, in writing, the Exchange and all the parties to the trade, of any such change made pursuant to this provision. This notification alerts the parties and the Exchange that a change to the give up has been made. Finally, the Designated Give Up (or Guarantor) would be responsible for monitoring the trade and ensuring that the other Clearing Member has entered its side of the transaction timely and correctly. If either a Designated Give Up (or Guarantor) or Clearing Member cannot themselves enter trade records into the Exchange's systems to effect a transfer of the trade from one to the other, the Designated Give Up (or Guarantor) may request the ability from the Exchange to enter both sides of the transaction in accordance with amended Rule 961 and pursuant to the procedures set forth in subparagraph (f)(3) of that Rule.
The Exchange proposes in paragraph (h) of amended Rule 961 to state that a Clearing Member would be financially responsible for all trades for which it is the give up at the Applicable Cutoff Time (for purposes of the proposed rule, the “Applicable Cutoff Time” shall refer to the T+1 Cutoff Time for non-expiring option series and to the Trade Date Cutoff Time for expiring option series). The Exchange notes, however, that nothing in the proposed rule shall preclude a different party from being responsible for the trade outside of the Rules of the Exchange pursuant to OCC Rules, any agreement between the applicable parties, other applicable rules and regulations, arbitration, court proceedings or otherwise.
The Exchange notes that given the inherent time constraints in making a change to a give up on a transaction, the Exchange would not be able to adequately consider the above-mentioned requirements and make a determination within the prescribed period of time. Rather, the Exchange would examine trades for which a give up was changed pursuant to subparagraphs (e) and (f) after the fact to ensure compliance with the requirements set forth in amended Rule 961. Particularly, the Exchange notes that the give up Change Forms that Designated Give Ups, Guarantors and New Clearing Members must submit, would help to ensure that the Exchange obtains, in a uniform format, the information that it needs to monitor and regulate this Rule and these give up changes in particular. This information, for example, would better allow the Exchange to determine whether the Designated Give Up had a valid reason to reject the trade, as well as assist the Exchange in cross checking and confirming that what the Designated Give Up or Guarantor said it was going to do is what it actually did (
Finally, the Exchange proposes to eliminate as obsolete the reference in Rule 960 requiring that “[a]ll option transactions involving orders stored in the Opening Automated Report Service shall be cleared and compared in accordance with the provisions of Rule 950(m) and Commentary thereto,”
The Exchange proposes to announce the implementation of the proposed rule change via Trader Update, to be published no later than thirty (30) days following the effectiveness of this proposal. The implementation date will be no sooner than fourteen (14) day and no later than thirty (30) days following publication of the Trader Update. This additional time would afford the Exchange and ATP Holders the time to submit and process the forms required under the proposed rule.
The Exchange believes that the proposed change is consistent with Section 6(b) of the Act,
First, detailing in the rules how ATP Holders would give up Clearing Members and how Clearing Members may “reject” a trade provides transparency and operational certainty. The Exchange believes additional transparency removes a potential impediment to, and would contribute to perfecting, the mechanism for a free and open market and a national market system, and, in general, would protect investors and the public interest. Moreover, the Exchange notes that amended Rule 961 requires ATP Holders to adhere to a standardized process to ensure a seamless administration of the Rule. For example, all notifications relating to a change in give up must be made in writing. The Exchange believes that these requirements will aid the Exchange's efforts to monitor and regulate ATP Holders and Clearing Members as they relate to amended Rule 961 and changes in give ups, thereby protecting investors and the public interest.
Additionally, the Exchange believes that its proposed give up rule strikes the right balance between the various views and interests of market participants. For example, although the rule allows ATP Holders that are not Market Makers to identify any Clearing Member as a Designated Give Up, it also provides that ATP Holders would receive notice of any ATP Holder that has designated it as a Designated Give Up and provides for a procedure for a Clearing Member to “reject” a trade in accordance with the Rules, both on the trade date and T+1.
The Exchange recognizes that ATP Holders should not be given the ability to give up any Clearing Members without also providing a method of recourse to those Clearing Members which, for the prescribed reasons discussed above, should not be obligated to clear certain trades for which they are given up. The Exchange believes that providing Designated Give Ups the ability to reject a trade within a reasonable amount of time is consistent with the Act as, pursuant to the proposed rule, the Designated Give Ups may only do so if they have a valid reason and because ultimately, the trade can always be assigned to the Guarantor of the executing ATP Holder if a New Clearing Firm is not willing to step in and accept the trade. A trade must clear with a clearing firm and there must be finality to the trade. Absent a New Clearing Member that agrees to accept the trade, the Exchange believes that the executing ATP Holder's Guarantor, should become the give up on any trade that a Designated Give Up determines to reject, in accordance with the proposed rule provisions, because the Guarantor, by virtue of having issued a Letter of Guarantee or Letter of Authorization, has already accepted financial responsibility for all Exchange transactions made by the executing ATP Holder. Therefore, amended Rule 961 is reasonable and provides certainty that a Clearing Member will always be responsible for a trade, which protects investors and the public interest.
The Exchange notes that amended Rule 961 does not preclude a different party than the party given up from being
Further, the Exchange notes that the Rule does not preclude these factors from being considered in a different forum (
Finally, the Exchange believes that making non-substantive, technical corrections to the rule text (
The Exchange does not believe that this proposed rule change would impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. The Exchange does not believe that the proposed rule change would impose an unnecessary burden on intramarket competition because it would apply equally to all similarly situated ATP Holders. The Exchange also notes that, should the proposed changes make the Exchange more attractive for trading, market participants trading on other exchanges can always elect to become ATP Holders on the Exchange to take advantage of the trading opportunities. In addition, as noted above, the Exchange believes the proposed rule change is pro-competitive and would allow the Exchange to compete more effectively with other options exchanges that have already adopted changes to their give up process that are substantially identical to the changes proposed by this filing.
No written comments were solicited or received with respect to the proposed rule change.
Because the proposed rule change does not (i) significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act
A proposed rule change filed under Rule 19b-4(f)(6)
At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B)
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
On April 30, 2015, EDGX Exchange, Inc. (“EDGX” or “Exchange”) filed with the Securities and Exchange Commission (the “Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
The Commission received three comments letters regarding the proposal and the Exchange's Response thereto.
Another commenter stated that it opposes any priority model for an options exchange other than price-time priority.
In response to the commenters' concerns, EDGX notes that both the ISE Letter and the Hardcastle Letter “raised concerns with proposed paragraph (f)(2) of proposed [EDGX Options] Rule 21.8, which would have provided a small size order . . . allocation to Directed Market Makers . . . .”
After careful review of the proposal, as modified by Amendment Nos. 1, 2,
This discussion does not review every detail of the proposal, but focuses on the most significant rules and policy issues considered in review of the proposal.
EDGX Options will operate an electronic trading system for trading options (“System”) that will provide for the electronic display and execution of orders.
Among other things, each Options Member must be registered as a broker-dealer and have as the principal purpose of being an Options Member the conduct of a securities business, which shall be deemed to exist if and so long as: (1) The Options Member has qualified and acts in respect of its business on EDGX Options as either an OEF or an Options Market Maker or both; and (2) all transactions effected by the Options Member are in compliance with Section 11(a) of the Act
OEFs are Options Members representing customer orders as agent on EDGX Options or non-market maker participants conducting proprietary trading as principal.
In addition, the Exchange may appoint one Primary Market Maker per option class.
The Commission finds that the Options Market Maker qualification requirements are consistent with the Act and notes that they are similar to those of other options exchanges.
The Exchange's options trading system will leverage the Exchange's current technology, including its customer connectivity, messaging protocols, quotation and execution engine, order router, data feeds, and network infrastructure. As a result, the EDGX Options Exchange will closely resemble the Exchange's affiliate, BZX Options, with the exception of the proposed priority model and certain other limited differences.
Options Members will be able to enter the following types of orders into the System: Limit Orders;
All trading interest on the System will be automatically executable. The System shall execute trading interest within the System in price priority, meaning it will execute all trading interest at the best price level within the System before executing trading interest at the next best price. After considering price priority, all orders will be matched according to pro-rata priority. In addition, Customer, Primary Market Maker and/or Directed Market Maker priority overlays are also available at the Exchange's discretion on a class-by-class basis.
After executions resulting from the priority overlays, orders and quotes within the System for the accounts of non-Customers, including Professional Customers, have next priority.
The Exchange notes that a Directed Market Maker will have to be quoting at or improving the NBBO at the time the order is received to capitalize on the participation entitlement and will only receive a participation entitlement at one such price point. The Directed Market Maker must be publicly quoting at that price when the order is received. In this regard, the proposal prohibits an order flow provider from notifying a Directed Market Maker regarding its intention to submit a Directed Order so that such Directed Market Maker could change its quotation immediately prior to submission of the directed order. The Exchange believes the proposed rules provide the necessary protections against coordinated action as between a Directed Market Maker and an order entry firm.
Any incoming order designated with a Match Trade Prevention (“MTP”) modifier will be prevented from executing against a resting opposite side order also designated with an MTP modifier and originating from the same market participant identifier (“MPID”), Exchange Member identifier, trading group identifier, or Exchange Sponsored Participant identifier.
The Commission believes that EDGX Options' proposed execution priority rules and order types are consistent with the Act, and in particular, with the requirements in Section 6(b)(5) of the Act, which requires an exchange's rules be, among other things, designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest, and are not designed to permit unfair discrimination between customers, issuers, brokers, or dealers.
The Commission notes that a Directed Market Maker on EDGX Options will have to be quoting at, or better than, the NBBO at the time a Directed Order is received in order to obtain the guarantee. The Commission believes that it is critical that a Directed Market Maker must not be permitted to step up and match the NBBO after it receives a directed order in order to receive the participation entitlement. In this regard, the Exchange's proposal prohibits notifying a Directed Market Maker of an intention to submit a Directed Order so that such Directed Market Maker could change its quotation to match the NBBO immediately prior to submission of the Directed Order, and then fade its quote.
The Commission further finds that EDGX Options' proposed trading rules are consistent with the requirements of the Options Order Protection and Locked/Crossed Market Plan (“Linkage Plan”). Specifically, subject to the exceptions contained in proposed EDGX Options Rules, Chapter XXVII, the System will ensure that an order is not executed at a price that trades through another options exchange.
Proposed EDGX Options Rules, Chapter XXII, Rule 22.12, prohibits Options Members from executing, as principal, orders they represent as agent unless the agency order is first exposed on EDGX Options for at least one second or the Options Members has been bidding or offering on EDGX Options for at least one second prior to receiving an agency order that is executable against such bid or offer.
The Commission believes that in the electronic environment of EDGX Options, a one second exposure period could facilitate the prompt execution of orders while continuing to provide Options Members with an opportunity to compete for exposed bids and offers. In addition, the EDGX Options System is based upon technology and functionality currently approved for use in the Exchange's equities trading system and the Exchange's affiliate, BZX Options and this order exposure requirement is comparable to that which currently applies on other registered options exchanges.
The System will determine a single price at which a particular option series will be opened (the “Opening Price”) as calculated by the System within 30 seconds of the first transaction on the primary listing market after 9:30 a.m. Eastern Time in the securities underlying the options as reported on the first print disseminated pursuant to an effective national market system plan (“First Listing Market Transaction') or immediately after a halt in an option series due to the primary listing market for the applicable underlying security declaring a regulatory trading halt, suspension, or pause with respect to such security (“Regulatory Halt”) has been lifted.
Specifically, EDGX Options will accept market and limit orders and quotes for inclusion in the opening process (the “Opening Process”) beginning at 8:00 a.m. Eastern Time or immediately upon trading being halted in an option series due Regulatory Halt) and will continue to accept market and limit orders and quotes until such time as the Opening Process is initiated in that option series (the “Order Entry Period”), other than index options.
After establishing an Opening Price,
The Commission believes that the proposed EDGX Options Rules regarding the opening of trading on EDGX Options are reasonably designed to provide for an orderly opening and are consistent with the Act. The Commission further believes that the procedure for re-opening trading in an option following the conclusion of a trading halt in the underlying security is reasonably designed to provide for an orderly re-opening of trading in the option and is consistent with the Act.
EDGX Options Members may designate orders to be routed to another options exchange when trading interest is not available on EDGX Options or to execute only on the Exchange. The Exchange proposed that its routing functionality will be limited to only routing System securities, which are options listed for trading on EDGX Options.
The Exchange will route options orders via BATS Trading, Inc. (“BATS Trading”), which serves as the Outbound Router of the Exchange, as defined in Rule 2.11.
Pursuant to Rule 2.11, BATS Trading is required to be a member of an SRO unaffiliated with EDGX that is its designated examining authority, and BATS Trading is required to establish and maintain procedures and internal controls reasonably designed to restrict the flow of confidential and proprietary information between EDGX and its facilities, including BATS Trading, and any other entity.
In the event the Exchange is not able to provide order routing services through its affiliated broker-dealer, the Exchange will route orders to other options exchanges in conjunction with one or more routing brokers that are not affiliated with the Exchange (“Routing Services”).
The Exchange may not use a routing broker for which the Exchange or any affiliate of the Exchange is the designated examining authority.
Use of BATS Trading or the Routing Services to route orders to other market centers is optional.
In light of these protections, for both the use of BATS Trading or an unaffiliated router, the Commission believes that the EDGX Options rules and procedures regarding the use of BATS Trading or an unaffiliated router to route order to away exchanges are consistent with the Act.
The Exchange is proposing to apply the following minimum quoting increments: (1) If the option price is less than $3.00, five (5) cents; and (2) if the option price is $3.00 or higher, ten (10) cents.
The Commission believes that the Exchange's proposed minimum quoting and trading increments, including its proposal to commence quoting pursuant to the Pilot Program, which are consistent with the rules of the other options exchanges,
The Exchange proposes to adopt initial and continued listing standards for equity and index options traded on EDGX Options that are substantially similar to the listing standards adopted by other options exchanges.
The Exchange represented that it will operate as a participant in various national market system plans for options trading established under Section 11A of the Act.
According to the Exchange, the Exchange will regulate EDGX Options using the Exchange's existing regulatory structure. The Exchange's Chief Regulatory Officer will have general supervision of the regulatory operations of EDGX Options, including responsibility for overseeing the surveillance, examination, and enforcement functions and for administering all regulatory services agreements applicable to EDGX Options.
As members of the Exchange, the Exchange's existing rules governing members will apply to Options Members and their associated persons. The Exchange's By-laws provide that it has disciplinary jurisdiction over its members, including Options Participants, so that it can enforce its members' compliance with its rules and the federal securities laws.
Moreover, the Exchange will: (1) Join the existing options industry agreements pursuant to Section 17(d) of the Act; (2) amend, as necessary, the Exchange's existing Regulatory Services Agreement (“RSA”) with FINRA to cover many aspects of the regulation and discipline of the Exchange's Options Members that participate in options trading on EDGX Options; (3) perform options listing regulation, as well as authorize Options Members to trade on EDGX Options; and (4) perform automated surveillance of trading on EDGX Options for the purpose of maintaining a fair and orderly market at all times.
In addition, the Exchange will oversee the process for determining and implementing trading halts, identifying and responding to unusual market conditions, and administering the Exchange's process for identifying and remediating “obvious errors” by and among its Options Members.
The Commission finds that the Exchange's proposed rules and regulatory structure with respect to EDGX Options are consistent with the requirements of the Act, and in particular with Section 6(b)(1) of the Act, which requires an exchange to be so organized and have the capacity to be able to carry out the purposes of the Act and to comply, and to enforce compliance by its members and persons associated with its members, with the Act and the rules and regulations thereunder, and the rules of the Exchange,
Currently, the Exchange and FINRA are parties to an existing RSA, pursuant to which FINRA personnel operate as agents for the Exchange in performing certain functions. The Exchange represented that it intends to amend the existing RSA in order to capture certain aspects of regulation specifically applicable to EDGX Options and the regulation and discipline of Options Members.
The Commission believes that it is consistent with the Act to allow the Exchange to contract with FINRA to perform functions relating to the regulation and discipline of members and the regulation of EDGX Options.
As noted, unless relieved by the Commission of its responsibility,
Rule 17d-2 under the Act permits SROs to file with the Commission plans under which the SROs allocate among each other the responsibility to receive regulatory reports from, and examine and enforce compliance with specified provisions of the Act and rules thereunder and SRO rules by, firms that are members of more than one SRO (“common members”). If such a plan is declared effective by the Commission, an SRO that is a party to the plan is relieved of regulatory responsibility as to any common member for whom responsibility is allocated under the plan to another SRO.
Pursuant to Rule 17d-2 under the Act, all of the options exchanges, FINRA, and the New York Stock Exchange LLC (“NYSE”) have entered into the Options Sales Practices Agreement, a Rule 17d-2 Agreement, which allocates to certain SROs (“examining SROs”) regulatory responsibility for common members with respect to certain options-related sales practice matters.
Moreover, pursuant to Rule 17d-2 under the Act, all of the options exchanges and FINRA have entered into the Options Related Market Surveillance Agreement, which allocates regulatory responsibility for certain options-related market surveillance matters among the participants.
The Commission approved the EDGX Exchange's Minor Rule Violation Plan (“MRVP”) in 2010.
The Exchange proposes to amend its MRVP and Rule 8.15, Interpretation and Policy .01 to include proposed Rule 25.3 (Penalty for Minor Rule Violations).
The Commission notes that the rules included in proposed Rule 25.3 are similar to rules included in the MRVPs of other options exchanges.
The Commission also finds that the proposal to include the provisions in proposed EDGX Options Rule 25.3 in EDGX's MRVP is consistent with the public interest, the protection of investors, or otherwise in furtherance of the purposes of the Act, as required by Rule 19d-1(c)(2) under the Act,
In approving the proposed change to the Exchange's MRVP, the Commission in no way minimizes the importance of compliance with the Exchange's rules and all other rules subject to the imposition of fines under the Exchange's MRVP. The Commission believes that the violation of any SRO rules, as well as Commission rules, is a serious matter. However, the Exchange's MRVP provides a reasonable means of addressing rule violations that do not rise to the level of requiring formal disciplinary proceedings, while providing greater flexibility in handling certain violations. The Commission expects that the Exchange will continue to conduct surveillance with due diligence and make a determination based on its findings, on a case-by-case basis, whether a fine of more or less than the recommended amount is appropriate for a violation under the Exchange's MRVP or whether a violation requires a formal disciplinary action.
Section 11(a)(1) of the Act
In a letter to the Commission, the Exchange requests that the Commission concur with the Exchange's conclusion that Options Members that enter orders into the System satisfy the requirements of Rule 11a2-2(T).
The Rule's first condition is that orders for covered accounts be transmitted from off the exchange floor. The System will receive orders electronically through remote terminals or computer-to-computer interfaces. In the context of other automated trading systems, the Commission has found that the off-floor transmission requirement is met if a covered account order is transmitted from a remote location directly to an exchange's floor by electronic means.
Second, the Rule requires that the member not participate in the execution of its order once it has been transmitted to the member performing the execution. The Exchange represented that at no time following the submission of an order is an Options Members able to acquire control or influence over the result or timing of an order's execution.
Third, Rule 11a2-2(T) requires that the order be executed by an exchange member who is unaffiliated with the member initiating the order. The Commission has stated that this requirement is satisfied when automated exchange facilities are used, as long as the design of these systems ensures that members do not possess any special or unique trading advantages in handling their orders after transmitting them to the exchange.
Fourth, in the case of a transaction effected for an account with respect to which the initiating member or an associated person thereof exercises investment discretion, neither the initiating member nor any associated person thereof may retain any compensation in connection with effecting the transaction, unless the person authorized to transact business for the account has expressly provided otherwise by written contract referring to Section 11(a) of the Act and Rule 11a2-2(T)(a)(2)(iv).
The Exchange proposes to incorporate by reference as EDGX Options Rules certain rules of the CBOE, NYSE, and FINRA.
Using its authority under Section 36 of the Act, the Commission previously exempted certain SROs from the requirement to file proposed rule changes under Section 19(b) of the Act.
The Commission is granting the Exchange's request for exemption, pursuant to Section 36 of the Act, from the rule filing requirements of Section 19(b) of the Act with respect to the rules that the Exchange proposes to incorporate by reference into EDGX
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether Amendment Nos. 1 and 2 to the proposed rule change are consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
• Send an email to [email protected]. Please include File Number SR-EDGX-2015-18 on the subject line.
• Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
The Commission finds good cause to approve the proposed rule change, as modified by Amendment Nos. 1, 2, and 3
Although the Commission's approval of the proposed rule change is final, and the proposed rules are therefore effective, it is further ordered that the operation of EDGX Options is conditioned on the satisfaction of the requirements below:
A.
B.
C.
D.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
The Exchange proposes to update Exchange Rule 4759 and to amend the public disclosure of the sources of data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing; and (3) related compliance processes.
The text of the proposed rule change is below. Proposed new language is in italics; proposed deletions are bracketed.
The BX System utilizes the below proprietary and network processor feeds [utilized by the System] for the handling, routing, and execution of orders, as well as for the regulatory compliance processes related to those functions. The Secondary Source of data is
(b) Not applicable.
(c) Not applicable.
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
The Exchange proposes to update and amend the table in Exchange Rule 4759 that sets forth on a market-by-market basis the specific network processor and proprietary data feeds that the Exchange utilizes for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions.
Specifically, the table will be amended to include National Stock Exchange (“NSX”), which has informed the UTP Securities Information Processor (“UTP SIP”) that, subject to regulatory approval, it is projecting to reactivate its status as an operating participant for quotation and trading of NASDAQ-listed securities under the Unlisted Trading Privileges (“UTP”) Plan on or about August 31, 2015. The other changes to the table merely reflect updates to mirror the current network processor and proprietary data feeds utilized by the Exchange for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions.
The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Act,
The Exchange believes that its proposal to update the table in Exchange Rule 4759 to make certain it is current, as well as to amend the table to include NSX, would ensure that Exchange Rule 4759 correctly identifies and publicly states on a market-by-market basis all of the specific network processor and proprietary data feeds that the Exchange utilizes for the handling, routing, and execution of orders, and for performing the regulatory compliance checks related to each of those functions, and that the proposed rule change removes impediments to and perfects the
The Exchange does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act, as amended. To the contrary, the Exchange believes the proposal would enhance competition because including all of the exchanges enhances transparency and enables investors to better assess the quality of the Exchange's execution and routing services.
No written comments were either solicited or received.
Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A)
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly.
All submissions should refer to File Number SR-BX-2015-048 and should be submitted on or before September 3, 2015.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
The Exchange proposes to amend the Exchange's transaction fees at Chapter XV, Section 2 entitled “NASDAQ Options Market—Fees and Rebates,” which governs pricing for NASDAQ members using the NASDAQ Options Market (“NOM”), NASDAQ's facility for executing and routing standardized equity and index options.
While the changes proposed herein are effective upon filing, the Exchange has designated such changes to become operative on August 3, 3015.
The text of the proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of
The Exchange proposes to expand eligibility for one of the incentives under the Penny Pilot Options Rebates to Add Liquidity. The Penny Pilot was established in March 2008 and has since been expanded and extended through June 30, 2016.
The Exchange is proposing to expand eligibility for one of the incentives applicable to Tier 8 Customer Penny Pilot Options Rebate to Add Liquidity. The Tier 8 Customer and Professional Penny Pilot Options Rebate to Add Liquidity is currently $0.48 per contract if Participants add Customer, Professional, Firm,
Participants that qualify for the Tier 8 rebate
The Exchange is proposing to expand eligibility for this additional incentive under the Tier 8 Customer rebate by amending the qualification as follows: “Participants that add Customer, Professional, Firm, Non-NOM Market Maker and/or Broker-Dealer liquidity in Penny Pilot Options and/or Non- Penny Pilot Options of
The Exchange expects that expanded eligibility for this incentive will encourage Participants to add greater liquidity to NOM. While the changes proposed herein are effective upon filing, the Exchange has designated such changes to become operative on August 3, 3015.
NASDAQ believes that the proposed rule change is consistent with the provisions of Section 6 of the Act,
The Exchange's proposal to expand incentive eligibility is reasonable because it will incentivize Participants to add liquidity in Penny Pilot Options and/or Non-Penny Pilot Options. Participants that qualify for the Tier 8 rebate may choose to add greater liquidity to NOM because of the lower percentage qualifier (1.25% to 1.15%) to obtain the additional $0.02 per contract Customer rebate.
The Exchange's proposal to expand incentive eligibility is equitable and not unfairly discriminatory because all eligible Participants may qualify for the Tier 8 Customer Penny Pilot Options Rebate to Add Liquidity, provided they have the requisite volume. The added $0.0.2 per contract incentive will be uniformly paid in addition to the Tier 8 rebate. Customer liquidity is critically important to the market and all market participants. Greater customer liquidity benefits all market participants by providing more trading opportunities, which attracts market makers. An increase in the activity by market makers in turn facilitates tighter spreads and further order flow.
The proposed rule change will not impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. The proposed expanded incentive will incentivize market participants to add greater liquidity on NOM to obtain the added $0.02 per contract Customer rebate. Customer liquidity is critically important to the market and benefits all market participants. Greater customer liquidity benefits all market participants by providing more trading opportunities and attracting greater participation by specialists and market makers. An increase in the activity of these market participants in turn facilitates tighter spreads. All Participants are eligible for the rebates if they transact the requisite volume.
The Exchange operates in a highly competitive market in which many sophisticated and knowledgeable market participants can readily and do send order flow to competing exchanges if they deem fee levels or rebate incentives at a particular exchange to be excessive or inadequate. These market forces ensure that the Exchange's fees and rebates remain competitive with the fee structures at other trading platforms.
No written comments were either solicited or received.
The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act.
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),
FINRA is proposing to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) to extend the Tier Size Pilot, which currently is scheduled to expire on August 14, 2015, until December 11, 2015.
The text of the proposed rule change is available on FINRA's Web site at
In its filing with the Commission, FINRA included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. FINRA has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
FINRA proposes to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) (the “Rule”) to extend, until December 11, 2015, the amendments set forth in File No. SR-FINRA-2011-058 (“Tier Size Pilot” or “Pilot”), which currently are scheduled to expire on August 14, 2015.
The Tier Size Pilot was filed with the SEC on October 6, 2011,
The purpose of this filing is to extend the operation of the Tier Size Pilot until December 11, 2015, to provide FINRA with additional time to finalize its recommendation with regard to the Tier Size Pilot.
FINRA has filed the proposed rule change for immediate effectiveness. The operative date of the proposed rule change will be August 14, 2015.
FINRA believes that the proposed rule change is consistent with the provisions of Section 15A(b)(6) of the Act,
FINRA believes that the extension of the Tier Size Pilot until December 11, 2015, is consistent with the Act in that it would provide the Commission and FINRA with additional time to determine whether the pilot tiers should be made permanent.
FINRA does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act.
Written comments were neither solicited nor received.
Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act
A proposed rule change filed under Rule 19b-4(f)(6)
FINRA has asked the Commission to waive the 30-day operative delay so that the proposal may become operative immediately upon filing. The Commission believes that waiver of the operative delay is consistent with the protection of investors and the public interest because such waiver will allow the pilot program to continue without interruption. Therefore, the Commission designates the proposal operative upon filing.
At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
U.S. Small Business Administration.
Notice of open Federal Advisory Committee meeting.
The SBA is issuing this notice to announce the location, date, time, and agenda for the next meeting of the Advisory Committee on Veterans Business Affairs. The meeting will be open to the public.
Wednesday, September 9, 2015 from 9 a.m. to 12 p.m.
U.S. Small Business Administration, 409 3rd Street SW., Washington, DC 20416.
Pursuant to section 10(a) (2) of the Federal Advisory Committee Act (5 U.S.C., Appendix 2), SBA announces the meeting of the Advisory Committee on Veterans Business Affairs. The Advisory Committee on Veterans Business Affairs serves as an independent source of advice and policy recommendation to the Administrator of the U.S. Small Business Administration.
U.S. Small Business Administration.
Notice.
This is a Notice of the Presidential declaration of a major disaster for Public Assistance Only for the State of Northern Mariana Islands (FEMA-4235-DR), dated 08/05/2015.
Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155.
A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW., Suite 6050, Washington, DC 20416.
Notice is hereby given that as a result of the President's major disaster declaration on 08/05/2015, Private Non-Profit organizations that provide essential services of governmental nature may file disaster loan applications at the address listed above or other locally announced locations.
The following areas have been determined to be adversely affected by the disaster:
The Interest Rates are:
The number assigned to this disaster for physical damage is 14407E and for economic injury is 14408E.
U.S. Small Business Administration.
Notice
This is a Notice of the Presidential declaration of a major disaster for the State of Northern Mariana Islands (FEMA-4235-DR), dated 08/05/2015.
Physical Loan Application Deadline Date: 10/05/2015.
Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155.
A Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW., Suite 6050, Washington, DC 20416.
Notice is hereby given that as a result of the President's major disaster declaration on 08/05/2015, applications for disaster loans may be filed at the address listed above or other locally announced locations.
The following areas have been determined to be adversely affected by the disaster:
The Interest Rates are:
The number assigned to this disaster for physical damage is 144058 and for economic injury is 144060.
U.S. Small Business Administration.
Notice of open Federal Interagency Task Force Meeting.
This public meeting is to discuss recommendations identified by the Interagency Task Force (IATF) to further enable veteran entrepreneurship policy and programs. In addition, the Task Force will allow public comment regarding the focus areas.
Thursday, September 10, 2015, from 9 a.m. to noon.
SBA Headquarters, 409 3rd Street SW., Washington, DC 20416, in the Eisenhower Conference Room B, Concourse Level.
Pursuant to section 10(a) (2) of the Federal Advisory Committee Act (5 U.S.C., Appendix 2), SBA announces the meeting of the Interagency Task Force on Veterans Small Business Development. The Task Force is established pursuant to Executive Order 13540 and focused on coordinating the efforts of Federal agencies to improve capital, business development opportunities and pre-established Federal contracting goals for small business concerns owned and controlled by veterans (VOB's) and service-disabled veterans (SDVOSB'S). Moreover, the Task Force shall coordinate administrative and regulatory activities and develop proposals relating to “six focus areas”: (1) Access to capital (loans, surety bonding and franchising); (2) Ensure achievement of pre-established contracting goals, including mentor protégé and matching with contracting opportunities; (3) Increase the integrity of certifications of status as a small business; (4) Reducing paperwork and administrative burdens in accessing business development and entrepreneurship opportunities; (5) Increasing and improving training and counseling services; and (6) Making other improvements to support veteran's business development by the Federal government.
U.S. Small Business Administration.
Amendment 5.
This is an amendment of the Presidential declaration of a major disaster for Public Assistance Only for the State of Texas (FEMA-4223-DR), dated 05/29/2015.
Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155.
A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW., Suite 6050, Washington, DC 20416.
The notice of the President's major disaster declaration for Private Non-Profit organizations in the State of TEXAS, dated 05/29/2015, is hereby amended to include the following areas as adversely affected by the disaster.
All other information in the original declaration remains unchanged.
Federal Aviation Administration (FAA), DOT.
Request for public comment.
The FAA hereby provides notice of intent to release approximately 44.30 acres at the Orlando International Airport, Orlando, FL from the conditions, reservations, and restrictions as contained in a Quitclaim Deed agreement between the FAA and the City of Orlando, dated September 27,1976. The release of property will allow the City of Orlando to dispose of the property for other than aeronautical purposes. The property is located along the south side of SR 528 (Beachline), curves south at Semoran Blvd./Jeff Fuqua Blvd., and continues to an area located to the north of Boggy Creek Road within the Orlando International Airport. The parcels are currently designated as non-aeronautical use. The property will be released of its federal obligations to grant an easement for multimodal transportation corridor purposes. The fair market value of this parcel has been determined to be $12,549,000. Documents reflecting the Sponsor's request are available, by appointment only, for inspection at the Greater Orlando Aviation Authority at Orlando International Airport and the FAA Airports District Office.
Comments are due on or before September 14, 2015.
Documents are available for review at the Greater Orlando Aviation Authority at Orlando International Airport, and the FAA Airports District Office, 5950 Hazeltine National Drive, Suite 400, Orlando, FL 32822. Written comments on the Sponsor's request must be delivered or mailed to: Marisol C. Elliott, Program Manager, Orlando Airports District Office, 5950 Hazeltine National Drive, Suite 400, Orlando, FL 32822-5024.
Marisol C. Elliott, Program Manager, Orlando Airports District Office, 5950 Hazeltine National Drive, Suite 400, Orlando, FL 32822-5024.
Section 125 of The Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (AIR-21) requires the FAA to provide an opportunity for public notice and comment prior to the “waiver” or “modification” of a sponsor's Federal obligation to use certain airport land for non-aeronautical purposes.
Federal Aviation Administration, DOT.
Notice.
The Federal Aviation Administration (FAA) announces its determination that the Noise Exposure Maps submitted by the City of Fort Lauderdale for the Fort Lauderdale Executive Airport under the provisions of 49 U.S.C. 47501
Allan Nagy, Federal Aviation Administration, Orlando Airports District Office, 5950 Hazeltine National Drive, Suite 400, Orlando, FL, 32822, (407) 813-6331.
This notice announces that the FAA finds that the Noise Exposure Maps submitted for Fort Lauderdale Executive Airport are in compliance with applicable requirements of Title 14 Code of Federal Regulations (CFR) Part 150, effective August 7, 2015. Under 49 U.S.C. 47503 of the Aviation Safety and Noise Abatement Act (the Act), an airport operator may submit to the FAA Noise Exposure Maps which meet applicable regulations and which depict non-compatible land uses as of the date of submission of such maps, a description of projected aircraft operations, and the ways in which such operations will affect such maps. The Act requires such maps to be developed in consultation with interested and affected parties in the local community, government agencies, and persons using the airport. An airport operator who has submitted Noise Exposure Maps that are found by FAA to be in compliance with the requirements of 14 CFR part 150, promulgated pursuant to the Act, may submit a Noise Compatibility Program for FAA approval which sets forth the measures the airport operator has taken or proposes to take to reduce existing non-compatible uses and prevent the introduction of additional non-compatible uses.
The FAA has completed its review of the Noise Exposure Maps and accompanying documentation submitted by the City of Fort Lauderdale. The documentation that constitutes the “Noise Exposure Maps” as defined in 14 CFR § 150.7 includes: Section 4; Section 5; Figure 3.1— Permanent Noise Monitor Locations; Figure 4.1— 2015 Existing Conditions Noise Exposure Map; Figure 4.2— 2020 Five—Year Forecast Conditions Noise Exposure Map; Figure 4.3— Comparison of DNL Contours for 2015 Existing Conditions and 2002 Existing Conditions from the 2002 Part 150 Study; Figure 4.4— Airport Layout for Fort Lauderdale Executive Airport; Figure 4.5— Comparison of Jet Arrival Model Tracks to Radar Sample; Figure 4.6— Comparison of Jet Departure Model Tracks to Radar Sample; Figure 4.7— Comparison of Propeller Arrival Model Tracks to Radar Sample; Figure 4.8— Comparison of Propeller Departure Model Tracks to Radar Sample; Figure 4.9— Comparison of Pattern Model Tracks to Radar Sample; Figure 4.10— Comparison of Helicopter Model Tracks to Radar Sample; Table 1.1— Part 150 Noise Exposure Map Checklist; Table 2.1— Part 150 Noise/Land Use Compatibility Guidelines; Table 4.1— 2015 and 2020 NEM Operation by Aircraft Category; Table 4.2— 2015 Existing Conditions Average Annual Day Operations; Table 4.3— Forecast 2020 Average Annual Day Operations; Table 4.4— Estimated Existing and Future Run—up Operations; Table 4.5— Runway Dimensions; Table 4.6— Runway Use; Table 4.7— Arrival Track Utilization; Table 4.8— Departure Track Utilization; Table 4.9— Pattern Track Utilization; Table 4.10— Arrival Helicopter Track Utilization, and Table 4.11— Departure Helicopter Track Utilization. The FAA has determined that these Noise Exposure Maps and accompanying documentation are in compliance with applicable requirements. This determination is effective on August 7, 2015.
FAA's determination on the airport operator's Noise Exposure Maps is limited to a finding that the maps were developed in accordance with the
Copies of the full Noise Exposure Maps documentation and of the FAA's evaluation of the maps are available for examination by appointment at the following locations:
To arrange an appointment to review the documents and any questions may be directed to the individual named above under the heading,
Federal Aviation Administration (FAA), DOT.
Notice and request for comments.
In accordance with the Paperwork Reduction Act of 1995, FAA invites public comments about our intention to request the Office of Management and Budget (OMB) approval to renew an information collection. The commercial air tour operational data provided to the FAA and NPS will be used by the agencies as background information useful in the development of air tour management plans and voluntary agreements for purposes of meeting the mandate of the National Parks Air Tour Management Act (NPATMA) of 2000.
Written comments should be submitted by October 13, 2015.
Send comments to the FAA at the following address: Ronda Thompson, Room 300, Federal Aviation Administration, ASP-110, 950 L'Enfant Plaza SW., Washington, DC 20024.
You are asked to comment on any aspect of this information collection, including (a) Whether the proposed collection of information is necessary for FAA's performance; (b) the accuracy of the estimated burden; (c) ways for FAA to enhance the quality, utility and clarity of the information collection; and (d) ways that the burden could be minimized without reducing the quality of the collected information. The agency will summarize and/or include your comments in the request for OMB's clearance of this information collection.
Ronda Thompson at (202) 267-1416, or by email at:
Pipeline and Hazardous Materials Safety Administration, DOT.
Notice of public meeting.
This notice is to announce a public workshop to discuss the advancement of risk modeling methodologies of gas transmission and hazardous liquid pipelines, and the risk modeling methodologies used for non-pipeline systems. This workshop will bring industry, Federal and state regulators, interested members of the public, and other stakeholders together to share knowledge and experience on risk modeling within the pipeline industry and other fields, ways to advance pipeline risk models, and practical ways that operators can adopt and/or adapt them to the analyses of their systems.
The public workshop will be held on Wednesday, September 9, 2015, from 8:00 a.m. to 5:00 p.m., EST, and Thursday, September 10, 2015, from 8:00 a.m. to 12:00 p.m. EST. (Changes to start or finish times will be updated on the PHMSA meeting page Web site, along with the meeting agenda
The workshop will be held at the Crystal City Marriott at Reagan National Airport, 1999 Jefferson Davis Highway, Arlington, VA 22202. Please see the meeting Web site for hotel room block information at
The meeting agenda and any additional information will also be published on the PHMSA meeting page Web site.
Please note that the public workshop will be webcast. The details on this meeting, including the location, times, agenda items, and link to the webcast, will be available on the meeting page Web site (
Presentations will also be available online at the meeting page Web site within 30 days following the meeting.
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Anyone may search the electronic form of all comments received for any of our dockets. You may review DOT's complete Privacy Act Statement in the
For information on facilities or services for individuals with disabilities, or to request special assistance at the meeting, please contact Mr. Kenneth Lee, Director, Engineering and Research Division, at (202) 366-2694 or
Kenneth Lee, Director, Engineering and Research Division, at 202-366-2694 or
The Federal pipeline safety regulations (49 CFR part 192 Subpart O; 49 CFR § 195.452) requires operators to continually examine ways to reduce the threats to pipelines in order to minimize the likelihood of a release, and ways to reduce the consequences of potential releases. A primary tool to implement this process is generally referred to as a “risk analysis” or “risk assessment.”
To support integrity management requirements, a risk analysis modeling approach must be able to adequately characterize all pipeline integrity threats and consequences concurrently, and the impact of measures to reduce risk must be evaluated.
This workshop will focus on advancing risk modeling approaches by looking at risk modelling methodologies for pipeline and non-pipeline systems, and practical ways that operators can adopt and/or adapt them to the analyses of their systems.
Subsequent to implementation of the integrity management rules, industry has adopted a variety of approaches to risk analysis. Many of these approaches are variations of the “risk index” models. Index models and other basic approaches to risk modeling have been implemented by industry for purposes such as risk-ranking pipeline segments to prioritize initial integrity management-required baseline assessments. Additional opportunities to utilize these approaches to do more investigative oriented analyses in order to identify specific ways to reduce risks are being explored.
As summarized and discussed in past public forums and workshops on pipeline safety (
PHMSA believes that improving risk models is important for further reducing the risk of pipelines to the public health and safety. In particular, PHMSA is interested in specific ways to advance pipeline risk models, and in practical ways that operators can adopt and/or adapt risk models to the analyses of their systems.
Surface Transportation Board, DOT.
Correction to notice of exemption.
On July 22, 2015, Regional Rail Holdings, LLC, a noncarrier, filed a verified notice of exemption under 49 CFR 1180.2(d)(2) to acquire control of Regional Rail, LLC, a holding company for three Class III rail carriers, East Penn Railroad, LLC, Middletown & New Jersey Railroad, LLC, and Tyburn Railroad LLC.
On August 7, 2015, notice of the exemption was served and published in the
Board decisions and notices are available on our Web site at
By the Board, Rachel D. Campbell, Director, Office of Proceedings.
Department of Transportation.
Notice of Order to Show Cause (Order 2015-8-10) Docket DOT-OST-2014-0145.
The Department of Transportation is directing all interested persons to show cause why it should not issue an order finding Harris Aircraft Services, Inc., fit, willing, and able, and awarding it a certificate of public convenience and necessity to conduct interstate scheduled air transportation of persons, property and mail.
Persons wishing to file objections should do so no later than August 27, 2015.
Objections and answers to objections should be filed in Docket DOT-OST-2014-0145 and addressed to Docket Operations, (M-30, Room W12-140), U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590, and should be served upon the parties listed in Attachment A to the order.
Barbara Snoden, Air Carrier Fitness Division (X-56, Room W86-471), U.S. Department of Transportation, 1200 New Jersey Avenue SE., Washington, DC 20590, (202) 366-4834.
Department of Veterans Affairs.
Amended Notice of Intent to Enter into an Amended Enhanced-Use Lease (EUL).
The Secretary of VA intends to amend the scope and terms of an existing EUL that was entered into on December 27, 2011, on approximately 6 acres of land for the purpose of developing 35 units of supportive housing for Veterans. This notice provides updated details on the scope of the amended EUL. The EUL lessee will finance, design, develop, manage, maintain, and operate approximately 37 units of housing on approximately 3 acres of land for eligible homeless Veterans, or Veterans at risk of homelessness, and their families, on a priority placement basis, and provide supportive services that guide resident Veterans toward attaining long-term self-sufficiency.
Edward L. Bradley III, Office of Asset Enterprise Management (044), Department of Veterans Affairs, 810 Vermont Avenue NW., Washington, DC 20420, (202) 461-7778.
As required under Section 211(b)(2)(B) of Public Law 112-154, because the EUL was entered into prior to January 1, 2012, this amended EUL will adhere to the prior version of VA's EUL statute as in effect on August 5, 2011.
The Secretary of Veterans Affairs, or designee, approved this document and authorized the undersigned to sign and submit the document to the Office of the Federal Register for publication electronically as an official document of the Department of Veterans Affairs. Robert A. McDonald, Secretary of Veterans Affairs, approved this document on August 10, 2015 for publication.
Office of Energy Efficiency and Renewable Energy, Department of Energy.
Notice of proposed rulemaking (NOPR) and announcement of public meeting.
The Energy Policy and Conservation Act of 1975 (EPCA), as amended, prescribes energy conservation standards for various consumer products and certain commercial and industrial equipment, including ceiling fan light kits (CFLKs). EPCA also requires the U.S. Department of Energy (DOE) to periodically determine whether more-stringent, amended standards would be technologically feasible and economically justified, and would save a significant amount of energy. In this notice, DOE proposes amended energy conservation standards for CFLKs, and also announces a public meeting to receive comment on these proposed standards and associated analyses and results.
The public meeting will be held at the U.S. Department of Energy, Forrestal Building, Room 4A-104, 1000 Independence Avenue SW., Washington, DC 20585. Any foreign national wishing to participate in the meeting should advise DOE as soon as possible by contacting
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Written comments regarding the burden-hour estimates or other aspects of the collection-of-information requirements contained in this proposed rule may be submitted to Office of Energy Efficiency and Renewable Energy through the methods listed above and by email to
No telefacsimilies (faxes) will be accepted. For detailed instructions on submitting comments and additional information on the rulemaking process, see section VII of this document (“Public Participation”).
A link to the docket Web page can be found at:
Ms. Lucy deButts, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Office, EE-5B, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 287-1604. Email:
Ms. Elizabeth Kohl, U.S. Department of Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue SW., Washington, DC 20585-0121. Telephone: (202) 586-7796. Email:
For further information on how to submit a comment, review other public comments and the docket, or participate in the public meeting, contact Ms. Brenda Edwards at (202) 586-2945 or by email:
Title III, Part B
Pursuant to EPCA, any new or amended energy conservation standard must be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) Furthermore, the new or amended standard must result in a significant conservation of energy. (42 U.S.C. 6295(o)(3)(B)) EPCA also provides that not later than 6 years after issuance of any final rule establishing or amending a standard, DOE must publish either a notice of determination that standards for the product do not need to be amended, or a notice of proposed rulemaking including new proposed energy conservation standards. (42 U.S.C. 6295(m)(1))
In accordance with these and other statutory provisions discussed in this document, DOE proposes amended energy conservation standards for CFLKs. The proposed standards, which are expressed in minimum lumen output per watt (lm/W) of a lamp, or lamp efficacy, are shown in Table I.1. These proposed standards, if adopted, would apply to all CFLKs listed in Table I.1 and manufactured in, or imported into, the United States on and after the date three years after the publication of any final rule for this rulemaking.
Table I.2 presents DOE's evaluation of the economic impacts of the proposed standards on consumers of CFLKs, as measured by the average life-cycle cost (LCC) savings and the simple payback period (PBP).
DOE's analysis of the impacts of the proposed standards on consumers is described in section IV.F of this notice.
The industry net present value (INPV) is the sum of the discounted cash flows to the industry from the base year through the end of the analysis period (2015 to 2048). Using a real discount rate of 7.4 percent, DOE estimates that the INPV for manufacturers of CFLKs in the no-standards case is $94.8 million in 2014$. Under the proposed standards, DOE expects that manufacturers may lose up to 8.4 percent of this INPV, which is approximately $7.9 million. Additionally, based on DOE's interviews with the manufacturers of CFLKs, DOE does not expect significant impacts on manufacturing capacity or loss of employment for the industry as a whole to result from the proposed standards for CFLKs.
DOE's analysis of the impacts of the amended standards on manufacturers is described in section IV.J of this notice.
DOE's analyses indicate that the proposed energy conservation standards for CFLKs would save a significant amount of energy. Relative to the case where no amended energy conservation standard is set (hereinafter referred to as the “no-standards case”), the lifetime energy savings for CFLKs purchased in the 30-year period that begins in the anticipated year of compliance with the amended standards (2019-2048) amount to 0.047 quadrillion Btu (quads).
The cumulative net present value (NPV) of total consumer costs and savings of the proposed standards for CFLKs ranges from $0.65 billion (at a 7-percent discount rate) to $0.82 billion (at a 3-percent discount rate). This NPV expresses the estimated total value of future operating-cost savings minus the estimated increased product costs for CFLKs purchased in 2019-2048.
In addition, the proposed standards for CFLKs would have significant environmental benefits. DOE estimates that the proposed standards would result in cumulative emission reductions of 3.3 million metric tons (Mt)
The value of the CO
Table I.3 summarizes the national economic benefits and costs expected to result from the proposed standards for CFLKs.
The benefits and costs of the proposed standards, for CFLKs sold in 2019-2048, can also be expressed in terms of annualized values. The annualized monetary values are the sum of: (1) The annualized national economic value of the benefits from consumer operation of products that meet the new or amended standards (consisting primarily of operating-cost savings from using less energy, minus increases in product purchase prices and installation costs, which is another way of representing consumer NPV), and (2) the annualized monetary value of the benefits of emission reductions, including CO
Although combining the values of operating savings and CO
Estimates of annualized benefits and costs of the proposed standards are shown in Table I.4. The results under the Primary Estimate are as follows. Using a 7-percent discount rate for benefits and costs other than CO
DOE's analysis of the national impacts of the proposed standards is described in sections IV.H, IV.K and IV.L of this notice.
DOE has tentatively concluded that the proposed standards represent the maximum improvement in energy efficiency that is technologically feasible and economically justified, and would result in the significant conservation of energy. DOE further notes that products achieving these standard levels are already commercially available for all product classes covered by this proposal. Based on the analyses described above, DOE has tentatively concluded that the benefits of the proposed standards to the nation (energy savings, positive NPV of consumer benefits, consumer LCC savings, and emission reductions) would outweigh the burdens (loss of INPV for manufacturers and LCC increases for some consumers).
DOE also considered more- and less-stringent efficacy levels (EL)s as trial standard levels, and is still considering them in this rulemaking. However, DOE has tentatively concluded that the potential burdens of the more-stringent ELs would outweigh the projected benefits. Based on consideration of the public comments DOE receives in response to this notice and related information collected and analyzed during the course of this rulemaking effort, DOE may adopt ELs presented in this notice that are either higher or lower than the proposed standards, or some combination of level(s) that incorporate the proposed standards in part.
The following section briefly discusses the statutory authority underlying this proposed rule, as well as some of the relevant historical background related to the establishment of standards for CFLKs.
Title III, Part B of EPCA, Public Law 94-163 (42 U.S.C. 6291-6309, as codified) established the Energy Conservation Program for Consumer Products Other Than Automobiles, a program covering most major household appliances (collectively referred to as “covered products”), which includes the CFLKs that are the subject of this rulemaking. (42 U.S.C. 6295(ff)) EPCA, as amended, authorized DOE to conduct future rulemakings to determine whether to amend these standards. (42 U.S.C. 6295(ff)(5)-(6)) Under 42 U.S.C. 6295(m), DOE must also periodically review its already established energy conservation standards for a covered product.
Pursuant to EPCA, DOE's energy conservation program for covered products consists essentially of four parts: (1) Testing; (2) labeling; (3) the establishment of Federal energy conservation standards; and (4) certification and enforcement procedures. The Federal Trade Commission (FTC) is primarily responsible for labeling, and DOE implements the remainder of the program. Subject to certain criteria and conditions, DOE is required to develop test procedures to measure the energy efficiency, energy use, or estimated annual operating cost of each covered product. (42 U.S.C. 6295(o)(3)(A) and (r)) Manufacturers of covered products must use the prescribed DOE test procedure as the basis for certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA and when making representations to the public regarding the energy use or efficiency of those products. (42 U.S.C. 6293(c) and 6295(s)) Similarly, DOE must use these test procedures to determine whether the products comply with standards adopted pursuant to EPCA. (42 U.S.C. 6295(s)) The DOE test procedures for CFLKs appear at title 10 of the Code of Federal Regulations (CFR) part 430, subpart B, appendix V.
DOE must follow specific statutory criteria for prescribing new or amended standards for covered products, including CFLKs. Any new or amended standard for a covered product must be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A) and (3)(B)) Furthermore, DOE may not adopt any standard that would not result in the significant conservation of energy. (42 U.S.C. 6295(o)(3)) Moreover, DOE may not prescribe a standard: (1) For certain products, including CFLKs, if no test procedure has been established for the product, or (2) if DOE determines by rule that the standard is not technologically feasible or economically justified. (42 U.S.C. 6295(o)(3)(A)-(B)) In deciding whether a proposed standard is economically justified, DOE must determine whether the benefits of the standard exceed its burdens. (42 U.S.C. 6295(o)(2)(B)(i)) DOE must make this determination after receiving comments on the proposed standard, and by considering, to the greatest extent practicable, the following seven statutory factors:
(1) The economic impact of the standard on manufacturers and consumers of the products subject to the standard;
(2) The savings in operating costs throughout the estimated average life of the covered products in the type (or class) compared to any increase in the price, initial charges, or maintenance expenses for the covered products that are likely to result from the standard;
(3) The total projected amount of energy (or as applicable, water) savings likely to result directly from the standard;
(4) Any lessening of the utility or the performance of the covered products likely to result from the standard;
(5) The impact of any lessening of competition, as determined in writing by the Attorney General, that is likely to result from the standard;
(6) The need for national energy and water conservation; and
(7) Other factors the Secretary of Energy (Secretary) considers relevant. (42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII))
EPCA, as codified, also contains what is known as an “anti-backsliding” provision, which prevents the Secretary from prescribing any amended standard that either increases the maximum allowable energy use or decreases the minimum required energy efficiency of a covered product. (42 U.S.C. 6295(o)(1)) Also, the Secretary may not prescribe an amended or new standard if interested persons have established by a preponderance of the evidence that the standard is likely to result in the unavailability in the United States of any covered product type (or class) of performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as those generally available in the United States. (42 U.S.C. 6295(o)(4))
Further, EPCA, as codified, establishes a rebuttable presumption that a standard is economically justified if the Secretary finds that the additional cost to the consumer of purchasing a product complying with an energy conservation standard level will be less than three times the value of the energy savings during the first year that the consumer will receive as a result of the standard, as calculated under the applicable test procedure. (42 U.S.C. 6295(o)(2)(B)(iii))
Additionally, 42 U.S.C. 6295(q)(1) specifies requirements when promulgating an energy conservation standard for a covered product that has two or more subcategories. DOE must specify a different standard level for a type or class of product that has the same function or intended use, if DOE determines that products within such group: (A) Consume a different kind of energy from that consumed by other covered products within such type (or class); or (B) have a capacity or other performance-related feature which other products within such type (or class) do not have and such feature justifies a higher or lower standard. (42 U.S.C. 6295(q)(1)) In determining whether a performance-related feature justifies a different standard for a group of products, DOE must consider such factors as the utility to the consumer of the feature and other factors DOE deems appropriate.
Federal energy conservation requirements generally supersede state laws or regulations concerning energy conservation testing, labeling, and standards. (42 U.S.C. 6297(a)-(c)) DOE may, however, grant waivers of Federal preemption for particular state laws or regulations, in accordance with the procedures and other provisions set forth under 42 U.S.C. 6297(d)).
EPCA also requires that any final rule for new or amended energy conservation standards promulgated after July 1, 2010, is required to address standby mode and off-mode energy use. (42 U.S.C. 6295(gg)(3)) Specifically, when DOE adopts a standard for a covered product after that date, it must, if justified by the criteria for adoption of standards under EPCA (42 U.S.C. 6295(o)), incorporate standby mode and off-mode energy use into a single standard, or, if that is not feasible, adopt a separate standard for such energy use for that product. (42 U.S.C. 6295(gg)(3)(A)-(B)) In a test procedure NOPR for ceiling fan light kits (hereafter “CFLK TP NOPR”), DOE proposed that the energy use from standby mode and off mode associated with CFLKs be attributed to the ceiling fan to which they are attached, and thus any standby mode energy use is accounted for in the ceiling fan test procedure. Therefore, the CFLK metric accounts for energy consumption only in active mode. 79 FR 64688 (October 31, 2014). DOE will account for active mode energy use in any final amended energy conservation standards.
The current energy conservation standards apply to CFLKs with medium screw base and pin-based sockets manufactured on and after January 1, 2007, and CFLKs with all other socket types manufactured on or after January 1, 2009. 70 FR 60407, 60413 (October 18, 2005). These standards are set forth in DOE's regulations at 10 CFR 430.32(s) as follows:
(2)(i) Ceiling fan light kits with medium screw base sockets manufactured on or after January 1, 2007, must be packaged with screw-based lamps to fill all screw base sockets.
(ii) The screw-based lamps required under paragraph (2)(i) of this section must—
(A) Be compact fluorescent lamps that meet or exceed the following requirements or be as described in paragraph (2)(ii)(B) of this section:
(B) Light sources other than compact fluorescent lamps that have lumens per watt performance at least equivalent to comparably configured compact fluorescent lamps meeting the energy conservation standards in paragraph (2)(ii)(A) of this section.
(3) Ceiling fan light kits manufactured on or after January 1, 2007, with pin-based sockets for fluorescent lamps must use an electronic ballast and be packaged with lamps to fill all sockets. These lamp ballast platforms must meet the following requirements:
(4) Ceiling fan light kits with socket types other than those covered in paragraphs (2) and (3) of this section, including candelabra screw base sockets, manufactured on or after January 1, 2009—
(i) Shall not be capable of operating with lamps that total more than 190 watts; and
(ii) Shall be packaged to include the lamps described in clause (i) with the ceiling fan light kits. 10 CFR 430.32(s)
Current energy conservation standards for CFLKs (42 U.S.C. 6295(ff)) were established by the Energy Policy Act of 2005 (EPAct 2005) (Title I, Subtitle C, section 135(c)), which were later amended by EPCA. Specifically, EPAct 2005 established individual energy conservation standards for three groups of CFLKs: (1) Those having medium screw base sockets (hereafter “Medium Screw Base product class”); (2) those having pin-based sockets for fluorescent lamps (hereafter “Pin-Based product class”); and (3) any CFLKs other than those included in the Medium Screw Base product class or the Pin-Based product class (hereafter “Other Base Type product class”). (42 U.S.C. 6295(ff)(2)-(4)) In a technical amendment published on October 18, 2005, DOE codified the statute's requirements for the Medium Screw Base and Pin-Based product classes. 70 FR 60413. EPAct 2005 also specified that if DOE failed to issue a final rule on energy conservation standards for Other Base Type product class CFLKs by January 1, 2007, a 190 W limit would apply to those products. (42 U.S.C. 6295(ff)(4)(C)) Because DOE did not issue a final rule on standards for CFLKs by that date, on January 11, 2007, DOE published a technical amendment that codified the statute's requirements for Other Base Type product class CFLKs, which applied to Other Base Type product class CFLKs manufactured on or after January 1, 2009. 72 FR 1270. Another technical amendment final rule published on March 3, 2009 (74 FR 12058), added a provision that CFLKs with sockets for pin-based fluorescent lamps must be packaged with lamps to fill all sockets. (42 U.S.C. 6295(ff)(4)(C)(ii)) These standards for CFLKs are codified in 10 CFR 430.32(s)(2)-(4).
To initiate the rulemaking cycle to consider amended energy conservation standards for ceiling fans and CFLKs, on March 15, 2013, DOE published a notice announcing the availability of the framework document, “Energy Conservation Standards Rulemaking Framework Document for Ceiling Fans and Ceiling Fan Light Kits,” and a public meeting to discuss the proposed analytical framework for the rulemaking. 76 FR 56678. DOE also posted the framework document on its Web site, in which DOE described the procedural and analytical approaches DOE anticipated using to evaluate the establishment of energy conservation standards for ceiling fans and CFLKs.
DOE held the public meeting for the framework document on March 22, 2013,
DOE issued the preliminary analysis for the CFLK energy conservation standards rulemaking on October 27, 2014, and published it in the
DOE developed this proposal after considering comments, data, and information from interested parties that represent a variety of interests. The following discussion addresses issues raised by these commenters.
EPCA defines a “ceiling fan light kit” as “equipment designed to provide light from a ceiling fan that can be: (1) Integral, such that the equipment is attached to the ceiling fan prior to the time of retail sale; or (2) attachable, such that at the time of retail sale the equipment is not physically attached to the ceiling fan, but may be included inside the ceiling fan at the time of sale or sold separately for subsequent attachment to the fan.”
When evaluating and establishing energy conservation standards, DOE divides covered products into product classes by the type of energy used or by capacity or other performance-related features that justifies a different standard. In making a determination whether a performance-related feature justifies a different standard, DOE must consider such factors as the utility of the feature to the consumer and other factors DOE determines are appropriate. (42 U.S.C. 6295(q)) For further details on product classes, see section IV.A.1 and chapter 3 of the NOPR TSD.
EPCA sets forth generally applicable criteria and procedures for DOE's adoption and amendment of test procedures. (42 U.S.C. 6293) Manufacturers of covered products must use these test procedures to certify to DOE that their product complies with energy conservation standards and to quantify the efficiency of their product. As noted, the test procedures for CFLKs are provided in appendix V. As noted, DOE published a NOPR to amend these test procedures on October 31, 2014. 79 FR 64688.
With respect to the process of establishing test procedures and standards for a given product, DOE notes that, while not legally obligated to do so, it generally follows the approach laid out in guidance found in 10 CFR part 430, subpart C, Appendix A (Procedures, Interpretations and Policies for Consideration of New or Revised Energy Conservation Standards for Consumer Products). That guidance provides, among other things, that, when necessary, DOE will issue final, modified test procedures for a given product prior to publication of the NOPR proposing energy conservation standards for that product. While DOE strives to follow the procedural steps outlined in its guidance, there may be circumstances in which it may be necessary or appropriate to deviate from it. In such instances, the guidance indicates that DOE will provide notice and an explanation for the deviation. Accordingly, DOE is providing notice that it continues to develop the final test procedure for CFLKs. DOE received comment on the proposed test procedure regarding the applicability of the CFLK test procedures and energy conservation standards to accent lighting. DOE also received comments on the appropriate metric for CFLKs with integrated SSL circuitry. DOE continues to consider those comments in the development of the final test procedure rule. DOE will attempt to issue the final test procedure within the comment period provided for this proposed standards rule. In the event that additional time to comment on the proposed standards in light of the final test procedure rule is desired, interested parties can seek an extension or reopening of the comment period upon issuance of the final test procedure.
EPCA directs DOE to update its test procedures to account for standby mode and off-mode energy consumption, with such energy consumption integrated into the overall energy efficiency, energy consumption, or other energy descriptor, unless the current test procedure already accounts for standby mode and off-mode energy use. (42 U.S.C. 6295(gg)(2)(A)) Furthermore, if an integrated test procedure is technically infeasible, DOE must prescribe a separate standby mode and off-mode test procedure for the covered product, if technically feasible.
In the preliminary analysis, DOE determined that energy use from standby mode and off mode associated with CFLKs be attributed to the ceiling fan to which they are attached. DOE's research indicates that standby power is relevant only to combined ceiling fan and light kit systems operated by remote control. The remote control receiver, which is almost always installed in the ceiling fan housing and used to receive signals for both the ceiling fan and the CFLK, is the component that constitutes the standby power consumption in the ceiling fan and light kit system. DOE therefore proposed to account for standby power in the ceiling fan test procedures. 79 FR 64688, 64690 (October 31, 2014). DOE further notes if standby mode were included into a single metric for CFLKs with remote controls, the CFLK would have a different efficacy than its lamps. Therefore, DOE has proposed to only include active mode energy
Based on its review of products currently on the market, DOE concludes that CFLKs do not consume power in off mode. Therefore DOE did not propose to measure off-mode power consumption in the ceiling fan light kit test procedure rulemaking.
In each energy conservation standards rulemaking, DOE conducts a screening analysis based on information gathered on all current technology options and prototype designs that could improve the efficiency of the products or equipment that are the subject of the rulemaking. As the first step in such an analysis, DOE develops a list of technology options for consideration in consultation with manufacturers, design engineers, and other interested parties. DOE then determines which of those means for improving efficiency are technologically feasible. DOE considers technologies incorporated in commercially available products or in working prototypes to be technologically feasible. 10 CFR part 430, subpart C, appendix A, section 4(a)(4)(i).
After DOE has determined that particular technology options are technologically feasible, it further evaluates each technology option in light of the following additional screening criteria: (1) Practicability to manufacture, install, and service; (2) adverse impacts on product utility or availability; and (3) adverse impacts on health or safety. 10 CFR part 430, subpart C, appendix A, section 4(a)(4)(ii)-(iv). Additionally, it is DOE policy not to include in its analysis any proprietary technology that is a unique pathway to achieving a certain EL. Section IV.B of this notice discusses the results of the screening analysis for CFLKs, particularly the designs DOE considered, those it screened out, and those that are the basis for the trial standard levels (TSLs) in this rulemaking. For further details on the screening analysis for this rulemaking, see chapter 4 of the NOPR TSD.
When DOE proposes to adopt an amended standard for a type or class of covered product, it must determine the maximum improvement in energy efficiency or maximum reduction in energy use that is technologically feasible for such product. (42 U.S.C. 6295(p)(1)) Accordingly, in the engineering analysis, DOE determined the maximum technologically feasible (“max-tech”) improvements in energy efficiency for CFLKs, using the design parameters for the most efficient products available on the market or in working prototypes. The max-tech levels that DOE determined for this rulemaking are described in section IV.C.5 of this proposed rule and in chapter 5 of the NOPR TSD.
For each TSL, DOE projected energy savings from the CFLKs that are the subject of this rulemaking purchased in the 30-year period that begins in the year of compliance with any amended standards (2019-2048).
DOE used its NIA spreadsheet model to estimate energy savings from potential amended standards for CFLKs. The NIA spreadsheet model (described in section IV.H of this notice) calculates energy savings in site energy, which is the energy directly consumed by products at the locations where they are used. For electricity, DOE calculates national energy savings on an annual basis in terms of primary energy savings, which is the savings in the energy that is used to generate and transmit the site electricity. To calculate primary energy savings from site electricity savings, DOE derives annual conversion factors from data provided in the Energy Information Administration's (EIA) most recent
In addition to primary energy savings, DOE also calculates full-fuel-cycle (FFC) energy savings. As discussed in DOE's statement of policy, the FFC metric includes the energy consumed in extracting, processing, and transporting primary fuels (
To adopt any new or amended standards for a covered product, DOE must determine that such action would result in “significant” energy savings. (42 U.S.C. 6295(o)(3)(B)) Although the term “significant” is not defined in the Act, the U.S. Court of Appeals for the District of Columbia Circuit, in
EPCA provides seven factors to be evaluated in determining whether a potential energy conservation standard is economically justified. (42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII)) The following sections discuss how DOE has addressed each of those seven factors in this rulemaking.
In determining the impacts of a potential amended standard on manufacturers, DOE conducts an MIA, as discussed in section IV.J. DOE first uses an annual cash-flow approach to determine the quantitative impacts. This step includes both a short-term assessment—based on the cost and capital requirements during the period between when a regulation is issued and when entities must comply with the regulation—and a long-term assessment over a 30-year period. The industry-wide impacts analyzed include: (1) INPV, which values the industry on the basis of expected future cash flows; (2) cash flows by year; (3) changes in revenue and income; and (4) other measures of impact, as appropriate. Second, DOE analyzes and reports the impacts on different types of manufacturers, including impacts on small manufacturers. Third, DOE considers the impact of standards on domestic manufacturer employment and
For individual consumers, measures of economic impact include the changes in LCC and payback period (PBP) associated with new or amended standards. These measures are discussed further in the following section. For consumers in the aggregate, DOE also calculates the national NPV of the consumer costs and benefits expected to result from particular standards. DOE also evaluates the impacts of potential standards on identifiable subgroups of consumers that may be affected disproportionately by a standard.
EPCA requires DOE to consider the savings in operating costs throughout the estimated average life of the covered product in the type (or class) compared to any increase in the price of, or in the initial charges for, or maintenance expenses of, the covered product that are likely to result from a standard. (42 U.S.C. 6295(o)(2)(B)(i)(II)) DOE conducts this comparison in its LCC and PBP analysis.
The LCC is the sum of the purchase price of a product (including its installation) and the operating expense (including energy, maintenance, and repair expenditures) discounted over the lifetime of the product. The LCC analysis requires a variety of inputs, such as product prices, product energy consumption, energy prices, maintenance and repair costs, product lifetime, and consumer discount rates. To account for uncertainty and variability in specific inputs, such as product lifetime and discount rate, DOE uses a distribution of values, with probabilities attached to each value. The PBP is the estimated amount of time (in years) it takes consumers to recover the increased purchase cost of a more-efficient product through lower operating costs. DOE calculates the PBP by dividing the change in purchase cost by the initial change in annual operating cost for the year that standards are assumed to take effect.
For its LCC and PBP analysis, DOE assumes that consumers will purchase the covered products in the first year of compliance with amended standards. The LCC savings for the considered ELs are calculated relative to a no-standards case that reflects projected market trends in the absence of amended standards. DOE's LCC and PBP analysis is discussed in further detail in section IV.F.
Although significant conservation of energy is a separate statutory requirement for adopting an energy conservation standard, EPCA requires DOE, in determining the economic justification of a standard, to consider the total projected energy savings that are expected to result directly from the standard. (42 U.S.C. 6295(o)(2)(B)(i)(III)) As discussed in section III.D.1, DOE uses the NIA spreadsheet models to project national energy savings.
In establishing product classes and in evaluating design options and the impact of potential standard levels, DOE evaluates potential standards that would not lessen the utility or performance of the considered products. (42 U.S.C. 6295(o)(2)(B)(i)(IV)) Based on data available to DOE, the standards proposed in this notice would not reduce the utility or performance of the products under consideration in this rulemaking.
EPCA directs DOE to consider the impact of any lessening of competition, as determined in writing by the Attorney General, that is likely to result from a proposed standard. (42 U.S.C. 6295(o)(2)(B)(i)(V)) It also directs the Attorney General to determine the impact, if any, of any lessening of competition likely to result from a proposed standard and to transmit such determination to the Secretary within 60 days of the publication of a proposed rule, together with an analysis of the nature and extent of the impact. (42 U.S.C. 6295(o)(2)(B)(ii)) DOE will transmit a copy of this proposed rule to the Attorney General with a request that the Department of Justice (DOJ) provide its determination on this issue. DOE will publish and respond to the Attorney General's determination in the final rule.
DOE also considers the need for national energy conservation in determining whether a new or amended standard is economically justified. (42 U.S.C. 6295(o)(2)(B)(i)(VI)) The energy savings from the proposed standards are likely to provide improvements to the security and reliability of the nation's energy system. Reductions in the demand for electricity also may result in reduced costs for maintaining the reliability of the nation's electricity system. DOE conducts a utility impact analysis to estimate how standards may affect the nation's needed power generation capacity, as discussed in section IV.M.
The proposed standards also are likely to result in environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases (GHGs) associated with energy production and use. DOE conducts an emissions analysis to estimate how potential standards may affect these emissions, as discussed in section IV.K; the emissions impacts are reported in section V.C.2 of this notice. DOE also estimates the economic value of emissions reductions resulting from the considered TSLs, as discussed in section IV.L.
EPCA allows the Secretary of Energy, in determining whether a standard is economically justified, to consider any other factors that the Secretary deems to be relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VII)) To the extent interested parties submit any relevant information regarding economic justification that does not fit into the other categories described above, DOE could consider such information under “other factors.”
As set forth in 42 U.S.C. 6295(o)(2)(B)(iii), EPCA creates a rebuttable presumption that an energy conservation standard is economically justified if the additional cost to the consumer of a product that meets the standard is less than three times the value of the first year's energy savings resulting from the standard, as calculated under the applicable DOE test procedure. DOE's LCC and PBP analyses generate values used to calculate the effects that proposed energy conservation standards would have on the payback period for consumers. These analyses include, but are not limited to, the 3-year payback period contemplated under the rebuttable-presumption test. In addition, DOE routinely conducts an economic analysis that considers the full range of impacts to consumers, manufacturers, the nation, and the environment, as required under 42 U.S.C. 6295(o)(2)(B)(i). The results of this analysis serve as the basis for DOE's evaluation of the economic justification for a potential standard level (thereby supporting or rebutting the results of any preliminary determination of
This section addresses the analyses DOE has performed for this rulemaking with regard to CFLKs. Separate subsections address each component of DOE's analyses.
DOE used several analytical tools to estimate the impact of the standards proposed in this document. The first tool is a spreadsheet that calculates the LCC and PBP of potential amended or new energy conservation standards. The NIA uses a second spreadsheet set that provides shipments forecasts and calculates national energy savings and NPV resulting from potential energy conservation standards. DOE uses the third spreadsheet tool, the Government Regulatory Impact Model (GRIM), to assess manufacturer impacts of potential standards. These three spreadsheet tools are available on the DOE Web site for this rulemaking:
DOE develops information in the market and technology assessment that provides an overall picture of the market for the products concerned, including the purpose of the products, the industry structure, manufacturers, market characteristics, and technologies used in the products. This activity includes both quantitative and qualitative assessments, based primarily on publicly available information. (See chapter 3 of the NOPR TSD for further discussion of the market and technology assessment.) DOE received comments regarding product classes, the metric to determine the energy efficiency of CFLKs, and technology options identified that can improve the efficiency of CFLKs. Responses to these comments are discussed in the following sections.
DOE divides covered products into classes by: (a) The type of energy used; (b) the capacity of the product; or (c) other performance-related features that justify different standard levels, considering the consumer utility of the feature and other relevant factors. (42 U.S.C. 6295(q)) The current product class structure for CFLKs, which was established by EPACT 2005, divides CFLKs into three product classes: CFLKs with medium screw base (E26) sockets (Medium Screw Base product class), CFLKs with pin-based sockets for fluorescent lamps (Pin-Based product class), and any CFLKs other than those in the Medium Screw Base or Pin-Based product classes (Other Base Type product class). In the preliminary analysis, DOE restructured the current three CFLK product classes to the following two product classes: (1) CFLKs with Externally Ballasted or Driven Lamps and (2) All Other CFLKs. DOE received several comments related to the restructuring of product classes.
ASAP noted that they support DOE's proposed adjustments to the product class structure. (ASAP, Public Meeting Transcript, No. 82 at p. 85)
The Joint Comment did recommend, however, that DOE reconsider establishing a separate product class for externally ballasted or driven CFLKs. The Joint Comment noted that the market share of these products is small and is unlikely to grow due to the difficulty for consumers in diagnosing ballast or driver failure and finding the correct replacements. (Joint Comment, No. 95 at p. 2) The Minka Group and Lamps Plus agreed that with externally driven CFLKs, consumers will replace the entire CFLK rather than change a failed ballast. (The Minka Group, Public Meeting Transcript, No. 82 at p. 155; Lamps Plus, Public Meeting Transcript, No. 82 at p. 156) Emerson Electric noted that consumers are often unable to replace a ballast because the model is no longer available from the manufacturer, and thus consumers select a new CFLK instead. (Emerson Electric, Public Meeting Transcript, No. 82 at p. 156)
DOE also received comments that externally driven solid-state lighting (SSL) CFLKs (
In the preliminary analysis, DOE placed externally ballasted or driven lamps in a separate product class based on their unique utility in that they allow consumers to replace the lamp, and potentially the ballast or driver, separately if one fails independently of the other. However, feedback from stakeholders and interviews with manufacturers indicated that most consumers of CFLKs will typically replace both the lamp and ballast/driver
DOE received comments regarding maintaining a separate product class for CFLKs with sockets other than medium screw base lamps and pin-based fluorescent lamps. The Joint Comment noted that most CFLKs used medium screw base lamps prior to the previous CFLK standards, but once the existing standard set separate product classes and thereby different requirements for CFLKs with medium screw base sockets, those with pin-based sockets, and those with all other sockets, manufacturers switched to producing CFLKs with all other sockets, specifically candelabra and intermediate-base sockets. The Joint Comment stated that the switch to these small bases has decreased the anticipated savings of the previous CFLK standards, and also the impact of the previous general service lamp (GSL) standards. The Joint Comment noted that current CFLK sales are 80 percent intermediate and candelabra based sockets, even though there is no utility advantage over medium screw base sockets. (Joint Comment, No. 95 at p. 1)
Westinghouse disagreed, stating that the two product classes considered in the preliminary analysis make sense from the lamp manufacturer perspective, but limit design options for fan manufacturers. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 117, 129) Westinghouse asserted that consumers look for fashion and style in CFLKs and therefore design is a utility that is met by different types of CFLKs. Westinghouse reported that medium screw base lamps are usually A-shape lamps and physically larger, whereas candelabra-base lamps are typically bullet, flame, or B-shape lamps, which fulfill a decorative purpose rather than providing improved efficacy or light output. Westinghouse also noted that halogen lamps with specialty bases, such as E11 and bipin, are able to provide a lot of light in very small spaces. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 121-123)
Finally, American Lighting Association (ALA) commented that the All Other CFLKs product class would eliminate incandescent and halogen lamps in CFLKs. ALA and Westinghouse asserted that more efficacious substitutes, such as CFLs and LED lamps, currently do not serve as adequate replacements for the halogen lamps, especially those with smaller or specialty bases. Specifically, ALA and Westinghouse noted that it is difficult for LED lamps to have the same lumen package and lifetime as existing candelabra based lamps in CFLKs in the same small space without issues such as heat dissipation, especially while also meeting proposed efficacy standards. (ALA, No. 93 at p. 8; Westinghouse, Public Meeting Transcript, No. 82 at p. 100) Westinghouse noted that to use the LED lamps currently on the market, an entire luminaire design would be required to adequately dissipate heat. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 121-123)
While Westinghouse noted that LED lamps will soon be able to meet these challenges, they expressed concern about finalizing a rulemaking that requires products that are not yet equivalent to existing lamps. (Westinghouse, Public Meeting Transcript, No. 82 at p. 100) Hunter Fans commented that they agree with Westinghouse's concerns with design utility being adversely affected by the use of more efficacious light sources in CFLKs. (Hunter Fans, Public Meeting Transcript, No. 82 at p. 124) ALA noted that CFLK manufacturers have no control over the rate of LED technology advancement. (ALA, No. 93 at p. 8) NEMA stated that there can be a predilection towards moving to solely LED technology due to ELs, but while LED technology is feasible in the smaller lamp sizes, the market is very small and few manufacturers have moved to supply LED options. NEMA continued that this may be the same issue with the ceiling fan industry. (NEMA, Public Meeting Transcript, No. 82 at pp. 115-116) Westinghouse commented that DOE needs to make sure that less efficient candelabra bases and small profile SSL options are viable for manufacturers and priced at an acceptable level for consumers if DOE stays with a two product class system. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 116-177, 138)
Based on an evaluation of lamp efficacies reported in manufacturer catalogs, DOE has determined that small base LED lamps are currently available at the highest ELs proposed. (See section IV.C.4 for further details on this analysis.) DOE has found that these small base lamps have lifetimes at or above that of the baseline lamp selected in the engineering analysis. (See section IV.C.3 for further details on the baseline lamp selected.) While the lumen package of these small base LED lamps may not be comparable to small base halogen lamps, modifications in the CFLK design (
In this NOPR, DOE is proposing one product class for CFLKs, including CFLKs packaged with all lamp types, regardless of socket type, and CFLKs with consumer replaceable or non-consumer-replaceable LED modules and drivers.
In summary, DOE is no longer considering a separate product class for externally ballasted or driven lamps in CFLKs, as the ability to change the ballast/driver or lamp when one of these components fail rather than replacing the entire system is not a utility to consumers. Upon further analysis, DOE did not identify any class setting factors for CFLKs that use a different type of energy, offer a different capacity of the product, or provide unique performance-related features to consumers, and thereby warrant a separate product class. Therefore, in this NOPR analysis, DOE is proposing a single “All CFLKs” product class. (See chapter 3 of the NOPR TSD for further details on the CFLK product class.) DOE requests comment on the product class structure proposed in this document.
In the preliminary analysis, DOE indicated that it is considering using luminous efficacy as the efficiency metric for all CFLKs. DOE considered using lamp efficacy where possible, and using luminaire efficacy where the lamp component in the CFLK is not designed to be consumer replaceable from the CFLK (
ASAP expressed support for the use of lamp efficacy as the primary metric. (ASAP, Public Meeting Transcript, No. 82 at p. 85) Westinghouse initially agreed with using lamp efficacy as the efficiency metric for CFLKs and luminaire efficacy for CFLKs with integrated SSLs. Specifically, Westinghouse approved of the method for this rulemaking, given current practices and test procedures, and suggested that DOE wait until industry or ENERGY STAR developed an alternative to adopt something else. (Westinghouse, Public Meeting Transcript, No. 82 at p. 59) However,
In the NOPR, DOE continued to base its analysis on luminous efficacy as the efficiency metric for CFLKs. DOE used lamp efficacy where possible and luminaire efficacy where the lamp component in the CFLK is not designed to be consumer replaceable from the CFLK. As proposed in the CFLK TP NOPR (79 FR 64688, 64694 [October 31, 2014]), IES LM-79-08 would be used to test the luminaire efficacy of CFLKs with integrated SSL circuitry (
Westinghouse noted that while an efficacy metric was acceptable, due to the combination of the existing product classes, the proposed standards may need to allow for more flexibility. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 58-59) The proposed standards account for the effects of the product class combination. DOE established the baseline level as discussed in section IV.C.3. DOE then evaluated each efficacy level to determine if it is technologically feasible and economically justified.
ALA stated that DOE's position to not include the energy savings potential of lighting controls might not be valid. ALA noted that lighting controls can be as powerful as efficacy in generating energy savings. ALA followed that DOE should be open to new test procedures for incorporating the energy savings of lighting controls. (ALA, Public Meeting Transcript, No. 82 at pp. 118-119)
DOE notes that CFLKs are not typically integrated with and/or sold with all components necessary to utilize lighting controls. Further, when a CFLK is set up to function with lighting controls, the use of controls is dependent on various factors, thereby making it difficult to generate consistent and repeatable results across product types that can be measured to a single standard. Therefore, DOE is not proposing to include lighting controls in the efficacy metric for CFLKs. However, DOE did assess various factors related to the use of controls and conducted an analysis to determine potential energy savings from controls. See section IV.E.3 for further information on energy savings from lighting controls.
Westinghouse commented that lifetime testing is burdensome for CFLK manufacturers because of the time associated with the testing, especially because product development of CFLKs trails the development of lamps. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 141-142) Additionally, ALA remarked that lifetime should not be a metric because CFLK manufacturers have limited control over lamp performance, but that if it is included, the standard should be 10,000 hours. ALA added that DOE can harmonize with ENERGY STAR Program Requirements for Lamps version 1.1, which specifies 10,000 hours for all CFLs and 15,000 hours for decorative LED lamps. (ALA, No. 93 at pp. 9, 12)
Current standards specify that CFLKs packaged with medium screw base CFLs must also meet the ENERGY STAR Program requirements for Compact Fluorescent Lamps, version 3.0. The additional requirements specify a minimum lifetime of 6,000 hours. DOE is proposing to maintain this requirement for medium screw base CFLs packaged with CFLKs.
Current standards require that CFLKs with medium screw base sockets, or pin-based sockets for fluorescent lamps, be packaged with lamps that meet certain efficiency requirements. All other CFLKs must not be capable of operating with lamps that exceed 190 W. In the final rule for energy conservation standards for certain CFLKs published on January 11, 2007, DOE interpreted this 190 W limitation requirement as a statutory requirement to incorporate an electrical device or measure that ensures the light kit is not capable of operating with a lamp or lamps that draw more than a total of 190 W. 72 FR 1270, 1271 (Jan. 11, 2007).
Westinghouse questioned whether the 190 W limitation was needed in CFLKs with candelabra or intermediate-base lamps, noting that EPACT limits candelabra lamps to 60 W and intermediate-base lamps to 40 W, and thus a CFLK with three or fewer sockets would never have a total wattage exceeding 190 W. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 50-51) CFLKs, however, can have more than three sockets, and there are socket adapters available that can enable the use of medium base lamps in sockets intended for candelabra lamps. As a result, DOE has determined that the EPACT wattage restrictions on candelabra and intermediate-base lamps provides an insufficient basis for DOE to remove the 190 W limit requirement.
ALA stated that DOE should eliminate the 190 W limit for CFLKs with SSL technology or recognize that as such CFLKs use a fixed number of LEDs and a current-limiting device, they meet the 190 W limitation requirement by design. (ALA, Public Meeting Transcript, No. 82 at pp. 16, 42) The Minka Group asked for clarification on whether an LED driver counts as a wattage limiting device. (The Minka Group, Public Meeting Transcript, No. 82 at p. 39) ALA requested that DOE clarify that the design of a CFLK, with such an SSL system that (1) has an SSL driver and/or SSL light source that is not designed to be consumer replaceable; (2) has a rated wattage of 190 W or fewer; and (3) does not use any other light source, meets the requirement of an electrical device or measure that renders the CFLK incapable of operating lamps that total more than 190 W. (ALA, No. 93 at pp. 1-2, 4; ALA, No. 102 at pp. 1-4)
ALA provided several arguments supporting its recommendation. Noting that SSL technology is highly efficient, ALA stated that a 190 W SSL system in a CFLK would provide too much light for a typical consumer and manufacturers generally offer CFLKs with SSL systems rated at no more than 50 W. ALA also stated that the SSL driver, light source, and thermal management system are designed to operate together at the rated wattage and attempts to operate the system at a higher wattage would result in failure of these parts. Specifically, ALA commented that the thermal management system cannot be modified to handle the additional heat from operating at higher wattages. Thus, ALA concluded the SSL electrical and thermal system design acts as an electrical device or measure that limits the power the CFLK can draw, and the systems inherently limit the power that can be consumed during operation. (ALA, No. 93 at pp. 1-2, 4; ALA, No. 102 at p. 2)
ALA also argued that as long as either the SSL driver and/or light source are not consumer replaceable, the CFLK cannot be operated at a wattage higher than the rated wattage. ALA explained that the SSL light source and driver must match in terms of the design wattage or the system will fail.
Available information indicates that in some scenarios, CFLKs with only SSL technology could be considered to be inherently current limiting. These scenarios are (1) neither SSL drivers and nor SSL light sources are consumer replaceable, (2) SSL drivers are non-replaceable but SSL light sources are replaceable, and (3) SSL light sources are non-replaceable but SSL drivers are replaceable. In the scenario where the CFLK has a consumer replaceable SSL light source, once the light source is replaced with one that can operate at a higher wattage, the non-replaceable SSL driver would act as a limiting device and not allow the system to operate higher than the rated wattage. In the scenario where the consumer replaceable SSL driver is replaced with a driver that can operate at a higher wattage, rapid failure of the SSL light source would likely occur as it would be operated beyond the current, voltage, and/or temperature design limits. Moreover, significant increases in the rated wattage of drivers result in significant size increases in the drivers and the physical constraints of CFLK designs would not allow for such modification. Further, requiring that no other light source besides the SSL system be included in the CFLK would prevent any other means of operating the CFLK at a wattage higher than the rated wattage. Therefore, DOE proposes that CFLKs with SSL circuitry that (1) have SSL drivers and/or light sources that are not consumer replaceable, (2) do not have both an SSL driver and light source that are consumer replaceable, (3) do not include any other light source, and (4) include SSL drivers with a maximum operating wattage of no more than 190 W are considered to incorporate some electrical device or measure that ensures they do not exceed the 190 W limit. DOE proposes to incorporate this clarification in this rulemaking.
DOE is also considering whether all CFLKs with SSL circuitry should be determined to not exceed the 190 W limit. DOE seeks comment on this approach.
The technology assessment identifies technology options that improve CFLK efficacy. This assessment provides the technical background and structure on which DOE bases its screening and engineering analyses. The technology assessment begins with a description of the basic structure and operation of CFLKs and then develops a list of technology options considered in the screening analysis.
In the preliminary analysis, DOE identified more efficacious light sources as the technology option that could increase CFLK efficacy. In the preliminary analysis, DOE considered but decided not to include lighting controls and luminaire designs as technology options. Regarding lighting controls, DOE determined that CFLK controls are mostly manual (dimming or multi-level) that can be operated by remote control or at the wall switch and are usually combined with those of the ceiling fan into a single device. The CFLK TP does not provide test procedures for measuring energy savings from controls used on CFLKs, nor is such data available at a comprehensive level for the residential sector. DOE decided not to consider luminaire designs as a technology option because the metric of efficiency for CFLKs proposed in this rulemaking is lamp efficacy, and only in certain cases where lamp efficacy test procedures cannot be used is luminaire efficacy required (see section IV.A.2 for further details.) ALA and Westinghouse agreed with DOE's decision to consider more efficacious lamps as a technology option, and not to include lighting controls. (ALA, No. 93 at p. 8; Westinghouse, Public Meeting Transcript, No. 82 at pp. 113-115) ALA also agreed with DOE's decision not to include luminaire design as a technology option. (ALA, No. 93 at p. 8)
In the NOPR analysis, DOE broke down the more efficacious light sources technology option into specific technology options to identify the different mechanisms for increasing the efficacy of lamps packaged with CFLKs. DOE reviewed manufacturer catalogs, recent trade publications, technical journals, and patent filings to identify these technology options.
For CFLs, DOE is considering technology options related to improvements in electrode coatings, fill gas, phosphors, glass coatings, cold spot optimization, and ballast components. For LED lamps, DOE is considering technology options related to improvements in down converters, package architectures, emitter materials, substrate materials, thermal interface materials, heat sink design, thermal management, device-level optics, light utilization, driver design, and electric current.
In summary, DOE has developed the list of technology options shown in Table IV.1 to increase efficacy of CFLKs. See chapter 3 of the NOPR TSD for more information on the proposed CFLK technology options. DOE requests comment on the CFL and LED technology options being proposed for CFLKs and any additional options that should be included.
DOE uses the following four screening criteria to determine which technology options are suitable for further consideration in an energy conservation standards rulemaking:
1.
2.
3.
4.
10 CFR part 430, subpart C, appendix A, 4(a)(4) and 5(b).
If DOE determines that a technology, or a combination of technologies, fails to meet one or more of the above four criteria, it will be excluded from further consideration in the engineering analysis.
In the preliminary analysis, DOE did not screen out more efficacious light sources as a technology option because more efficacious light sources were found to be commercially available products that met the four screening criteria. ALA stated that they agreed with the screening analysis, and DOE did not receive any further comments on retaining more efficacious light sources as a design option. (ALA, No. 93 at p. 9)
In the NOPR, as noted, DOE identified the specific technologies underlying more efficacious light sources. Of these technology options, several technology options were screened out based on the four screening criteria. Table IV.2 summarizes the technology options DOE is proposing to screen out and the associated screening criteria.
Through a review of each technology, DOE tentatively concludes that all of the other identified technologies listed in section IV.A.3 meet all four screening criteria to be examined further as design options in DOE's NOPR analysis. In summary, DOE did not screen out the following technology options:
DOE determined that these technology options are technologically feasible because they are being used in commercially available products or working prototypes. DOE also finds that all of the remaining technology options meet the other screening criteria (
DOE derives ELs in the engineering analysis and consumer prices in the product price determination. By combining the results of the engineering analysis and the product price determination, DOE derives typical inputs for use in the LCC and NIA.
The engineering analysis is generally based on commercially available lamps that incorporate the design options identified in the technology assessment and screening analysis. (See chapters 3 and 4 of the NOPR TSD for further information on technology and design options.) The methodology consists of the following steps: (1) Selecting representative product classes, (2) selecting baseline lamps, (3) identifying more efficacious substitutes, and (4) developing ELs by directly analyzing representative product classes and then scaling those ELs to non-representative product classes. The details of the engineering analysis are discussed in chapter 5 of the NOPR TSD. The following discussion summarizes the general steps of the engineering analysis:
In the preliminary analysis, DOE established two product classes and identified both the CFLKs with Externally Ballasted or Driven Lamps and the All Other CFLKs product classes as representative. Although the All Other CFLKs product class constituted the majority of CFLKs sold, DOE also considered the CFLKs with Externally Ballasted or Driven Lamps product class as representative because the CFLKs in this class offered a unique utility in their ability to allow the consumer to replace the lamp or ballast/driver. DOE did not receive any comments on the representative product classes identified in the preliminary analysis.
As discussed in section IV.A.1, DOE is no longer establishing a separate product class for products that are externally ballasted or driven and proposes to include all CFLKs in one product class. Therefore, in this NOPR DOE analyzes one product class as representative.
Once DOE identifies the representative product classes for analysis, it selects baseline lamps to analyze in each product class. DOE selects baseline lamps that are typically the most common, least efficacious lamps in a CFLK that meet existing energy conservation standards. Specific lamp characteristics are used to characterize the most common lamps packaged with CFLKs today (
In the preliminary analysis, DOE selected lamps representative of the most common, least efficacious lamps packaged with CFLKs that just meet existing CFLK standards. To calculate efficacy for lamps in the All Other CFLKs product class, DOE used the catalog lumens and the catalog wattage of the lamp. DOE used the catalog lumens and the American National Standards Institute (ANSI) rated wattage, or the catalog wattage if the ANSI rated wattage was not available, to calculate the efficacy for externally ballasted or driven lamps. (For further detail on the baseline lamps selected in the preliminary analysis, see chapter 5 of the preliminary TSD.) DOE received several comments regarding these baseline selections.
For the CFLKs with Externally Ballasted or Driven Lamps product class, Westinghouse commented that the selected circline fluorescent baseline lamp is accurate because it represents the only product used in externally ballasted or driven CFLKs. (Westinghouse, Public Meeting Transcript, No. 82 at p. 175) For the All Other CFLKs product class, Westinghouse remarked that the baseline lamp DOE selected is not the least efficacious lamp used in CFLKs because the least efficacious lamp is not currently subject to an efficiency standard. (Westinghouse, Public
DOE notes that incandescent lamps, such as those that have candelabra bases, are commonly used in CFLKs, and are subject to a maximum wattage standard rather than an efficacy standard. As stated by Westinghouse, these lamps have lower efficacy values than the CFL used as the baseline lamp in DOE's analysis. As explained in the paragraphs that follow, DOE selected the baseline lamps consistent with the revised product class structure for the NOPR.
In the product class structure analyzed in the preliminary analysis, DOE determined that lamps in the All Other CFLKs product class, such as the candelabra-base lamps, must comply with a minimum standard of 45.0 lm/W for lamps less than 15 W and 60.0 lm/W for lamps greater than or equal to 15 W. The Joint Comment agreed with DOE's determination of the 45 lm/W minimum efficacy for the All Other CFLKs product class. (Joint Comment, No. 95 at p. 2).
DOE revised the product class structure in the NOPR and determined that, consistent with 42 U.S.C. 6295(o)(1) lamps packaged with CFLKs must comply with a minimum standard of 50.0 lm/W for lamps less than 15 W, 60.0 lm/W for lamps greater than or equal to 15 W and less than 30 W, and 70.0 lm/W for lamps greater than or equal to 30 W. The following discussion provides further detail on this change.
Existing standards for CFLKs, codified at 10 CFR 430.32(s), are currently divided into three product classes: (1) Ceiling fan light kits with medium screw base sockets (Medium Screw Base product class); (2) Ceiling fan light kits with pin-based sockets for fluorescent lamps (Pin-Based product class); and, (3) Ceiling fan light kits with socket types other than those covered in the previous two product classes, including candelabra screw base sockets (Other Base Type product class). In the preliminary analysis, DOE combined these three product classes for CFLKs and conducted a product class analysis that identified the following two product classes for consideration: CFLKs with Externally Ballasted or Driven Lamps product class and All Other CFLKs product class. See section IV.A.1 for further details.
Current standards require lamps in the Medium Screw Base product class to “meet the ENERGY STAR Program requirements for Compact Fluorescent Lamps, version 3.” 10 CFR 430.32(s). In the preliminary analysis, DOE determined that the products in the All Other CFLKs product class are subject to the same efficacy standards as the existing Medium Screw Base product class. These minimum efficacy standards are specific to wattage bins and whether the lamp is bare or covered. Because DOE determined that lamp cover was not a class setting factor in the preliminary analysis product class structure, the minimum efficacy requirements for this product class were determined by lamp wattage. Therefore, for products less than 15 W, DOE determined that the minimum efficacy for products in the All Other CFLKs product class is 45 lm/W, the highest of the existing standards for that wattage bin. For products greater than or equal to 15 W, DOE determined that the minimum efficacy is 60 lm/W, the highest of the existing standards for that wattage bin.
Current standards require lamps in the Pin-Based product class to “meet the ENERGY STAR Program Requirements for Residential Light Fixtures version 4.0.” 10 CFR 430.32(s) In the preliminary analysis, DOE determined that the products in the CFLKs with Externally Ballasted or Driven Lamps product class are subject to the same efficacy standards as the existing Pin-Based product class. These minimum efficacy standards are specific to wattage bins and lamp length. Because DOE determined that lamp length was not a class setting factor in the preliminary analysis product class structure, the minimum efficacy requirements for this product class were determined by lamp wattage. DOE determined that lamps in the CFLKs with Externally Ballasted or Driven Lamps product class must comply with a minimum standard of 50 lm/W for lamps less than 30 W and 70 lm/W for lamps greater than or equal to 30 W.
In the NOPR, DOE is proposing a single product class, and thus re-evaluated the minimum standard efficacy. Products in the All CFLKs product class are subject to either ENERGY STAR Program Requirements for Residential Light Fixtures version 4.0 (10 CFR 430.32(s)) or ENERGY STAR Program requirements for Compact Fluorescent Lamps, version 3. (10 CFR 430.32(s)). ENERGY STAR Program Requirements for Residential Light Fixtures version 4.0 minimum efficacy requirements are specific to wattage and length and ENERGY STAR Program requirements for Compact Fluorescent Lamps version 3 are specific to wattage and whether the lamp is bare or covered. Because DOE is not proposing length or lamp cover as product class setting factors, minimum efficacy requirements for this product class were determined by lamp wattage. Consistent with 42 U.S.C. 6295(o)(1), DOE determined that products in the All CFLKs product class are subject to the highest of the existing standards for each wattage bin. Therefore, for products less than 15 W, DOE set the minimum baseline efficacy at 50 lm/W. For products greater than or equal to 15 W and less than 30 W, DOE set the baseline efficacy at 60 lm/W. For products greater than or equal to 30 W, DOE set the baseline efficacy at 70 lm/W. The combined minimum efficacy requirements based on wattage are shown in Table IV.3.
In the preliminary analysis, DOE identified a 14 W spiral CFL with 730 lumens as the baseline lamp. However, DOE found product literature indicating that the lamp is marketed for rough service applications, a feature DOE did not find to be utilized in CFLKs. DOE also received feedback that CFLK manufacturers typically purchase the least expensive lamp available and a rough service lamp would command a premium. Further, market information indicated that many 14 W CFLs with low lumen outputs typically had an additional feature (
After choosing a baseline lamp, DOE identifies commercially available lamps that can serve as more efficacious substitutes. DOE utilized a database of commercially available lamps and selected substitute lamps that both save energy and maintain comparable light output to the baseline lamp. Specifically, in the preliminary analysis, DOE ensured that potential substitutions maintained light output within 10 percent of the baseline lamp lumen output for the lamp replacement scenario and within 10 percent of the baseline fixture lumen output for the light kit replacement scenario. Further, DOE considered only technologies that met all four criteria in the screening analysis. Regarding the lamp characteristics of the substitutes, DOE selected replacement lamp units with lifetimes greater than or equal to that of the lifetime of the baseline lamp. DOE also selected replacement lamp units with a CRI, CCT, and bulb shape comparable to that of the baseline representative lamp unit. (For further detail on the more efficacious substitutes selected in the preliminary analysis, see chapter 5 of the preliminary TSD.)
In the preliminary analysis, DOE considered more efficacious lamps under two different substitution scenarios: (1) A lamp replacement scenario and (2) a light kit replacement scenario. DOE selected the baseline light kit for both scenarios as a two-socket medium base light kit because it was representative of the most common basic CFLK product. In the lamp replacement scenario, DOE assumed that manufacturers would maintain the original fixture design, including the number of sockets, and only replace the lamp. Thus, DOE selected the base types of the more efficacious substitutes to be the same as that of the baseline lamp. In the light kit replacement scenario, DOE accounted for the possibility that manufacturers may change fixture designs. Thus, the base types of the more efficacious substitutes were not required to be the same as that of the baseline lamp and the number of sockets could be changed. Specifically, DOE considered replacement light kits with between one and four sockets and non-medium screw base types. For example, the candidate standard level (CSL) 1 light kit replacement option utilized one medium screw base 23 W CFL, and the CSL 3 light kit replacement option included four medium screw base 5 W LED lamps in the preliminary analysis.
DOE received several comments on the two substitution scenarios. Westinghouse and Hunter Fans commented that the lamp replacement scenario is preferred to the light kit replacement scenario because it is less cumbersome in terms of design changes and product cost. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 132-133; Hunter Fans, Public Meeting Transcript, No. 82 at p. 173) Further, Westinghouse commented that the lamp replacement scenario is the primary method used by manufacturers, but that an increase in integrated SSL CFLKs might make the light kit replacement scenario more popular. In the short term, however, Westinghouse stated that the split between manufacturers replacing lamps versus changing light kits to meet standards is unlikely to be equal. (Westinghouse, Public Meeting Transcript, No. 82 at p. 173) When it was clarified that the light kit replacement scenario referred to a change in the number of sockets, and not replacement with integrated LED CFLKs, however, Westinghouse indicated that an even split between the lamp replacement and light kit replacement scenarios would be a reasonable estimate. (Westinghouse, Public Meeting Transcript, No. 82 at p. 175)
While comments from some stakeholders indicated that the light kit replacement scenario may not be the likely choice taken by manufacturers, it remains an option and one that may become more common in the future. A change in the number of sockets allows for a wider variety of lamp types, wattages, and lumen packages to be considered, including CFLKs that utilize integrated LEDs. Therefore, DOE retained the light kit replacement scenario for the NOPR because changing the light kit is a path that manufacturers may take to comply with standards. For further discussion of the percentage allocated to the likelihood of manufacturers choosing each scenario, see section IV.G.
DOE also received several comments from stakeholders on the more efficacious substitute lamps selected for CFLKs in the preliminary analysis. ALA agreed with the criteria used to select more efficacious substitute lamps, and with the proposed substitute lamps that DOE selected. (ALA, No. 93 at p. 9) The Joint Comment noted that many CFLKs on the market already exceed the minimum standard of 45 lm/W, and that there are ample CFL and LED CFLK options already offered by retailers. (Joint Comment, No. 95 at p. 2)
Westinghouse noted that the medium base, 800 lumen, 60 W equivalent product used as the basis for DOE's analysis is not used in 70 percent of CFLKs. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 231-232) DOE acknowledges that the majority of CFLKs currently reside in the existing Other Base Type product class, typically using lamps with candelabra bases. However, as a result of the revised product class structure discussed in section IV.C.3, DOE selected an 800-lumen baseline lamp because it was the most common lamp with an efficacy near the baseline level of the revised product class structure. DOE selects more efficacious substitutes with lumens within 10 percent of the baseline, but does not limit these substitutes to products found in CFLKs.
The Minka Group commented that the LED representative lamp units are not omnidirectional. (The Minka Group, Public Meeting Transcript, No. 82 at pp. 149-150) ALA stated that it is not currently aware of an LED lamp that offers the omnidirectional lighting of halogen lamps at a comparable size to halogens. (ALA, No. 93 at pp. 8) DOE performed a review of lamp catalog data and confirmed that the A-shape general service LED lamps used as more efficacious substitutes are marketed as omnidirectional.
Westinghouse commented that medium base A19 LED lamps are more efficacious than LED lamps with other base types and sizes, noting that candelabra-base LED lamps are about 10 percent lower in efficacy than medium base A-shape LED lamps. Further, Westinghouse stated that medium base
DOE performed a survey of lamps with small bases (
Further, DOE notes that CFLKs with LED modules and driver systems can offer similar modular design options as CFLKs that use lamps with small bases. DOE applied thermal and driver losses estimated from the DOE Multi-Year Program Plan for Solid-State Lighting Research and Development
The Minka Group commented that the warranty of LED lamps labeled as 50,000 hours is actually 25,000 hours, which is an industry standard. (The Minka Group, Public Meeting Transcript, No. 82 at p. 142) ALA agreed, remarking that the 50,000 hour lifetimes for LED lamps are very optimistic and do not hold in the field. ALA noted that ENERGY STAR life ratings would be more appropriate. (ALA, Public Meeting Transcript, No. 82 at pp. 140-141)
In the preliminary analysis, LED replacement lamps selected at higher CSLs had lifetimes of 50,000 hours. DOE revised its selection of more efficacious substitutes for the NOPR analysis. DOE performed a review of data from lamp catalogs and the ENERGY STAR database of certified products
Several stakeholders commented on dimming. ALA commented that dimmable CFLs are unacceptable for CFLKs because they have a larger form factor, a slower startup time, and poor dimming performance. (ALA, No. 93 at p. 7) Westinghouse agreed, commenting that CFLs usually do not dim well, and the ones that do are more expensive. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 110-111) ALA added that CFLK controls are not typically designed for use with dimmable CFLs. (ALA, No. 93 at p. 7) DOE notes that although dimmable CFLs are not available at all levels, dimmable LED lamps are available at higher ELs; thus this functionality is maintained in the analysis.
ALA remarked that there are issues with dimmable LED compatibility with controls, but it expects this to change over time. ALA projected that LED CFLKs will increase to 15 percent of the market in five years, and that 25-50 percent of these CFLKs will be dimmable, with 7.5 percent having acceptable dimming functionality. (ALA, No. 93 at p. 8) Fanimation also commented that a high percentage of LED lamps will have dimming functionality. (Fanimation, Public Meeting Transcript, No. 82 at p. 112) Westinghouse commented that dimmable LED lamps are more functional than dimmable CFLs, but noted that their cost is very high compared to incandescent and halogen technologies, which represent 80 percent of the CFLK market. Westinghouse added that dimmable LED lamps may be unsatisfactory to the consumer compared to incandescent lamps. Westinghouse opined that if a rule is promulgated that creates consumer dissatisfaction, the consumer will switch to less efficient products that are not currently regulated. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 110-111)
In response to these comments, DOE reviewed catalog data and feedback from stakeholders. Through this research, DOE confirmed that dimmable lamps are available at all of the analyzed levels, and that the ability to dim has a negligible impact on efficacy. Based on feedback from manufacturers and DOE's research, DOE has found that current issues regarding dimming mainly relate to compatibility with controls originally intended to be used with incandescent lamps. Further, NEMA is actively addressing the issue with SSL 7A-2013,
DOE made several key changes in the NOPR analysis that impacted the selection of more efficacious substitutes. First, using the baseline updated for the NOPR, DOE selected more efficacious substitute lamps that have a light output within 10 percent of 800 lumens, the light output of the new baseline lamp. Second, at EL 2, DOE analyzed two
At the time of this NOPR analysis, DOE has determined that a commercially available 3-way LED lamp when operated at its middle setting is more efficacious than any other commercially available lamp that could be considered an adequate replacement for the baseline lamp (
As EL 4 is based on a modeled product, a lamp suitable for direct replacement that complies with EL 4 is not currently commercially available. DOE learned through interviews that most CFLK manufacturers do not manufacture lamps, but rather purchase lamps from another supplier or manufacturer to package in CFLKs. As lamp manufacturers are not required to comply with standards promulgated by this rulemaking, DOE is uncertain as to whether such a lamp meeting EL 4 would be commercially available at the time CFLK manufacturers would need to comply with any amended standards.
DOE has determined that EL 4 can be met by other methods available to CFLK manufacturers; however, most of these options require redesigns of existing fixtures. Some commercially available lamps with smaller base types meet EL 4, but these are available with low lumen outputs and would therefore require several lamps to be incorporated into a new CFLK to provide the same amount of light. Some commercially available lamps with the same base type as the baseline lamp are available at EL 4, but these have higher lumen outputs such that a CFLK would have to be redesigned with fewer sockets to maintain the same light output. Alternatively, a few LED modules and drivers with a similar lumen output as the baseline lamp could be incorporated as consumer replaceable parts in CFLKs. However, all of these methods of meeting EL 4 reflect the fact that, for most situations, direct lamp replacement would not be a means of meeting the efficacy level.
The representative lamp unit at EL 3 is the most efficacious commercially available LED lamp that could be considered an adequate substitute for the baseline lamp (
The representative lamp units at EL 2 are a commercially available LED lamp and CFL and the representative lamp unit at EL 1 is a commercially available CFL, all of which are considered adequate substitutes for the baseline lamp (
The CFLK representative lamp units that DOE analyzed in the NOPR are shown in Table IV.5 for the lamp replacement scenario and in Table IV.6 for the light kit replacement scenario. DOE requests comment on the criteria used in selecting more efficacious substitute lamps, as well as the characteristics of the lamps selected.
DOE adopted an equation-based approach to establish ELs for CFLKs. In the preliminary analysis, DOE developed the general form of the equation by evaluating lamps with similar characteristics, such as technology, bulb shape, and lifetime, across a range of wattages. The continuous equations specified a minimum lamp efficacy requirement across wattages and represented the efficacy a lamp achieves. DOE received several comments regarding the EL equations.
The Joint Comment agreed with the equation-based lm/W standard, remarking that it is the most effective metric for establishing lighting standards for CFLKs. (Joint Comment, No. 95 at pp. 2-3) The Joint Comment opposed the use of lumen bins, and remarked that for general service incandescent lamps (GSILs), lumen bins have resulted in manufacturers selecting the lowest allowable light output within a bin. (Joint Comment, No. 95 at p. 3) However, Westinghouse commented that wattage-based efficacy equations would be confusing for CFLK manufacturers because they do not manufacture lamps. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 144-145) The Joint Comment suggested that, similar to the European Union, DOE should use an equation-based approach to establish minimum ELs as a function of light output. (Joint Comment, No. 95 at p. 3)
DOE analyzed commercially available lamps and found that a continuous equation best describes the relationship between efficacy and lamp wattage rather than bins. In the NOPR analysis, DOE altered its approach to base ELs on continuous equations as a function of light output rather than wattage. Available information indicates that the primary utility provided by a lamp is lumen output, which can be achieved through a range of wattages depending on the lamp technology. Further, fixed losses in lamps, such as power consumed by the integrated ballast/driver, become proportionally smaller at higher lumen outputs, thereby increasing efficacy proportionally to light output. For these reasons, DOE believes that lamps providing equivalent lumen output should be subject to the same minimum efficacy requirements.
Westinghouse commented that while DOE is setting an energy conservation standard, consumers value utility, and price points have been set for certain aspects, such as lamp size, dimmability, and lifetime. If the standard is too high, CFLK manufacturers trying to balance efficacy and utility at a consumer price point may not have any suitable products. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 148-149) DOE analyzed each EL to maintain the products' existing utility to the consumer including lifetime, dimming functionality, and availability of CFLK design options. DOE then analyzed the cost associated with each EL in the LCC analysis; see section IV.F for discussion on the cost effectiveness to consumers.
ALA suggested that DOE use minimum LCC as a criterion in developing its TSLs and selecting its proposed standard, and that DOE propose a standard that is no more stringent than CSL 2. (ALA, No. 93 at p. 11) ALA recommended that DOE propose a standard level that permits both CFLs and LED lamps, allowing CFLK manufacturers to select the best lighting technology to meet necessary utilities. (ALA, No. 93 at pp. 9-10, 12) DOE developed TSLs as described in section V.A. When proposing a standard, DOE weighs a variety of factors, including the maximum energy savings and NPV to the nation, as well as product availability and the costs and benefits to the individual consumer. See section V.C.1 for more information on the rationale used in selecting the proposed level.
As mentioned previously, DOE considered two scenarios: A lamp replacement scenario and a light kit replacement scenario. DOE selected ELs that could be met by the more efficacious substitutes identified in the lamp replacement scenario. DOE also identified more efficacious lamp substitutes for the light kit replacement scenario that had efficacies equal to or greater than the efficacies of the corresponding EL based on the lamp replacement scenario.
In the preliminary analysis, DOE had considered one CSL for the CFLKs with Externally Ballasted or Driven Lamps product class and five CSLs for the All Other CFLKs product class. (For further details, see chapter 5 of the preliminary TSD.) In the NOPR analysis, DOE analyzed all covered CFLKs in one product class. DOE surveyed the market, analyzed product catalogs, and took into account feedback from manufacturers to develop ELs. Based on this assessment, DOE identified varying levels of efficacy that reflected technology changes and met the criteria for developing ELs previously outlined. In the NOPR, DOE is considering four ELs.
Table IV.7 presents the ELs for CFLKs. See chapter 5 of the NOPR TSD for additional information on the methodology and results of the engineering analysis.
As shown in Table IV.7, DOE made adjustments to EL 1 and EL 2 to ensure that, consistent with 42 U.S.C. 6295(o), the efficacy remains above the current minimum standards summarized in Table IV.3. See Sections II.A and IV.C.3 for further discussion of this issue. For lamps less than 15 W, the minimum efficacy is 50 lm/W. For a light output of less than 260 lumens, DOE found that the EL 1 equation could potentially allow lamps that are less than 50 lm/W to meet standards and therefore set the minimum efficacy requirement at 50 lm/W for lamps in this lumen range. For a light output of less than 120 lumens, DOE found that the EL 2 equation could potentially allow lamps that are less than 50 lm/W to meet standards and therefore set the minimum efficacy requirement at 50 lm/W for lamps in this lumen range. DOE determined that no adjustments to any ELs were necessary to meet the 60 lm/W current standard applicable to lamps
For lamps
Typically DOE determines ELs for product classes that were not directly analyzed (“non-representative product classes”) by scaling from the ELs of the representative product classes. As DOE only identified one product class for CFLKs, no scaling was required.
Because the efficiency of a CFLK is based on the efficacy of the lamps with which it is packaged, DOE developed a product price determination for the lamp component of the CFLK. Typically, DOE develops manufacturer selling prices (MSPs) for covered products and applies markups to create consumer prices to use as inputs to the LCC analysis and NIA. Because lamps are difficult to reverse-engineer (
In the preliminary analysis, DOE determined premiums on CFLKs by comparing distributor net prices
ALA agreed that for CFLKs packaged with ceiling fans, a CFL would comprise 15 percent of the CFLK price. (ALA, No. 93 at p. 10) Hunter Fans also agreed with the 15 percent estimate for CFLs in a CFLK. (Hunter Fans, Public Meeting Transcript, No. 82 at p. 164) Hunter Fans, Westinghouse, Lamps Plus, and The Minka Group remarked that the percentage of consumer price attributable to an LED in a CFLK was too low, and that it is actually closer to 30 percent. (Hunter Fans, Public Meeting Transcript, No. 82 at p. 164; Westinghouse, Public Meeting Transcript, No. 82 at p. 165; Lamps Plus, Public Meeting Transcript, No. 82 at p. 165; The Minka Group, Public Meeting Transcript, No. 82 at p. 165) ALA commented that for CFLKs packaged with ceiling fans, an LED would comprise 30 percent of the consumer CFLK price and for a CFLK sold alone, an LED would comprise over 50 percent of the consumer price. (ALA, No. 93 at p. 10)
In the preliminary analysis, DOE used the methodology of applying a percentage of the CFLK consumer price attributable to the lamp only for CSL 1 because the representative lamp unit at this level is sold with CFLKs for which distributor net prices were available. Specifically, DOE applied 15 percent to CFLK consumer prices to obtain the consumer lamp price for a 13 W spiral CFL, the representative lamp unit at CSL 1. The CFL representative lamp unit at the baseline is also sold with CFLKs, but distributor net prices were not available for these CFLKs. The LED representative lamp units at all other levels are not sold with CFLKs. For these cases, DOE developed a ratio between the consumer price of the 13 W spiral CFL representative lamp unit when sold with a CFLK to the blue-book
Westinghouse noted that assuming that an LED lamp is 15 or 30 percent of the CFLK consumer price, the consumer price of the lamp at CSL 5, which requires an LED lamp, would imply that a CFLK at that level costs about $100. Westinghouse stated that $100 for a CFLK was unreasonably high, especially when compared to CFLKs packaged with CFLs sold at Home Depot for $25-$30, and could potentially put manufacturers out of business. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 204-207) However, Westinghouse commented that it is difficult to know whether the considered LED lamp price is too high or not, as price projections for LED lamps are difficult to estimate. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 210-211) Lamps Plus stated that regardless, if the price of a CFLK attributable to an LED was higher than 27 percent, sales would be significantly affected. (Lamps Plus, Public Meeting Transcript, No. 82 at p. 217) Lamps Plus added that at the $100 price point, consumers may choose to buy a lower cost light fixture instead of the CFLK. (Lamps Plus, Public Meeting Transcript, No. 82 at pp. 213-214)
In the preliminary analysis, DOE calculated the remaining CFLK consumer price (
Noting that lamps meeting higher CSLs were not currently sold in CFLKs, Westinghouse commented that the consumer lamp price and socket price were not being analyzed correctly because the analysis leaves out the current cost to consumers. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 182) Westinghouse commented that DOE did not determine the price of an incandescent lamp packaged with a CFLK in this analysis. (Westinghouse, Public Meeting Transcript, No. 82 at p. 167) Westinghouse added that the baseline price for a CFLK uses a medium base CFL, but that this product is more expensive than a CFLK with incandescent lamps. (Westinghouse, Public Meeting Transcript, No. 82 at p. 117)
Because representative lamp units at the baseline and ELs under consideration did not utilize incandescent technology, DOE did not develop prices for incandescent lamps. For further information on the selection of the representative lamp units, see section IV.C.
Overall, DOE maintained the general methodology used in the preliminary analysis to determine consumer prices of lamps sold with CFLKs in the NOPR analysis. However, in addition to updating the price data used, to more accurately reflect prices consumers will pay, DOE made the following modifications.
When developing consumer prices for representative lamp units not currently sold in CFLKs, in the NOPR analysis DOE used home center channel retail prices of the representative lamp units when sold alone instead of using the blue-book prices of the lamps. Because the home center channel has the highest volume of CFLKs, DOE determined that these prices more closely represent prices paid by CFLK consumers.
As noted, an average shipment-weighted premium on distributor net prices is used to calculate the consumer price of a CFLK packaged with the 13 W spiral CFL representative lamp unit. DOE updated the CFLK retail prices used to determine this premium for the NOPR analysis. Additionally, because DOE did not have distributor net price lists from all manufacturers, DOE adjusted the premium to ensure that it reflected the majority of the CFLK market. DOE based this adjustment on a ratio of CFLK retail prices from manufacturers that represent a majority of the market to the manufacturers for which DOE had distributor net prices.
In the preliminary analysis, to determine the consumer price of the 13 W spiral CFL representative lamp unit sold with a CFLK, DOE applied 15 percent to the consumer price of CFLKs sold with a ceiling fan and CFLKs sold alone. While comments from stakeholders verified that 15 percent should be applied to obtain the price of a CFL packaged with a CFLK sold with a ceiling fan, it is not clear that the same percentage would apply to CFLKs sold alone. Further CFLKs are primarily sold with ceiling fans. Therefore, in the NOPR analysis DOE only used consumer prices of CFLKs sold with ceiling fans to determine the consumer price of the 13 W spiral CFL representative lamp unit. (See chapter 7 of the NOPR TSD for further information on the methodology and results of the pricing analysis.) DOE welcomes feedback on the pricing methodology and results.
The purpose of the energy use analysis is to determine the annual energy consumption of CFLKs at different efficacies in representative U.S. homes and commercial buildings, and to assess the energy savings potential of increased CFLK efficacy. To develop annual energy use estimates, DOE multiplied CFLK input power by the number of hours of use (HOU) per year. The energy use analysis estimates the range of operating hours of CFLKs in the field (
To determine the average HOU of CFLKs in the residential sector, DOE collected data from a number of sources. Consistent with the approach taken in the GSL preliminary analysis,
DOE determined the regional variation in average HOU using average HOU data from regional metering studies, all of which are listed in the energy use chapter (chapter 6 of the NOPR TSD). DOE organized regional variation in HOU by each EIA Residential Energy Consumption Survey (RECS) reportable domain (
To estimate the variability in CFLK HOU by room type, DOE developed HOU distributions for each room type using data from the Northwest Energy Efficiency Alliance's Residential Building Stock Assessment Metering Study (RBSAM),
Based on the approach described in this section, DOE estimated the national weighted-average HOU of CFLKs to be 2.0 hours per day. For more details on the methodology DOE used to estimate the HOU for CFLKs in the residential sector, see chapter 6 of the NOPR TSD. DOE requests comment on the data and methodology used to estimate operating hours for CFLKs in the residential sector, as well as on the assumption that CFLK operating hours do not vary by light source technology (see section VII.E).
The HOU for CFLKs in commercial buildings were developed using lighting data for 15 commercial building types obtained from the 2010 U.S. Lighting Market Characterization (LMC).
DOE developed its estimate of the power consumption of CFLKs by scaling the input power and lumen output of the representative lamp units for CFLKs characterized in the engineering analysis to account for the lumen output of CFLKs in the market. DOE estimated average CFLK lumen output based on a weighted average of CFLK models from data collected in 2014 from in-store shelf surveys and product offerings on the Internet. DOE estimated the market share of each identified CFLK model based on price. See chapter 6 of the NOPR TSD for details on the price-weighting market share adjustment and how DOE estimated average weighted lumen output for all CFLKs
In response to the energy use analysis presented in the preliminary analysis, stakeholders provided comment only on DOE's handling of dimmable CFLKs. In the preliminary analysis, DOE did not account for energy savings resulting from dimming. Fanimation expects that a high percentage of CFLKs will have dimming functionality in the future. (Fanimation, Public Meeting Transcript, No. 82 at p. 112) ALA and Westinghouse added that dimmable CFLs are not a viable option for use in CFLKs due to their size, slow startup time, insufficient dimming capability, and cost, which leads to consumer dissatisfaction. (ALA, No. 93 at p. 7; Westinghouse, Public Meeting Transcript, No. 82 at pp. 110-111) ALA and Westinghouse also believe that the current control incompatibility issues associated with dimmable LED CFLKs prevent dimmable LEDs from being a viable option, but ALA believes that in five years LED CFLKs with acceptable dimming functionality could represent up to 7.5 percent of the CFLK market. (Id.)
Based on the technical issues ALA and Westinghouse raised, as well as the significant price premium for dimmable CFLs, DOE assumed that CFLKs are not likely to feature dimmable CFL lamps. DOE requests comments on this assumption (see section VII.E). In the NOPR analyses, DOE did not assume CFL CFLKs were operated with controls. On the other hand, DOE does believe that some fraction of LED and incandescent CFLKs are likely to be operated with a dimmer, which DOE considers to be the only relevant lighting control for CFLKs. For the NOPR analyses, DOE used the results of an LBNL survey
For dimmable CFLKs, DOE assumed an average energy reduction of 30 percent. This estimate was based on a meta-analysis of field measurements of
DOE conducts LCC and PBP analyses to evaluate the economic impacts on individual consumers of potential energy conservation standards. The effect of new or amended energy conservation standards on individual consumers usually involves a reduction in operating cost and an increase in purchase cost. DOE uses the following two metrics to measure consumer impacts:
• The LCC is the total consumer expense of an appliance or product over the life of that product, consisting of total installed cost (product price, sales tax, and installation costs) plus operating costs (expenses for energy use, maintenance, and repair). To compute the operating costs, DOE discounts future operating costs to the time of purchase and sums them over the lifetime of the product.
• The PBP (payback period) is the estimated amount of time (in years) it takes consumers to recover the increased purchase cost (including installation) of a more-efficient product through lower operating costs. DOE calculates the PBP by dividing the change in purchase cost at higher efficiency levels by the initial change in annual operating cost when amended or new standards are assumed to take effect.
For each CFLK standards case (
For each considered efficacy level, DOE calculated the LCC and PBP for a nationally representative consumer sample in each of the residential and commercial sectors. DOE developed consumer samples based on the 2009 RECS and the 2003 CBECS, for the residential and commercial sectors, respectively. For each consumer in the sample, DOE determined the energy consumption of CFLKs and the appropriate electricity price. By developing consumer samples, the analysis captured the variability in energy consumption and energy prices associated with the use of CFLKs.
DOE added sales tax, which varied by state, to the cost of the product developed in the product price determination to determine the total installed cost. DOE assumed that the installation costs did not vary by efficacy level, and therefore did not consider them in the analysis. DOE welcomes comments on this assumption (see section VII.E). Inputs to the calculation of operating expenses include annual energy consumption, energy prices and price projections, repair and maintenance costs, product lifetimes, and discount rates. DOE created distributions of values for product lifetime and discount rates, with probabilities attached to each value, to account for their uncertainty and variability.
The computer model DOE uses to calculate the LCC and PBP relies on a Monte Carlo simulation to incorporate uncertainty and variability into the analysis. The Monte Carlo simulations randomly sample input values from the probability distributions and CFLK user samples. The model calculated the LCC and PBP for products at each efficacy level for sample of 10,000 consumers per simulation run.
DOE calculated the LCC and PBP for all consumers as if each were to purchase a new product in the year that compliance with any amended standards is expected to be required. For this NOPR, DOE estimates publication of a final rule in 2016. Consistent with 42 U.S.C. 6295(m) and 6295(ff), DOE used 2019 as the first year of compliance with any amended standards.
Table IV.8 summarizes the approach and data DOE used to derive inputs to the LCC and PBP calculations. The subsections that follow provide further discussion. Details of the spreadsheet model, and of all the inputs to the LCC and PBP analyses, are contained in chapter 8 and its appendices of the NOPR TSD.
DOE developed the weighted-average CFLK socket costs and consumer prices for all representative lamp units presented in the engineering analysis in the product price determination (chapter 7 of the NOPR TSD). DOE did not account for the remaining price of the CFLK (
DOE also used a price learning analysis to account for changes in lamp prices that are expected to occur between the time for which DOE has data for lamp prices (2014) and the assumed compliance date of the rulemaking (2019). For details on the price learning analysis, see section IV.G.
DOE applied sales tax, which varies by geographic location, to the total product cost. DOE collected sales tax data from the Sales Tax Clearinghouse
Disposal cost is the cost a consumer pays to dispose of their retired CFLK. In the preliminary analysis, DOE assumed that 10 percent of commercial consumers pay $1 per lamp to dispose of CFL and LED lamps. Westinghouse agreed with DOE's assumed disposal cost of $1 per lamp for CFL lamps, but disagreed with DOE's assumption that LED lamps have a disposal cost associated with them. (Westinghouse, Public Meeting Transcript, No. 82 at p. 195) ALA agreed with Westinghouse regarding disposal costs for LED lamps, stating that LEDs would not have equivalent disposal costs to CFLs because LEDs do not contain mercury. (ALA, No. 93 at p. 10)
Because LED lamps do not contain mercury, DOE assumed in the NOPR analyses that LED CFLKs do not have an associated disposal cost. In the preliminary analysis, DOE assumed that 10 percent of commercial consumers pay a $1 per lamp disposal cost for CFLs. DOE also assumed that the fraction of commercial consumers who pay to recycle CFLs is smaller than the fraction who pay to recycle linear fluorescent lamps. However, DOE received comments from stakeholders during the GSL preliminary analysis public meeting indicating that the commercial consumers who pay to recycle linear fluorescent lamps also pay to recycle CFLs.
In the preliminary analysis, DOE used average retail electricity prices to conduct its analyses. In response to this methodology, ALA suggested DOE use marginal retail electricity prices rather
To arrive at electricity prices in future years, DOE multiplied the marginal 2014 electricity prices by the forecast of annual residential or commercial electricity price changes for each Census division from EIA's
DOE used the electricity price trends associated with the
In the LCC analysis, DOE assumes that in both the commercial and residential sectors, lamps fail only at the end of the lamp service life. The service life (in years) is determined by dividing the lamps' rated lifetime (in hours) by the lamps' average operating hours per year.
Replacement costs include, in principle, both the lamps and labor associated with replacing a CFLK lamp at the end of its lifetime. However, DOE assumes that labor costs for lamp replacements are negligible and therefore did not include them in the analysis. Thus, DOE considers that the only first costs associated with lamp replacements are lamp purchase costs to consumers.
DOE assumed that consumers replace failed lamps with new lamps chosen from options available in the lighting market that have the same base type and provide an equivalent lumen output. DOE modeled this decision using a consumer-choice model, which incorporates consumer sensitivity to first cost and operation and maintenance (O&M) cost. DOE accounted for the first cost associated with purchasing a replacement lamp, the electricity consumption and operating costs depending on replacement lamp wattage, and the residual value of the lamp at the end of the CFLK lifetime. For details, see chapter 8 of the NOPR TSD.
DOE accounted for variability in the CFLK lifetimes by assigning a lifetime distribution
The residual value represents the remaining dollar value of surviving lamps at the end of the CFLK lifetime, discounted to the compliance year. DOE assumed that all lamps with lifetimes shorter than the CFLK lifetime are replaced. To account for the value of any initially packaged or replacement lamps with remaining life to the consumer, the LCC model applies this residual value as a “credit” at the end of the CFLK lifetime, which is discounted back to the start of the analysis period. Because DOE estimates that LED lamps undergo price learning, the residual value of these lamps is calculated based on the LED lamp price in the year the CFLK is retired.
In the calculation of LCC, DOE applies discount rates appropriate to households to estimate the present value of future operating costs. DOE estimated a distribution of residential discount rates for CFLKs based on consumer financing costs and opportunity cost of funds related to appliance energy cost savings and maintenance costs.
To establish residential discount rates for the LCC analysis, DOE identified all relevant household debt or asset classes to approximate a consumer's opportunity cost of funds related to appliance energy cost savings. It estimated the average percentage shares of the various types of debt and equity by household income group using data from the Federal Reserve Board's Survey of Consumer Finances
To establish commercial discount rates for the LCC analysis, DOE estimated the cost of capital for companies that purchase CFLKs. The weighted-average cost of capital is commonly used to estimate the present value of cash flows to be derived from a typical company project or investment. Most companies use both debt and equity capital to fund investments, so their cost of capital is the weighted average of the cost to the firm of equity and debt financing, as estimated from financial data for publicly traded firms in the sectors that purchase CFLKs. For this analysis, DOE used Damodaran online
To accurately estimate the share of consumers that would be affected by a potential energy conservation standard at a particular efficacy level, DOE's LCC analysis considered the projected distribution (
In the reference scenario, DOE calculated the LCC savings at each TSL based on the change in LCC for each standards case compared to the no-standards case, considering the efficacy distribution of products derived by the shipments analysis. Unlike the roll-up approach applied in the preliminary analysis, where the market share of ELs below the standard level `rolls up' to the least efficient EL still available in each standards case, the reference approach allows consumers to choose more-efficient (and sometimes less expensive) products at higher ELs and is intended to more accurately reflect the impact of a potential standard on consumers.
DOE also performed the roll-up approach as an alternative scenario to calculate LCC savings. For details on both the market-transformation and the roll-up approach, see chapter 8 of the NOPR TSD.
The payback period is the amount of time it takes the consumer to recover the additional installed cost of more-efficient products, compared to the least efficient products on the market, through energy cost savings. Payback periods are expressed in years. Payback periods that exceed the life of the product mean that the increased total installed cost is not recovered in reduced operating expenses.
The inputs to the PBP calculation for each efficacy level are the change in total installed cost of the product and the change in the initial annual operating expenditures relative to the least efficient product on the market. The PBP calculation uses the same inputs as the LCC analysis, except that discount rates and energy price trends are not needed. DOE did not consider the impact of replacement lamps (that replace the initially packaged lamps when they fail) in the calculation of the PBP.
As noted above, EPCA, as amended, establishes a rebuttable presumption that a standard is economically justified if the Secretary finds that the additional cost to the consumer of purchasing a product complying with an energy conservation standard level will be less than three times the value of the first year's energy savings resulting from the standard, as calculated under the applicable test procedure. (42 U.S.C. 6295(o)(2)(B)(iii)) For each considered efficacy level, DOE determined the value of the first year's energy savings by calculating the energy savings in accordance with the applicable DOE test procedure, and multiplying those savings by the average energy price forecast for the year in which compliance with the amended standards would be required.
DOE uses projections of product shipments to calculate the national impacts of potential amended energy conservation standards on energy use, NPV, and future manufacturer cash flows. Historical shipments data are used to build up an equipment stock, and to calibrate the shipments model to project shipments over the course of the analysis period based on the estimated future demand for CFLKs. Details of the shipments analysis are described in chapter 9 of the NOPR TSD.
The shipments model projects total shipments and market share efficacy distributions in each year of the 30-year analysis period (2019-2048) for the no-standards case and each of the standards cases. Shipments are calculated for the residential and commercial sectors assuming 95 percent of shipments are to the residential sector and 5 percent are to the commercial sector. DOE requests comments on this assumed breakdown of CFLK usage (see section VII.E). DOE further assumed in its analysis that CFLKs are primarily found on low-volume ceiling fans. DOE requests any information regarding shipments of CFLKs intended for high-volume ceiling fans. DOE also assumed that the distribution of CFLKs by light source
The shipments model consists of three main components: (1) A demand model that determines the total demand for new CFLKs in each year of the analysis period, (2) a stock model that tracks the age distribution of the stock over the analysis period, and (3) a modified consumer-choice model that determines the market shares of purchased CFLKs across ELs.
The CFLK shipments demand model considers four market segments that impact the net demand for total shipments: Replacements for retired stock, additions due to new building construction, additions due to expanding demand in existing buildings, and reductions due to building demolitions, which erodes demand from replacements and existing buildings.
The stock accounting model tracks the age (vintage) distribution of the installed CFLK stock. The age distribution of the stock is a key input to both the national energy savings (NES) and NPV calculations, because the operating costs for any year depend on the age distribution of the stock. Older, less efficient units may have higher operating costs, while newer, more-efficient units have lower operating costs. The stock accounting model is initialized using historical shipments data and accounts for additions to the stock (
The modified consumer-choice model estimates the market shares of purchases in each year in the analysis period for each efficacy level presented in the engineering analysis. In the case of CFLKs, the lamps included with the CFLK are chosen by the CFLK manufacturer. A key assumption of DOE's CFLK consumer-choice model is that when LED lamps reach price parity with comparable CFL lamps, manufacturers will purchase LED lamps to package with a CFLK, making only those lamps available to the consumer. In other words, DOE assumes that CFLK manufacturers will not pay a price premium to package with CFLs compared to LED lamps. DOE requests feedback on this assumption (see section VII.E). Prior to the point when LED lamps reach price parity with CFLs, market share to LED CFLKs is allocated following an adoption curve discussed in more detail below.
As described in the engineering analysis, DOE assumed that CFLK manufacturers could respond in two ways to an amended energy conservation standard. Manufacturers could maintain the current base type and number of lamps in a CFLK design and simply replace lamps currently packaged with CFLKs with a more-efficient option (lamp replacement scenario), or they could reconfigure CFLKs to include a different base type and/or number of lamps, in addition to packaging with more-efficient lamp options (light kit replacement scenario). DOE assumed that there was no inherent preference between the two scenarios and split market share evenly between them. DOE requests comment on the likelihood of CFLK manufacturers selecting each substitution scenario and information on any alternative scenarios that manufacturers may choose (see section VII.E).
DOE's shipments model estimates the adoption of LED technologies using an incursion curve and a modified consumer-choice model in both the no-standards and amended standards cases. In the preliminary analysis, DOE estimated the market share of LED CFLKs in the compliance year would be approximately 27 percent in its reference scenario. This estimate was based on the market shares of LED A-type lamps presented in the report,
Based on the current market share of LED CFLKs, a market share lower than 27 percent in the compliance year is a reasonable assumption. For the NOPR analysis, DOE used the Bass diffusion curve developed in the SSL report for GSLs to estimate the market share apportioned to LED ELs. DOE assumed the adoption of LEDs in the CFLK market would trail behind adoption of LED technology in the GSL market by 3.5 years. In the NOPR analysis, DOE's LED incursion curve for CFLKs results in a market share of 14 percent for LED lamps in 2019. DOE requests comment on this approach (see section VII.E). Based on observed trends in the efficacy of LED lamps on the market over time, DOE assumed the market for LED lamps would naturally move to more efficacious ELs in the no-standards case as well as the standards cases. DOE requests comment on this assumption (see section VII.E).
In the preliminary analysis, DOE assumed that only LEDs will continue to undergo significant cost reduction due to price learning, and DOE estimated the learning rate based on price learning projections for the general LED market. Westinghouse and ALA agree with DOE's assumption that only LEDs will continue to undergo significant cost reduction due to price learning; however, ALA believes DOE's LED price learning assumption estimate is too high. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 231-233; ALA, No. 93 at p. 10) Westinghouse, on the other hand, was tentatively in agreement with DOE's LED price learning estimates for CFLKs. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 231-233)
In the NOPR analysis, DOE again assumed that price learning would occur only for LEDs. DOE requests comment on this assumption (see section VII.E). DOE used the price trends developed in the GSLs preliminary analysis for the reference scenario in the base case of that rulemaking (
In the preliminary analysis for the concurrent GSL energy conservation standards rulemaking,
The Consolidated and Further Continuing Appropriations Act, 2015 (Public Law 113-235, Dec. 16, 2014), in relevant part, restricts the use of appropriated funds in connection with several aspects of DOE's incandescent lamps energy conservation standards program. Specifically, section 313 states that none of the funds made available by the Act may be used to implement or enforce standards for GSILs, intermediate base incandescent lamps and candelabra base incandescent lamps. Thus, DOE is not considering GSILs in the GSL rulemaking. Because GSILs are not included in the scope of the GSL rulemaking, DOE assumed that any GSL final rule would not yield sufficient energy savings to avoid triggering the EISA 2007 45 lm/W backstop requirement in 2020. Accordingly, DOE has assumed in both the no-standards and the standards-case shipment projections that candelabra-base lamps with efficacy below the minimum requirement of 45 lm/W will no longer be an option available for packaging with CFLKs beginning January 1, 2020.
In the preliminary analysis, DOE used an initial relative price elasticity of demand of −0.34, which is the value DOE has typically used for residential appliances. DOE notes that the fractional drop in CFLK shipments in the standards cases is proportional to the change in CFLK purchase price compared to the total price of a ceiling fan and CFLK system. Given that the CFLK price is relatively small compared to the ceiling fan price, DOE will address comments related to price elasticity in the ceiling fan ECS NOPR. For the CFLK NOPR analyses, DOE again used an initial relative price elasticity of demand of −0.34.
In the preliminary analysis, DOE assumed that the vast majority of CFLKs were sold with ceiling fans and noted that a standard for ceiling fans could also reduce CFLK shipments (and vice versa). For this NOPR, DOE did not assume a standard on ceiling fans in its projections for CFLK shipments because DOE has not yet proposed a ceiling fan standard.
The NIA assesses the NES and the NPV from a national perspective of total consumer costs and savings that would be expected to result from new or amended standards at specific ELs. (“Consumer” in this context refers to consumers of the product being regulated.) DOE calculates the NES and NPV based on projections of annual product shipments, along with the annual energy consumption, total installed cost, and the costs of relamping. For the NOPR analysis, DOE projected the energy savings, operating-cost savings, product costs, and NPV of consumer benefits over the lifetime of CFLKs shipped from 2019 through 2048.
DOE evaluates the impacts of amended standards by comparing a no-standards-case projection with standards-case projections. The no-standards-case projection characterizes energy use and consumer costs in the absence of amended energy conservation standards. The standards-case projections characterize energy use and consumer cost for the market distribution where CFLKs that do not meet the TSL being analyzed are excluded as options available to the consumer. As described in section IV.G of this notice, DOE developed market share distributions for CFLKs at each EL in the no-standards case and each of the standards cases in its shipments analysis.
DOE uses a spreadsheet model to calculate the energy savings and the national consumer costs and savings from each TSL. Interested parties can review DOE's analyses by changing various input quantities within the spreadsheet. The NIA spreadsheet model uses typical values (as opposed to probability distributions) as inputs.
Table IV.10 summarizes the inputs and methods DOE used for the NIA analysis for the NOPR. Discussion of these inputs and methods follows the table. See chapter 10 of the NOPR TSD for further details.
The NES analysis involves a comparison of national energy consumption of the considered products in each potential standards case (TSL) with consumption in the case with no new or amended energy conservation standards. DOE calculated the national energy consumption by multiplying the number of units (stock) of each product (by vintage or age) by the unit energy consumption (also by vintage). DOE accounts for changes in unit energy consumption as the lamps packaged with the CFLK are retired at the end of the lamp lifetime and new lamps are purchased as replacements for the existing CFLK. DOE uses a consumer-choice model, described in section IV.G, to determine the mix of lamps chosen as replacements.
DOE calculated annual NES based on the difference in national energy consumption for the no-standards case and for the case where a standard is set at each TSL. DOE estimated energy consumption and savings based on site energy and converted the electricity consumption and savings to primary energy (
In response to the recommendations of a committee on “Point-of-Use and Full-Fuel-Cycle Measurement Approaches to Energy Efficiency Standards” appointed by the National Academy of Sciences, DOE announced its intention to use FFC measures of energy use and greenhouse gas and other emissions in the national impact analyses and emissions analyses included in future energy conservation standards rulemakings. 76 FR 51281 (August 18, 2011). After evaluating the approaches discussed in the August 18, 2011 notice, DOE published a statement of amended policy in which DOE explained its determination that EIA's National Energy Modeling System (NEMS) is the most appropriate tool for its FFC analysis and its intention to use NEMS for that purpose. 77 FR 49701 (August 17, 2012). NEMS is a public domain, multi-sector, partial equilibrium model of the U.S. energy sector
In response to the calculated NES presented in the preliminary analysis, the Joint Comment requested that DOE review the savings estimates to confirm that they accurately represent the effect of a standard set at each CSL. The Joint Comment conducted an analysis of energy savings per unit for CFLKs packaged with sub-baseline lamps compared to CFLKs packaged with lamps corresponding to each of several ELs considered by DOE. The Joint Comment compared the results of this analysis to the NES reported by DOE for each case when a standard is set at a particular efficacy level, and suggested that the estimated energy savings in the preliminary analysis for CSL 0 may be too low. (Joint Comment, No. 95 at p. 3)
DOE has reviewed and confirmed its analysis of NES at each efficacy level. ASAP,
The inputs for determining the NPV of the total costs and benefits experienced by consumers are: (1) Total annual installed cost; (2) total annual savings in operating costs; and (3) a discount factor to calculate the present value of costs and savings. DOE calculates net savings each year as the difference between the no-standards case and each standards case in terms of total savings in operating costs versus
The operating-cost savings are primarily energy cost savings, which are calculated using the estimated energy savings in each year and the projected price of electricity. To estimate electricity prices in future years, DOE multiplied the average regional electricity prices by the forecast of annual national-average residential or commercial electricity price changes in the reference case from
Operating-cost savings are also impacted by the costs incurred by consumers to relamp their CFLK over the course of the CFLK lifetime, as well as any impact the new lamps may have on the efficacy of the CFLK. Any remaining residual life in lamps at the end of the CFLK lifetime (for either the initially packaged lamps or replacement lamps) is expressed as a credit that is deducted from the operating cost.
DOE estimated the range of potential impacts of amended standards by considering high and low benefit scenarios. In the high benefits scenario, DOE used the High Economic Growth
In calculating the NPV, DOE multiplies the net savings in future years by a discount factor to determine their present value. For this NOPR, DOE estimated the NPV of consumer benefits using both a 3-percent and a 7-percent real discount rate. DOE uses these discount rates in accordance with guidance provided by the Office of Management and Budget (OMB) to Federal agencies on the development of regulatory analysis.
In analyzing the potential impact of new or amended standards on consumers, DOE evaluates the impact on identifiable subgroups of consumers that may be disproportionately affected by a new or amended national standard. DOE evaluates impacts on particular subgroups of consumers by analyzing the LCC impacts and PBP for those particular consumers from alternative standard levels. For this NOPR, DOE analyzed the impacts of the considered standard levels on low-income households and small businesses. Chapter 11 of the NOPR TSD describes the consumer subgroup analysis.
DOE conducted an MIA for CFLKs to estimate the financial impact of proposed standards on manufacturers of CFLKs. The MIA has both quantitative and qualitative aspects. The quantitative part of the MIA relies on the GRIM, an industry cash-flow model customized for the CFLKs covered in this rulemaking. The key GRIM inputs are data on the industry cost structure, equipment costs, shipments, and assumptions about markups, and conversion costs. The key MIA output is INPV. DOE used the GRIM to calculate cash flows using standard accounting principles and to compare changes in INPV between a no-standards case and various TSLs (the standards case). The difference in INPV between the base and standards cases represents the financial impact of amended energy conservation standards on CFLK manufacturers. Different sets of assumptions (scenarios) produce different INPV results. The qualitative part of the MIA addresses factors such as manufacturing capacity; characteristics of, and impacts on, any particular subgroup of manufacturers; and impacts on competition.
DOE conducted the MIA for this rulemaking in three phases. In the first phase, DOE prepared an industry characterization based on the market and technology assessment, preliminary manufacturer interviews, and publicly available information. In the second phase, DOE estimated industry cash flows in the GRIM using industry financial parameters derived in the first phase and the shipment scenarios used in the NIA. In the third phase, DOE conducted interviews with a variety of CFLK manufacturers that account for more than 30 percent of domestic CFLK sales covered by this rulemaking. During these interviews, DOE discussed engineering, manufacturing, procurement, and financial topics specific to each company and obtained each manufacturer's view of the CFLK industry as a whole. The interviews provided information that DOE used to evaluate the impacts of amended standards on manufacturers' cash flows, manufacturing capacities, and direct domestic manufacturing employment levels. See section V.B.2.b of this NOPR for the discussion on the estimated changes in the number of domestic employees involved in manufacturing CFLKs covered by standards. See section IV.J.4 of this NOPR for a description of the key issues that manufacturers raised during the interviews.
During the third phase, DOE also used the results of the industry characterization analysis in the first phase and feedback from manufacturer interviews to group manufacturers that exhibit similar production and cost structure characteristics. DOE identified one manufacturer subgroup for a separate impact analysis—small business manufacturers—using the small business employee threshold of 750 total employees published by the Small Business Administration (SBA). This threshold includes all employees in a business' parent company and any other subsidiaries. Based on this classification, DOE identified 34 CFLK manufacturers that qualify as small businesses. The complete MIA is presented in chapter 12 of the NOPR TSD, and the analysis required by the
DOE uses the GRIM to quantify the changes in cash flows over time due to amended energy conservation standards. These changes in cash flows result in either a higher or lower INPV for the standards case compared to the no-standards case (the case where a new standard is not set). The GRIM analysis uses a standard annual cash-flow analysis that incorporates manufacturer costs, markups, shipments, and industry financial information as inputs. It then models changes in costs, investments, and manufacturer margins that result from amended energy conservation standards. The GRIM uses these inputs to calculate a series of annual cash flows beginning with the base year of the analysis, 2015, and continuing to 2048. DOE computes INPV by summing the stream of annual discounted cash flows during the analysis period. DOE used a real discount rate of 7.4 percent for CFLK manufacturers. Initial discount rate estimates were derived from industry corporate annual reports to the Securities and Exchange Commission (SEC 10-Ks). DOE initially derived a real discount rate of 5.9 percent from publicly available SEC 10-Ks. During manufacturer interviews, CFLK manufacturers were asked to provide feedback on this discount rate. Based on manufacturer feedback that the 5.9 percent discount was too low for the CFLK industry and that 7.4 percent was a more accurate reflection of their typical rate of return on their investments, DOE revised the real discount rate to be 7.4 percent for this analysis. Many inputs into the GRIM come from the engineering analysis, the NIA, manufacturer interviews, and other research conducted during the MIA. The major GRIM inputs are described in detail in the following sections.
DOE expects amended CFLK energy conservation standards to cause manufacturers to incur conversion costs by bringing their tooling and product designs into compliance with amended standards in the light kit replacement scenario. For the MIA, DOE classified these conversion costs into two major groups: (1) Capital conversion costs and (2) product conversion costs. Capital conversion costs are investments in property, plant, and equipment necessary to adapt or change existing tooling equipment such that new product designs can be fabricated and assembled. Product conversion costs are investments in research, development, testing, marketing, certification, and other non-capitalized costs necessary to make product designs comply with amended standards.
Using feedback from manufacturer interviews, DOE conducted a bottom-up analysis to calculate the capital and product conversion costs for CFLK manufacturers for each product class at each EL. To conduct this bottom-up analysis, DOE used manufacturer input from manufacturer interviews regarding the types and dollar amounts of discrete capital and product expenditures that would be necessary to convert specific production lines for CFLKs at each EL. DOE examined conversion costs for each replacement scenario separately. In the lamp replacement scenario, CFLK manufacturers comply with amended standards by replacing the lamps in the CFLKs with more efficacious lamps that meet amended standards. DOE assumed that there would be no capital or product conversion costs for the lamp replacement scenario because CFLK manufacturers are not required to adjust the type or number of lamps in their CFLK, nor are they required to make any adjustments to the existing fixtures. In the light kit replacement scenario, CFLK manufacturers can comply with amended standards by changing the fixture designs (
Manufacturing more efficacious CFLKs can result in changes in manufacturer production costs (MPCs) as a result of varying components required to meet ELs at each TSL. Changes in MPCs for these more efficacious components can impact the revenue, gross margin, and the cash flows of CFLK manufacturers. Typically, DOE develops MPCs for the covered products and uses the prices as an input to the LCC analysis and NIA. However, because the CFLK standard is based on the efficacy of the lamps with which it is packaged and lamps are difficult to reverse-engineer, DOE directly derived end-user prices and used them to calculate the MPCs for CFLKs in this rulemaking.
To determine MPCs of CFLKs from end-user prices, DOE divided the end-user price of CFLKs at each EL by a manufacturer markup and by a distributor markup. DOE determined the manufacturer markup by examining the SEC 10-Ks of all publicly traded CFLK manufacturers to estimate an average CFLK manufacturer markup of 1.37. DOE determined the distributor markup by surveying distributor net prices in the three main CFLK distribution channels to estimate a distributor markup of 1.52 for CFLKs. Feedback from manufacturer interviews indicated that the respective markups were appropriate for the CFLK industry. In the no-standards case, the MSP is represented by the end-user price divided by the distributor markup. For a complete description of end-user prices, see the product price determination in section IV.D of this NOPR.
INPV, which is the key GRIM output, depends on industry revenue, which depends on the quantity and prices of CFLKs shipped in each year of the analysis period. Industry revenue calculations require forecasts of: (1) Total annual shipment volume of CFLKs; (2) the distribution of shipments across the product class (because prices vary by product class); and, (3) the distribution of shipments across ELs (because prices vary with lamp efficacy).
Since the majority of CFLKs are sold with ceiling fans, DOE modeled CFLK shipments based on ceiling fan shipments. DOE modeled ceiling fan shipments and the growth of ceiling fan shipments using replacements shipments of failed ceiling fan units, new construction starts as projected by
In the standards case, the change in the number of shipments is driven by changes in average CFLK price as a result of the standard. The lifetime of CFLKs is estimated to be the same as the lifetime of a ceiling fan in this analysis, and is not projected to impact the shipments of CFLKs. For a complete description of the shipments, see the shipments analysis discussion in section IV.G of this NOPR.
As discussed in the previous manufacturer production costs section, the MPCs for CFLKs are the manufacturers' costs for those units. These costs include materials, labor, depreciation, and overhead, which are collectively referred to as the cost of goods sold (COGS). The MSP is the price received by CFLK manufacturers from their consumers, typically a distributor, regardless of the downstream distribution channel through which the CFLKs are ultimately sold. The MSP is not the cost the end user pays for CFLKs because there are typically multiple sales along the distribution chain and various markups applied to each sale. The MSP equals the MPC multiplied by the manufacturer markup. The manufacturer markup covers all the CFLK manufacturer's non-production costs (
Modifying these manufacturer markups in the standards case yields a different set of impacts on CFLK manufacturers than in the no-standards case. For the MIA, DOE modeled two standards-case markup scenarios for CFLKs to represent the uncertainty regarding the potential impacts on prices and profitability for CFLK manufacturers following the implementation of amended energy conservation standards. The two scenarios are: (1) A preservation of gross margin, or flat, markup scenario; and (2) a two-tiered markup scenario. Each scenario leads to different manufacturer markup values, which, when applied to the inputted MPCs, result in varying revenue and cash-flow impacts on CFLK manufacturers.
The preservation of gross margin markup scenario assumes that the COGS for each product is marked up by a preservation of gross margin percentage to cover SG&A expenses, R&D expenses, interest expenses, and profit. This allows manufacturers to preserve the same gross margin percentage in the standards case as in the no-standards case. This markup scenario represents the upper bound of the CFLK industry's profitability in the standards case because CFLK manufacturers are able to fully pass additional costs due to standards to their consumers.
To derive the preservation of gross margin markup percentages for CFLKs, DOE examined the SEC 10-Ks of all publicly traded CFLK manufacturers to estimate the industry average gross margin percentage. Manufacturers were then asked to verify the industry gross margin percentage derived from SEC 10-Ks during manufacturer interviews.
DOE also modeled a two-tiered markup scenario, which reflects the industry's high and low efficacy product pricing structure. DOE modeled the two-tiered markup scenario because multiple manufacturers stated in interviews that they offer multiple tiers of product lines that are differentiated, in part, by efficacy level. The higher efficacy tiers typically earn premiums (for the manufacturer) over the baseline efficacy tier. Several manufacturers suggested that amended standards would lead to a reduction in premium markups and reduce the profitability of higher efficacy products. During the MIA interviews, manufacturers provided information on the range of typical ELs in those tiers and the change in profitability at each level. DOE used this information to estimate markups for CFLKs under a two-tiered pricing strategy in the no-standards case. In the standards case, DOE modeled the situation in which standards result in less product differentiation, compression of the markup tiers, and an overall reduction in profitability.
Interested parties commented on the assumptions and results of the preliminary analysis. Hunter Fans stated that because CFLK manufacturers are not lamp manufacturers, if the standard requires a more efficacious LED lamp than the lamp manufacturers produce for CFLKs, the fan manufacturers would have to stop producing CFLKs. (Hunter Fans, Public Meeting Transcript, No. 82 at pp. 208-209) Westinghouse agreed, emphasizing that CFLK product development trails the development of applicable lamps. If the standard is set beyond the efficacy of commercially available lamps, CFLK manufacturers would be forced to wait, and choose between significantly redesigning existing products and exiting the market. (Westinghouse, Public Meeting Transcript, No. 82 at pp. 141-142) Westinghouse also noted that it becomes somewhat burdensome for fan manufacturers to lead the efficacy on lamps instead of lamps manufacturers as a result of a lamps rulemaking such as the ongoing GSL energy conservation standards rulemaking. (Westinghouse, Public Meeting Transcript, No. 82 at p. 192).
DOE understands that most CFLK manufacturers do not manufacture lamps but rather purchase lamps from another supplier or manufacturer. DOE has determined that the proposed TSL can be met with replacement lamps currently available on the market. See section V.C of this NOPR for more information on the selection of the proposed TSL.
DOE conducted additional interviews with manufacturers following the preliminary analysis as part of the NOPR analysis. In these interviews, DOE asked manufacturers to describe their major concerns with this CFLK rulemaking. Manufacturers identified two major areas of concern: (1) Duplicative regulation and (2) shift to air conditioning.
a. Duplicative Regulation
Some manufacturers commented that a separate regulation specifically for CFLKs was unnecessary, as most lamps placed in CFLKs would be covered by other lighting energy conservation standards, such as the ongoing GSLs rulemaking. 78 FR 73737 (December 9, 2013). These manufacturers claimed that there would not be significant additional energy savings from separate CFLK standards.
Manufacturers were also concerned about a potential technology shift in the CFLK market as a result of energy conservation standards. Manufacturers stated that CFLK standards may require that more efficacious lamps be used in CFLKs, which could significantly increase the price of the overall ceiling fan. Manufacturers pointed out that this could cause consumers to choose air conditioning systems rather than ceiling fans. These manufacturers claimed that this could result in more energy use, since ceiling fans could be more efficient at cooling rooms than air conditioners.
In the emissions analysis, DOE estimated the change in power sector
DOE primarily conducted the emissions analysis using emissions factors for CO
For CH
The
SO
Because
The attainment of emissions caps is typically flexible among EGUs and is enforced through the use of emissions allowances and tradable permits. Under existing EPA regulations, any excess SO
Beginning in 2016, however, SO
CAIR established a cap on NO
The MATS limit mercury emissions from power plants, but they do not include emissions caps and, as such, DOE's energy conservation standards would likely reduce Hg emissions. DOE estimated mercury emissions reduction using emissions factors based on
As part of the development of this proposed rule, DOE considered the estimated monetary benefits from the reduced emissions of CO
For this NOPR, DOE relied on a set of values for the SCC that was developed by a Federal interagency process. The basis for these values is summarized in the next section, and a more detailed description of the methodologies used is provided in appendices 14A and 14B of the NOPR TSD.
The SCC is an estimate of the monetized damages associated with an incremental increase in carbon emissions in a given year. It is intended to include (but is not limited to) changes in net agricultural productivity, human health, property damages from increased flood risk, and the value of ecosystem services. Estimates of the SCC are provided in dollars per metric ton of CO
Under section 1(b) of Executive Order 12866, “Regulatory Planning and Review,” 58 FR 51735 (Oct. 4, 1993), agencies must, to the extent permitted by law, “assess both the costs and the benefits of the intended regulation and, recognizing that some costs and benefits are difficult to quantify, propose or adopt a regulation only upon a reasoned determination that the benefits of the intended regulation justify its costs.” The purpose of the SCC estimates presented here is to allow agencies to incorporate the monetized social benefits of reducing CO
As part of the interagency process that developed these SCC estimates, technical experts from numerous agencies met on a regular basis to consider public comments, explore the technical literature in relevant fields, and discuss key model inputs and assumptions. The main objective of this process was to develop a range of SCC values using a defensible set of input assumptions grounded in the existing scientific and economic literatures. In this way, key uncertainties and model differences transparently and consistently inform the range of SCC estimates used in the rulemaking process.
When attempting to assess the incremental economic impacts of CO
Despite the limits of both quantification and monetization, SCC estimates can be useful in estimating the social benefits of reducing CO
The interagency process is committed to updating these estimates as the science and economic understanding of climate change and its impacts on society improves over time. In the meantime, the interagency group will continue to explore the issues raised by this analysis and consider public comments as part of the ongoing interagency process.
In 2009, an interagency process was initiated to offer a preliminary assessment of how best to quantify the benefits from reducing carbon dioxide emissions. To ensure consistency in how benefits are evaluated across Federal agencies, the Administration sought to develop a transparent and defensible method, specifically designed for the rulemaking process, to quantify avoided climate change damages from reduced CO
After the release of the interim values, the interagency group reconvened on a regular basis to generate improved SCC estimates. Specially, the group considered public comments and further explored the technical literature in relevant fields. The interagency group relied on three integrated assessment models commonly used to estimate the SCC: the FUND, DICE, and PAGE models. These models are frequently cited in the peer-reviewed literature and were used in the last assessment of the Intergovernmental Panel on Climate Change (IPCC). Each model was given equal weight in the SCC values that were developed.
Each model takes a slightly different approach to model how changes in emissions result in changes in economic damages. A key objective of the interagency process was to enable a consistent exploration of the three models, while respecting the different approaches to quantifying damages taken by the key modelers in the field. An extensive review of the literature was conducted to select three sets of input parameters for these models:
In 2010, the interagency group selected four sets of SCC values for use in regulatory analyses. Three sets of values are based on the average SCC from the three integrated assessment models, at discount rates of 2.5, 3, and 5 percent. The fourth set, which represents the 95th percentile SCC estimate across all three models at a 3-percent discount rate, was included to represent higher-than-expected impacts from climate change further out in the tails of the SCC distribution. The values grow in real terms over time. Additionally, the interagency group determined that a range of values from 7 percent to 23 percent should be used to adjust the global SCC to calculate domestic effects,
The SCC values used for this notice were generated using the most recent versions of the three integrated assessment models that have been published in the peer-reviewed literature.
It is important to recognize that a number of key uncertainties remain, and that current SCC estimates should be treated as provisional and revisable because they will evolve with improved scientific and economic understanding.
In summary, in considering the potential global benefits resulting from reduced CO
DOE multiplied the CO
As noted previously, DOE has estimated how the considered energy conservation standards would reduce site NO
DOE is evaluating appropriate monetization of avoided SO
The utility impact analysis estimates several effects on the electric power industry that would result from the adoption of new or amended energy conservation standards. The utility impact analysis estimates the changes in installed electrical capacity and generation that would result for each TSL. The analysis is based on published output from NEMS, which is updated annually to produce the
DOE considers employment impacts in the domestic economy as one factor in selecting a proposed standard. Employment impacts from new or amended energy conservation standards include both direct and indirect impacts. Direct employment impacts are any changes in the number of employees of manufacturers of the products subject to standards, their suppliers, and related service firms. The MIA addresses those impacts (see section V.B.2.b). Indirect employment impacts are changes in national employment that occur due to the shift in expenditures and capital investment caused by the purchase and operation of more-efficient appliances. Indirect employment impacts from standards consist of the net jobs created or eliminated in the national economy, other than in the manufacturing sector being regulated, caused by: (1) Reduced spending by end users on energy; (2) reduced spending on new energy supply by the utility industry; (3) increased consumer spending on new products to which the new standards apply; and (4) the effects of those three factors throughout the economy.
One method for assessing the possible effects on the demand for labor of such shifts in economic activity is to compare sector employment statistics developed by the Labor Department's Bureau of Labor Statistics (BLS).
DOE estimated indirect national employment impacts for the standard levels considered in this NOPR using an input/output model of the U.S. economy called Impact of Sector Energy Technologies version 3.1.1
DOE notes that ImSET is not a general equilibrium forecasting model, and understands the uncertainties involved in projecting employment impacts, especially changes in the later years of the analysis. Because ImSET does not incorporate price changes, the employment effects predicted by ImSET may over-estimate actual job impacts over the long run for this rule. Therefore, DOE generated results for near-term timeframes, where these uncertainties are reduced. For more details on the employment impact analysis, see chapter 16 of the NOPR TSD.
The following section addresses the results from DOE's analyses with respect to potential amended energy conservation standards for CFLKs. It addresses the TSLs examined by DOE and the projected impacts of each of these levels if adopted as energy conservation standards for CFLKs. Additional details regarding DOE's analyses are contained in the NOPR TSD supporting this notice.
DOE analyzed the benefits and burdens of four TSLs for CFLKs. These TSLs were developed using the ELs for the product class analyzed by DOE. DOE presents the results for those TSLs in this rule. The results for all ELs that DOE analyzed are in the NOPR TSD. Table V.1 presents the TSLs and the corresponding ELs for CFLKs. TSL 4 represents the maximum technologically feasible (“max-tech”) improvements in energy efficiency for the CFLK product class.
DOE analyzed the economic impacts on CFLK consumers by looking at the effects potential amended standards at each TSL would have on the LCC and PBP. DOE also examined the impacts of potential standards on consumer subgroups. These analyses are discussed below.
In general, higher-efficiency products affect consumers in two ways: (1) Purchase price increases, and (2) annual operating costs decrease. In the case of CFLKs, however, DOE projects that higher-efficiency CFLKs will have a lower purchase price than less efficient products. Inputs used for calculating the LCC and PBP include total installed costs (
Table V.2 and Table V.3 show the LCC and PBP results for the TSL efficacy levels considered for the All CFLKs product class. In the first table, the simple payback is measured relative to the least efficient product on the market. In the second table, the LCC savings are measured relative to the no-standards efficacy distribution in the compliance year (see section IV.F.10 of this notice).
In the consumer subgroup analysis, DOE estimated the impact of the considered TSLs on low-income households and small businesses. Table V.4 and Table V.5 compare the average LCC savings for each TSL and the simple PBP at each efficacy level for the two consumer subgroups to the average LCC savings and the simple PBP for the entire sample. In most cases, the average LCC savings and the simple PBP for low-income households and small businesses are not substantially different from the average LCC savings and simple PBP for all households and all buildings, respectively. Chapter 11 of the NOPR TSD presents the complete LCC and PBP results for the subgroups.
As discussed in section IV.F.11, EPCA establishes a rebuttable presumption that an energy conservation standard is economically justified if the increased purchase cost for a product that meets the standard is less than three times the value of the first year's energy savings resulting from the standard. DOE expresses this criterion as having a simple payback period of less than three years. In calculating a rebuttable-presumption payback period for each of the considered TSLs, DOE based the energy use calculation on DOE test
While DOE
DOE performed an MIA to estimate the impact of amended energy conservation standards on manufacturers of CFLKs. The section below describes the expected impacts on manufacturers at each TSL. Chapter 12 of the NOPR TSD explains the analysis in further detail.
Table V.7 and Table V.8 present the financial impacts (represented by changes in INPV) of proposed standards on CFLK manufacturers as well as the conversion costs that DOE estimates CFLK manufacturers would incur at each TSL. To evaluate the range of cash-flow impacts on the CFLK industry, DOE modeled two markup scenarios that correspond to the range of anticipated market responses to amended standards. Each scenario results in a unique set of cash flows and corresponding industry values at each TSL.
In the following discussion, the INPV results refer to the difference in industry value between the no-standards case and the standards case that result from the sum of discounted cash flows from the base year (2015) through the end of the analysis period (2048). The results also discuss the difference in cash flows between the no-standards case and the standards case in the year before the compliance date for proposed standards. This difference in cash flow represents the size of the required conversion costs relative to the cash flow generated by the CFLK industry in the absence of amended energy conservation standards.
To assess the upper (less severe) end of the range of potential impacts on CFLK manufacturers, DOE modeled a preservation of gross margin, or flat, markup scenario. This scenario assumes that in the standards case, manufacturers would be able to pass along all the higher production costs required for more efficacious products to their consumers. Specifically, the industry would be able to maintain its average no-standards-case gross margin (as a percentage of revenue) despite the higher product costs in the standards-case. In general, the larger the product price increases, the less likely manufacturers are to achieve the cash flow from operations calculated in this scenario because it is less likely that manufacturers would be able to fully mark up these larger cost increases.
To assess the lower (more severe) end of the range of potential impacts on the CFLK manufacturers, DOE modeled a two-tiered markup scenario. This scenario represents the lower end of the range of potential impacts on manufacturers because manufacturers reduce profit margins on high efficacy products as these products become the baseline, higher volume product.
TSL 1 sets the efficacy level at EL 1 for all CFLKs. At TSL 1, DOE estimates impacts on INPV range from $3.1 million to $4.1 million, or a change in INPV of 3.3 percent to 4.3 percent. At TSL 1, industry free cash flow (operating cash flow minus capital expenditures) is expected to remain constant at $5.0 million, which is the same as the no-standards-case value in 2018, the year leading up to the standard.
Percentage impacts on INPV are slightly positive at TSL 1. DOE anticipates that most manufacturers would not lose any of their INPV at this TSL. DOE estimates that 100 percent of shipments will meet the efficacy standards at TSL 1 in 2019, the expected compliance year of the standard. Since none of the shipments are required to be converted at this efficacy level, DOE projects that there will be no conversion costs at this TSL.
At TSL 1, the shipment-weighted average MPC decreases by 9 percent relative to the no-standards-case MPC in 2019, the expected year of compliance. Manufacturers are able to maintain their manufacturer markups in both the preservation of gross margin and the two-tiered markup scenarios, resulting in slightly positive INPV impacts at TSL 1.
TSL 2 sets the efficacy level at EL 2 for all CFLKs. At TSL 2, DOE estimates impacts on INPV range from −$7.9 million to $2.1 million, or a change in INPV of −8.4 percent to 2.2 percent. At this TSL, industry free cash flow is estimated to decrease by approximately 15 percent to $4.2 million, compared to the no-standards-case value of $5.0 million in 2018, the year leading up to the proposed standard.
Percentage impacts on INPV range from slightly negative to slightly positive at TSL 2. DOE anticipates that most manufacturers would not lose a significant portion of their INPV at TSL 2 because the ELs at this TSL can be met by purchasing replacement lamps that are currently available on the market. DOE projects that in 2019, 40 percent of all CFLK shipments would meet or exceed the efficacy level required at TSL 2.
For each of TSLs 2-4, DOE expects that most manufacturers will not incur any conversion costs in the lamp replacement scenario. In addition, as ELs rise with each TSL, product conversion costs will increase incrementally in proportion with the increasing amount of R&D needed to design more efficacious CFLKs in the light kit replacement scenario. Manufacturers will also incur capital conversion costs driven by retooling costs associated with producing fixtures using LEDs.
For TSL 2, DOE expects that product conversion costs will rise from zero at TSL 1 to $0.6 million in the light kit replacement scenario. Manufacturers will incur product conversion costs, primarily driven by increased R&D efforts needed to redesign CFLKs to use LED lamps that meet the ELs, at TSL 2. Capital conversion costs will increase from zero at TSL 1 to $1.4 million at TSL 2 in the light kit replacement scenario.
At TSL 2, under the preservation of gross margin markup scenario, the shipment-weighted average MPC increases by 27 percent relative to the no-standards-case MPC in 2019. In this scenario, INPV impacts are slightly negative because the higher production costs are outweighed by the $1.9 million in conversion costs. Under the two-tiered markup scenario, the 27 percent MPC increase is slightly outweighed by a lower average markup of 1.35 (compared to the preservation of gross margin markup of 1.37) and $1.9 million in conversion costs, resulting in slightly negative impacts at TSL 2.
TSL 3 sets the efficacy level at EL 3 for all CFLKs. At TSL 3, DOE estimates impacts on INPV range from −$19.9 million to −$2.6 million, or a change in INPV of −21.0 percent to −2.8 percent. At this level, industry free cash flow is estimated to decrease by approximately 20 percent to $4.0 million, compared to the no-standards-case value of $5.0 million in 2018.
Percentage impacts on INPV range from moderately negative to slightly negative at TSL 3. TSL 3 proposes the first efficacy level that will require manufacturers to use LED lamps, as CFLs are currently not capable of meeting the ELs required at TSL 3. DOE projects that in 2019, 17 percent of all CFLKs shipments would meet or exceed the ELs at TSL 3.
At TSL 3, DOE estimates manufacturers will incur product conversion costs of $0.8 million in the light kit replacement scenario. Product conversion costs are driven primarily by increased R&D efforts needed to redesign CFLKs to accommodate the more efficacious LEDs. Manufacturers are estimated to incur $1.7 million in capital conversion costs as a result of retooling costs necessary to produce redesigned CFLK fixtures that use LEDs TSL 3.
At TSL 3, under the preservation of gross margin markup scenario, the shipment-weighted average MPC increases by 1 percent relative to the no-standards-case MPC in 2019. In this scenario, INPV impacts are slightly negative because the slightly higher production costs are outweighed by the $2.5 million in conversion costs. Under the two-tiered markup scenario, the 1 percent MPC increase is moderately outweighed by a lower average markup of 1.35 (compared to the preservation of gross margin markup scenario markup of 1.37) and $2.5 million in conversion costs, resulting in moderately negative impacts at TSL 3.
TSL 4 sets the efficacy level at max-tech, EL 4, for all CFLKs. At TSL 4, DOE estimates impacts on INPV to range from −$20.0 million to −$2.8 million, or a change in INPV of −21.1 percent to −3.0 percent. At this level, industry free cash flow is estimated to decrease by approximately 21 percent to $4.0 million, compared to the no-standards-case value of $5.0 million in 2018.
Percentage impacts on INPV are slightly negative to moderately negative at TSL 4. DOE projects that in 2019, 9 percent of all CFLK shipments would meet or exceed the ELs at TSL 4.
DOE expects total conversion costs in the light kit replacement scenario to increase from $2.5 million at TSL 3 to $2.6 million at TSL 4. DOE estimates manufacturers will incur product conversion costs of $0.8 million as they allocate more capital to R&D efforts necessary to redesign CFLKs that meet max-tech ELs. DOE estimates that manufacturers will incur $1.8 million in capital conversion costs due to retooling costs associated with the high number of models that will be redesigned in the light kit replacement scenario at TSL 4.
At TSL 4, under the preservation of gross margin markup scenario, the shipment-weighted average MPC increases by 1 percent relative to the no-standards-case MPC in 2019. In this scenario, the INPV impacts are slightly negative because the slightly higher production costs are outweighed by $2.6 million in conversion costs. Under the two-tiered markup scenario, the 1 percent MPC increase is outweighed by a lower average markup of 1.35 (compared to the preservation of gross margin markup scenario markup of 1.37) and $2.6 million in conversion costs, resulting in moderately negative impacts at TSL 4.
DOE determined that there was only one CFLK manufacturer with domestic production of CFLKs, and this manufacturer's sales of ceiling fans packaged with CFLKs represents a very small portion of their overall revenue. During manufacturer interviews, manufacturers stated that the vast majority of manufacturing of the CFLKs they sell is outsourced to original equipment manufacturers located abroad. These original equipment manufacturers produce CFLKs based on designs from domestic CFLK manufacturers. Because of this feedback, DOE did not quantitatively assess any potential impacts on domestic production employment as a result of amended energy conservation standards on CFLKs. DOE seeks comment on the assumption that there is only one CFLK manufacturer with domestic production. Additionally, DOE seeks comment on any potential domestic employment impacts as a result of amended energy conservation standards for CFLKs.
CFLK manufacturers stated that they did not anticipate manufacturing capacity constraints as a result of an amended energy conservation standard. If manufacturers choose to redesign their CFLK fixtures to comply with amended standards, the original equipment manufacturers of CFLKs would be able to make the changes necessary to comply with standards in the estimated three years from the publication of the final rule to the compliance date. Additionally, at the proposed standard, manufacturers have a range of options to comply with standards for a significant portion of the CFLKs by replacing the lamps with existing products that are sold on the market today. DOE does not anticipate any impact on the manufacturing capacity at the proposed amended energy conservation standards in this NOPR. See section V.C.1 for more details on the proposed standard. DOE seeks comment on any potential impact on manufacturing capacity at the efficacy level proposed in this NOPR.
Using average cost assumptions to develop an industry cash-flow estimate may not be adequate for assessing differential impacts among manufacturer subgroups. Small manufacturers, niche product manufacturers, and manufacturers exhibiting cost structures substantially different from the industry average could be affected disproportionately. DOE identified only one manufacturer subgroup that would require a separate analysis in the MIA because it is a small business. DOE analyzes the impacts on small businesses in a separate analysis in section VI.B of this NOPR. DOE did not identify any other adversely impacted manufacturer subgroups for CFLKs for this rulemaking based on the results of the industry characterization. DOE seeks comment on any other potential manufacturer subgroups that could be disproportionally impacted by amended energy conservation standards for CFLKs.
While any one regulation may not impose a significant burden on manufacturers, the combined effects of recent or impending regulations may have serious consequences for some manufacturers, groups of manufacturers, or an entire industry. Assessing the impact of a single regulation may overlook this cumulative regulatory burden. Multiple regulations affecting the same manufacturer can strain profits and lead companies to abandon product lines or markets with lower expected future returns than competing products. For these reasons, DOE conducts a cumulative regulatory burden analysis as part of its rulemakings for CFLKs.
DOE identified a number of requirements, in addition to amended energy conservation standards for CFLKs, that CFLK manufacturers will face for products they manufacture approximately three years prior to and three years after the estimated compliance date of these amended standards. The following section addresses key related concerns that manufacturers raised during interviews regarding cumulative regulatory burden.
Manufacturers raised concerns about existing regulations and certifications separate from DOE's energy conservation standards that CFLK manufacturers must meet. These include California Title 20, which has energy conservation standards identical to DOE's existing CFLK standards, but requires an additional certification, and Interstate Mercury Education and Reduction Clearinghouse (IMERC) labeling requirements, among others.
DOE discusses these and other requirements in chapter 12 of the NOPR TSD, which lists the estimated compliance costs of those requirements when available. In considering the cumulative regulatory burden, DOE evaluates the timing of regulations that impact the same product because the coincident requirements could strain financial resources in the same profit center and consequently impact capacity. DOE identified the upcoming ceiling fan standards rulemaking and the GSLs standards rulemaking, as well as the 45 lm/W standard for GSLs in 2020, as potential sources of additional cumulative regulatory burden on CFLK manufacturers.
DOE has initiated a rulemaking to evaluate the energy conservation standards of ceiling fans by publishing a notices of availability for a framework document (78 FR 16443; Mar. 15, 2013) and preliminary analysis TSD (79 FR 64712; Oct. 31, 2014), hereafter the “CF standards rulemaking.” The CF standards rulemaking affects the same set of manufacturers as the proposed amended CFLK standard and has a similar projected compliance date. Due to these similar projected compliance dates, manufacturers could potentially be required to make investments to bring CFLKs and ceiling fans into compliance during the same time period. Additionally, redesigned CFLKs could also require adjustments to ceiling fan redesigns separate from those potentially required by the ceiling fan rule.
DOE has initiated a rulemaking to evaluate the energy conservation standards of GSLs by publishing notices of availability for a framework document (78 FR 73737; Dec. 9, 2013) and preliminary analysis TSD (79 FR 73503; Dec. 11, 2014), hereafter the “GSL standards rulemaking.” In
In addition to the proposed amended energy conservation standards on CFLKs, several other existing and pending Federal regulations may apply to other products produced by lamp manufacturers and may subsequently impact CFLK manufacturers. These lighting regulations include the finalized metal halide lamp fixture standards (79 FR 7745 [Feb. 10, 2014]), the finalized general service fluorescent lamp standards (80 FR 4041 [Jan. 26, 2015]), and the ongoing high-impact discharge lamp standards (77 FR 18963 [Feb. 28, 2012]). DOE acknowledges that each regulation can impact a manufacturer's financial operations. Multiple regulations affecting the same manufacturer can strain manufacturers' profit and possibly cause them to exit particular markets. Table V.9 lists the other DOE energy conservation standards that could also affect CFLK manufacturers in the three years leading up to and after the estimated compliance date of amended energy conservation standards for these products.
DOE
To estimate the energy savings attributable to potential standards for CFLKs, DOE compared the energy consumption of those products under the no-standards case to their anticipated energy consumption under each TSL. The savings are measured over the entire lifetime of products purchased in the 30-year period that begins in the year of anticipated compliance with amended standards (2019-2048). Table V.10 presents DOE's projections of the NES for each TSL considered for CFLKs. The savings were calculated using the approach described in section IV.H of this notice.
OMB Circular A-4
DOE estimated the cumulative NPV of the total costs and savings for consumers that would result from the TSLs considered for CFLKs. In accordance with OMB's guidelines on regulatory analysis,
Table V.12 shows the consumer NPV results with impacts counted over the lifetime of products purchased in 2019-2048.
The NPV results based on the aforementioned 9-year analytical period are presented in Table V.13. The impacts are counted over the lifetime of products purchased in 2019-2027. As mentioned previously, such results are presented for informational purposes only and are not indicative of any change in DOE's analytical methodology or decision criteria.
The above results reflect the use of a default trend to estimate the change in price for CFLKs over the analysis period (see section IV.G of this document). DOE also conducted a sensitivity analysis that considered a higher rate of price decline than the reference case. The results of these alternative cases are presented in appendix 10C of the NOPR TSD. In the high-price-decline case, the NPV is lower than in the default case. This is due the faster adoption of LED
DOE expects energy conservation standards for CFLKs to reduce energy bills for consumers of those products, with the resulting net savings being redirected to other forms of economic activity. These expected shifts in spending and economic activity could affect the demand for labor. As described in section IV.N of this document, DOE used an input/output model of the U.S. economy to estimate indirect employment impacts of the TSLs that DOE considered in this rulemaking. DOE understands that there are uncertainties involved in projecting employment impacts, especially changes in the later years of the analysis. Therefore, DOE generated results for near-term timeframes (2019-2024), where these uncertainties are reduced.
The results suggest that the proposed standards are likely to have a negligible impact on the net demand for labor in the economy. The net change in jobs is so small that it would be imperceptible in national labor statistics and might be offset by other, unanticipated effects on employment. Chapter 16 of the NOPR TSD presents detailed results regarding anticipated indirect employment impacts.
DOE has tentatively concluded that the standards proposed in this NOPR would not reduce the utility or performance of the CFLKs under consideration in this rulemaking. Manufacturers of these products currently offer units that meet or exceed the proposed standards.
DOE has considered any lessening of competition that is likely to result from the proposed standards. The Attorney General determines the impact, if any, of any lessening of competition likely to result from a proposed standard, and transmits such determination in writing to the Secretary, together with an analysis of the nature and extent of such impact.
To assist the Attorney General in making such determination, DOE has provided DOJ with copies of this NOPR and the accompanying TSD for review. DOE will consider DOJ's comments on the proposed rule in determining whether to proceed to a final rule. DOE will publish and respond to DOJ's comments in that document.
Enhanced energy efficiency, where economically justified, improves the nation's energy security, strengthens the economy, and reduces the environmental impacts (costs) of energy production. Reduced electricity demand due to energy conservation standards is also likely to reduce the cost of maintaining the reliability of the electricity system, particularly during peak-load periods. As a measure of this reduced demand, chapter 15 of the NOPR TSD presents the estimated impact on generating capacity, relative to the no-standards case, for the TSLs that DOE considered in this rulemaking.
Energy savings from amended standards for CFLKs are expected to yield environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases. Table V.14 provides DOE's estimate of cumulative emissions reductions expected to result from the TSLs considered in this rulemaking. The table includes both power sector emissions and upstream emissions. The emissions were calculated using the multipliers discussed in section IV.K. DOE reports annual emissions reductions for each TSL in chapter 13 of the NOPR TSD.
As part of the analysis for this proposed rule, DOE estimated monetary benefits likely to result from the reduced emissions of CO
Table V.15 presents the global value of CO
DOE is well aware that scientific and economic knowledge about the contribution of CO
DOE also estimated the cumulative monetary value of the economic benefits associated with NO
The Secretary of Energy, in determining whether a standard is economically justified, may consider any other factors that the Secretary deems to be relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VII)) No other factors were considered in this analysis.
The NPV of the monetized benefits associated with emissions reductions can be viewed as a complement to the NPV of the consumer savings calculated for each TSL considered in this rulemaking. Table V.17 presents the NPV values that result from adding the estimates of the potential economic benefits resulting from reduced CO
Although adding the value of consumer savings to the values of emission reductions informs DOE's evaluation, two issues should be considered. First, the national operating-cost savings are domestic U.S. monetary savings that occur as a result of market transactions, while the value of CO
When considering proposed standards, the new or amended energy conservation standard that DOE adopts for any type (or class) of covered product must be designed to achieve the maximum improvement in energy efficiency that the Secretary determines is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) In determining whether a standard is economically justified, the Secretary must determine whether the benefits of the standard exceed its burdens by, to the greatest extent practicable, considering the seven statutory factors discussed previously. (42 U.S.C. 6295(o)(2)(B)(i)) The new or amended standard must also result in significant conservation of energy. (42 U.S.C. 6295(o)(3)(B))
For this NOPR, DOE considered the impacts of standards for CFLKs at each TSL, beginning with the maximum technologically feasible level, to determine whether that level was economically justified. Where the max-tech level was not justified, DOE then considered the next most efficient level and undertook the same evaluation until it reached the highest efficacy level that is both technologically feasible and economically justified and saves a significant amount of energy.
To aid the reader as DOE discusses the benefits and/or burdens of each TSL, tables in this section present a summary of the results of DOE's quantitative analysis for each TSL. In addition to the quantitative results presented in the tables, DOE also considers other burdens and benefits that affect economic justification. These include but are not limited to the impacts on identifiable subgroups of consumers who may be disproportionately affected by a national standard and impacts on employment.
DOE also notes that the economics literature provides a wide-ranging discussion of how consumers trade off upfront costs and energy savings in the absence of government intervention. Much of this literature attempts to explain why consumers appear to undervalue energy efficiency improvements. There is evidence that consumers undervalue future energy savings as a result of: (1) A lack of information; (2) a lack of sufficient salience of the long-term or aggregate benefits; (3) a lack of sufficient savings to warrant delaying or altering purchases; (4) excessive focus on the short term, in the form of inconsistent weighting of future energy cost savings relative to available returns on other investments; (5) computational or other difficulties associated with the evaluation of relevant tradeoffs; and (6) a divergence in incentives (for example, between renters and owners, or builders and purchasers). Having less than perfect foresight and a high degree of uncertainty about the future, consumers may trade off these types of investments at a higher-than-expected rate between current consumption and uncertain future energy cost savings.
In DOE's current regulatory analysis, potential changes in the benefits and costs of a regulation due to changes in consumer purchase decisions are included in two ways. First, if consumers forego the purchase of a product in the standards case, this decreases sales for product manufacturers, and the impact on manufacturers attributed to lost revenue is included in the MIA. Second, DOE accounts for energy savings attributable only to products actually used by consumers in the standards case; if a regulatory option changes the number of products purchased by consumers, then the potential energy savings from the potential energy conservation standard changes as well. DOE provides estimates of shipments and changes in the volume of product purchases in chapter 9 of the NOPR TSD. However, DOE's current analysis does not explicitly control for heterogeneity in consumer preferences, preferences across subcategories of products or specific features, or consumer price sensitivity variation according to household income.
While DOE is not prepared at present to provide a fuller quantifiable framework for estimating the benefits and costs of changes in consumer purchase decisions due to an energy conservation standard, DOE is committed to developing a framework that can support empirical quantitative tools for improved assessment of the consumer welfare impacts of appliance standards. DOE has posted a paper that discusses the issue of consumer welfare impacts of appliance energy conservation standards, and potential enhancements to the methodology by which these impacts are defined and estimated in the regulatory process.
Table V.18 and Table V.19 summarize the quantitative impacts estimated for each TSL for CFLKs. The national impacts are measured over the lifetime of CFLKs purchased in the 30-year period that begins in the anticipated year of compliance with amended standards (2019-2048). The energy savings, emissions reductions, and value of emissions reductions refer to FFC results. The ELs contained in each TSL are described in section V.A of this notice.
DOE first considered TSL 4, which represents the max-tech efficacy level. TSL 4 would save 0.07 quads of energy, an amount DOE considers significant. Under TSL 4, the NPV of consumer benefit would be $0.71 billion using a discount rate of 7 percent, and $0.97 billion using a discount rate of 3 percent.
The cumulative emissions reductions at TSL 4 are 4.68 Mt of CO
At TSL 4, the average LCC impact is a savings of $30.9 in the residential sector and a savings of $67.8 in the commercial sector. The simple payback period is 0.4 years in the residential sector and 0.1 years in the commercial sector. The fraction of consumers experiencing a net LCC cost is 7.6 percent in the residential sector and 0.3 percent in the commercial sector.
At TSL 4, the projected change in INPV ranges from a decrease of $20.0 million to a decrease of $2.8 million, which represent decreases of 21.1 percent and 3.0 percent, respectively.
The Secretary tentatively concludes that at TSL 4 for CFLKs, the benefits of energy savings, positive NPV of consumer benefits, emission reductions, and the estimated monetary value of the emissions reductions would be outweighed by the potential reduction in industry value and the potentially limited availability of compliant CFLKs discussed in section IV.C.4. Consequently, the Secretary has tentatively concluded that TSL 4 is not justified.
DOE then considered TSL 3, which would save an estimated 0.068 quads of energy, an amount DOE considers significant. Under TSL 3, the NPV of consumer benefit would be $0.70 billion using a discount rate of 7 percent, and $0.95 billion using a discount rate of 3 percent.
The cumulative emissions reductions at TSL 3 are 4.59 Mt of CO
At TSL 3, the average LCC impact is a savings of $30.9 in the residential sector and a savings of $67.7 in the commercial sector. The simple payback period is 0.5 years in the residential sector and 0.1 years in the commercial sector. The fraction of consumers experiencing a net LCC cost is 7.6 percent in the residential sector and 0.3 percent in the commercial sector.
At TSL 3, the projected change in INPV ranges from a decrease of $19.9 million to a decrease of $2.6 million, which represent decreases of 21.0 percent and 2.8 percent, respectively.
The Secretary tentatively concludes that at TSL 3 for CFLKs, the benefits of energy savings, positive NPV of consumer benefits, emission reductions, and the estimated monetary value of the emissions reductions would be outweighed by the potential reduction in industry value and by the potential limited availability of compliant CFLKs discussed in section IV.C.4. Consequently, the Secretary has tentatively concluded that TSL 3 is not justified.
DOE then considered TSL 2, which would save an estimated 0.049 quads of energy, an amount DOE considers significant. Under TSL 2, the NPV of consumer benefit would be $0.50 billion using a discount rate of 7 percent, and $0.66 billion using a discount rate of 3 percent.
The cumulative emissions reductions at TSL 2 are 3.35 Mt of CO
At TSL 2, the average LCC impact is a savings of $24.3 in the residential sector and a savings of $53.4 in the commercial sector. The simple payback period is 1.2 years in the residential sector and 0.3 years in the commercial sector. The fraction of consumers experiencing a net LCC cost is 9.7 percent in the residential sector and 1.9 percent in the commercial sector.
At TSL 2, the projected change in INPV ranges from a decrease of $7.9 million to an increase of $2.1 million, which represents a decrease of 8.4 percent to an increase of 2.2 percent.
After considering the analysis and weighing the benefits and burdens, the Secretary has tentatively concluded that at TSL 2 for CFLKs, the benefits of energy savings, positive NPV of consumer benefits, emission reductions, the estimated monetary value of the emissions reductions, and positive average LCC savings would outweigh the potential reduction in industry value. Accordingly, the Secretary has tentatively concluded that TSL 2 would offer the maximum improvement in efficiency that is technologically feasible and economically justified, and would result in the significant conservation of energy.
Therefore, based on the above considerations, DOE proposes to adopt the energy conservation standards for CFLKs at TSL 2. The proposed amended energy conservation standards for CFLKs are shown in Table V.20.
The benefits and costs of the proposed standards can also be expressed in terms of annualized values. The annualized monetary values are the sum of: (1) The annualized national economic value (expressed in 2014$) of the benefits from operating products that meet the proposed standards (consisting primarily of operating-cost savings from using less energy, minus increases in product purchase costs, which is another way of representing consumer NPV), and (2) the annualized monetary value of the benefits of CO
Table V.21 shows the annualized values for CFLKs under TSL 2, expressed in 2014$. The results under the Primary Estimate are as follows.
Using a 7-percent discount rate for benefits and costs other than CO
Using a 3-percent discount rate for all benefits and costs and the average SCC series that has a value of $41.2/t in 2015, the estimated cost of the proposed CFLK standards is $4.0 million per year in increased equipment costs, while the estimated annual benefits are $49 million in reduced operating costs, $7.5 million in CO
Section 1(b)(1) of Executive Order 12866, “Regulatory Planning and Review,” 58 FR 51735 (Oct. 4, 1993), requires each agency to identify the problem that it intends to address, including, where applicable, the failures of private markets or public institutions that warrant new agency action, as well as to assess the significance of that problem. The problems that the proposed standards set forth in this NOPR are intended to address are as follows:
• Insufficient information and the high costs of gathering and analyzing relevant information leads some consumers to miss opportunities to make cost-effective investments in energy efficiency.
• In some cases, the benefits of more-efficient equipment are not realized due to misaligned incentives between purchasers and users. An example of such a case is when the equipment purchase decision is made by a building contractor or building owner who does not pay the energy costs.
• There are external benefits resulting from improved energy efficiency of appliances and equipment that are not captured by the users of such products. These benefits include externalities related to public health, environmental protection, and national energy security that are not reflected in energy prices, such as reduced emissions of air pollutants and greenhouse gases that impact human health and global warming. DOE attempts to quantify some of the external benefits through use of SCC values.
The Administrator of the Office of Information and Regulatory Affairs (OIRA) in the OMB has determined that the proposed regulatory action is not a significant regulatory action under section (3)(f) of Executive Order 12866. Accordingly, the rule was not reviewed by OIRA.
DOE has also reviewed this regulation pursuant to Executive Order 13563, issued on January 18, 2011. 76 FR 3281 (Jan. 21, 2011). Executive Order 13563 is supplemental to and explicitly reaffirms the principles, structures, and definitions governing regulatory review established in Executive Order 12866. To the extent permitted by law, agencies are required by Executive Order 13563 to: (1) Propose or adopt a regulation only upon a reasoned determination that its benefits justify its costs (recognizing that some benefits and costs are difficult to quantify); (2) tailor regulations to impose the least burden on society, consistent with obtaining
DOE emphasizes as well that Executive Order 13563 requires agencies to use the best available techniques to quantify anticipated present and future benefits and costs as accurately as possible. In its guidance, OIRA has emphasized that such techniques may include identifying changing future compliance costs that might result from technological innovation or anticipated behavioral changes. For the reasons stated in the preamble, DOE believes that this NOPR is consistent with these principles, including the requirement that, to the extent permitted by law, benefits justify costs and that net benefits are maximized.
The Regulatory Flexibility Act (5 U.S.C. 601
For manufacturers of CFLKs, the SBA has set a size threshold, which defines those entities classified as “small businesses” for the purposes of the statute. DOE used the SBA's small business size standards to determine whether any small entities would be subject to the requirements of the rule. See 13 CFR part 121. The size standards are listed by North American Industry Classification System (NAICS) code and industry description available at:
To estimate the number of companies that could be small businesses that sell CFLKs covered by this rulemaking, DOE conducted a market survey using publicly available information. DOE's research involved information provided by trade associations (
For CFLKs, DOE initially identified a total of 67 potential companies that sell CFLKs in the United States. However, DOE only identified one manufacturer that also manufacturers the lamps sold with their CFLKs. All other CFLK manufacturers source the lamps packaged with their CFLKs. After reviewing publicly available information on these potential CFLK businesses, DOE determined that 40 were either large businesses or businesses that were completely foreign owned and operated. DOE determined that the remaining 27 companies were small businesses that either manufacture or sell covered CFLKs in the United States. The one CFLK manufacturer that also sells lamps that DOE identified is also a small business. Based on manufacturer interviews, DOE estimates that these small businesses account for approximately 25 percent of the CFLK market. One small business accounts for approximately five percent of the CFLK market, while all other small businesses account for one percent or less of the CFLK market individually.
DOE seeks comments, information, and data on the small businesses in the industry, including their numbers and their role in the CFLK market. DOE also requests data on the market share of small businesses in the CFLK market.
At TSL 2, the proposed standard in today's NOPR, DOE projects that impacts on small businesses as a result of amended standards would be consistent with the overall CFLK industry impacts presented in section V.B.2. Small businesses are not expected to experience differential impacts as a result of the amended CFLK standards due to the majority of large and small businesses sourcing the lamps used in their CFLKs from lamp manufacturers; small and large CFLK businesses typically outsourcing the manufacturing of the CFLKs they sell to original equipment manufacturers located abroad; the range of available options to replace non-complaint lamps with lamps on the market that can meet the proposed standard; and the potential standards from the GSL rulemaking and the 45 lm/W requirement for GSLs that is expected to take effect in 2020.
DOE identified only one CFLK small business that is also a lamp manufacturer. For this analysis, DOE refers to lamp manufacturers as entities that produce and sell lamps, as opposed to purchasing lamps from a third party. The majority of lamps packaged in CFLKs are purchased from lamp manufacturers, then inserted into a CFLK or packaged with a CFLK. Therefore, CFLK businesses will typically not be responsible for the costs associated with producing more efficacious lamps packaged with CFLKs that comply with the proposed standards. Furthermore, because lamp manufacturers typically test and certify their lamps, CFLK businesses can choose to use the testing and certification data provided by the lamp manufacturer to comply with the CFLK standards. Thereby, both large and small
At the proposed standard level, CFLK businesses have the option to replace the lamps used in their CFLKs with more efficacious lamps available on the market. This lamp replacement option allows most CFLK businesses to comply with the proposed CFLK standards without redesigning their existing CFLKs. DOE's shipments analysis found that over 50 percent of CFLKs sold at TSL 2 will follow this lamp replacement option, allowing these CFLK businesses to avoid redesign and conversion costs. Based on manufacturer interviews, small businesses are just as likely to pursue the lamp replacement option as large businesses.
DOE expects that CFLK businesses that choose to meet amended CFLK standards by redesigning CFLK fixtures instead of replacing lamps are expected to incur conversion costs driven by retooling costs, increased R&D efforts, product certification costs, and testing costs. DOE learned during manufacturer interviews that the majority of the manufacturing of CFLKs sold by small and large CFLK businesses is outsourced to a limited number of original equipment manufacturers located abroad. CFLK businesses pay retooling costs to original equipment manufacturers located abroad, who operate and maintain machinery used to produce the CFLKs those CFLK businesses then sell.
DOE also learned from manufacturer interviews that, in some cases, multiple CFLK businesses, including small and large CFLK businesses, are outsourcing production to the same original equipment manufacturer located abroad. Small businesses are currently competing against large businesses despite purchasing components at lower volumes, and DOE expects that they will continue to compete after the adoption of standards, since the proposed standards will not significantly disrupt most CFLK manufacturers' supply chain. DOE does not expect that small businesses would be disadvantaged compared to large businesses if they chose to redesign their CFLKs. Total estimated conversion costs for the industry at TSL 2 are $1.9 million, which is relatively small compared to an INPV of almost $95 million in the no-standards case.
Potential standards from the GSL standards rulemaking and the minimum efficacy of 45 lm/W required for GSLs, expected to require compliance in 2020, will impact GSLs used in CFLKs (see section V.B.2.e for further details). Therefore, regardless of the standards proposed in this rulemaking, CFLK businesses will likely need to package more efficacious lamps with CFLKs in 2020.
For the reasons outlined above, DOE has determined that most small businesses would not be disproportionally impacted by the proposed CFLK energy conservation standard compared to large businesses. At TSL 2, overall impacts on CFLK INPV range from −8.4 percent to 2.2 percent (see section V.B.2). DOE estimates that the overall percent change in INPV for the CFLK industry is reflective of the range of potential impacts for small businesses.
DOE seeks comment on the potential impacts of the amended standards on CFLK small businesses.
DOE is not aware of any rules or regulations that duplicate, overlap, or conflict with the proposed amended standard. DOE seeks comment on any rules or regulations that could potentially duplicate, overlap, or conflict with the proposed amended standard.
The discussion in the previous section analyzes impacts on small businesses that would result from DOE's proposed level, TSL 2. In reviewing alternatives to the proposed rule, DOE examined energy conservation standards set at lower efficiency levels. While TSL 1 would reduce the impacts on small business manufacturers, it would come at the expense of a significant reduction in energy savings and NPV benefits to consumers, achieving 83 percent lower energy savings and 58 percent less NPV benefits to consumers compared to the energy savings and NPV benefits at TSL 2.
DOE believes that establishing standards at TSL 2 balances the benefits of the energy savings and the NPV benefits to consumers at TSL 2 with the potential burdens placed on CFLK manufacturers, including small business manufacturers. Accordingly, DOE is declining to adopt one of the other TSLs considered in the analysis, or the other policy alternatives detailed as part of the regulatory impacts analysis included in chapter 17 of the NOPR TSD.
Additional compliance flexibilities may be available through other means. For example, individual manufacturers may petition for a waiver of the applicable test procedure. (See 10 CFR 431.401.) Further, EPCA provides that a manufacturer whose annual gross revenue from all of its operations does not exceed $8 million may apply for an exemption from all or part of an energy conservation standard for a period not longer than 24 months after the effective date of a final rule establishing the standard. Additionally, Section 504 of the Department of Energy Organization Act, 42 U.S.C. 7194, provides authority for the Secretary to adjust a rule issued under EPCA in order to prevent “special hardship, inequity, or unfair distribution of burdens” that may be imposed on that manufacturer as a result of such rule. Manufacturers should refer to 10 CFR part 430, subpart E, and part 1003 for additional details.
Manufacturers of CFLKs must certify to DOE that their products comply with any applicable energy conservation standards. In certifying compliance, manufacturers must test their products according to the DOE test procedures for CFLKs, including any amendments adopted for those test procedures. DOE has established regulations for the certification and recordkeeping requirements for all covered consumer products and commercial equipment, including CFLKs. See generally 10 CFR part 429. The collection-of-information requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA). This requirement has been approved by OMB under OMB control number 1910-1400. Public reporting burden for the certification is estimated to average 30 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.
Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB control number.
Pursuant to the National Environmental Policy Act (NEPA) of 1969, DOE has determined that the proposed rule fits within the category of actions included in Categorical Exclusion (CX) B5.1 and otherwise meets the requirements for application of a CX. See 10 CFR part 1021, App. B, B5.1(b); 1021.410(b) and Appendix B,
Executive Order 13132, “Federalism,” 64 FR 43255 (August 10, 1999), imposes certain requirements on Federal agencies formulating and implementing policies or regulations that preempt state law or that have Federalism implications. The Executive Order requires agencies to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the states and to carefully assess the necessity for such actions. The Executive Order also requires agencies to have an accountable process to ensure meaningful and timely input by state and local officials in the development of regulatory policies that have Federalism implications. On March 14, 2000, DOE published a statement of policy describing the intergovernmental consultation process it will follow in the development of such regulations. 65 FR 13735. DOE has examined this proposed rule and has tentatively determined that it would not have a substantial direct effect on the states, on the relationship between the national government and the states, or on the distribution of power and responsibilities among the various levels of government. EPCA governs and prescribes Federal preemption of state regulations as to energy conservation for the products that are the subject of this proposed rule. States can petition DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297) Therefore, no further action is required by Executive Order 13132.
With respect to the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, “Civil Justice Reform,” imposes on Federal agencies the general duty to adhere to the following requirements: (1) Eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; (3) provide a clear legal standard for affected conduct rather than a general standard; and (4) promote simplification and burden reduction. 61 FR 4729 (Feb. 7, 1996). Regarding the review required by section 3(a), section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation: (1) Clearly specifies the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in section 3(a) and section 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, this proposed rule meets the relevant standards of Executive Order 12988.
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) requires each Federal agency to assess the effects of Federal regulatory actions on state, local, and tribal governments and the private sector. Pub. L. 104-4, sec. 201 (codified at 2 U.S.C. 1531). For a proposed regulatory action likely to result in a rule that may cause the expenditure by state, local, and tribal governments, in the aggregate, or by the private sector of $100 million or more in any one year (adjusted annually for inflation), section 202 of UMRA requires a Federal agency to publish a written statement that estimates the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to develop an effective process to permit timely input by elected officers of state, local, and tribal governments on a proposed “significant intergovernmental mandate,” and requires an agency plan for giving notice and opportunity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect them. On March 18, 1997, DOE published a statement of policy on its process for intergovernmental consultation under UMRA. 62 FR 12820. DOE's policy statement is also available at
Because this proposed rule does not contain a Federal intergovernmental mandate, and DOE expects that it will not require expenditures of $100 million or more by the private sector, the requirements of Title II of UMRA do not apply to this proposed rule.
Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This rule would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment.
Pursuant to Executive Order 12630, “Governmental Actions and Interference with Constitutionally Protected Property Rights,” 53 FR 8859 (March 15, 1988), DOE has determined that this proposed rule would not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution.
Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for Federal agencies to review most disseminations of information to the public under information quality guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed this NOPR under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines.
Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001), requires Federal agencies to prepare and submit to OIRA at OMB, a Statement of Energy Effects for any proposed significant energy action. A “significant energy action” is defined as any action by an agency that promulgates or is expected to lead to
DOE has tentatively concluded that this regulatory action, which proposes amended energy conservation standards for CFLKs, is not a significant energy action because the proposed standards are not likely to have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as such by the Administrator at OIRA. Accordingly, DOE has not prepared a Statement of Energy Effects on this proposed rule.
On December 16, 2004, OMB, in consultation with the Office of Science and Technology Policy (OSTP), issued its Final Information Quality Bulletin for Peer Review (the Bulletin). 70 FR 2664 (Jan. 14, 2005). The Bulletin establishes that certain scientific information shall be peer reviewed by qualified specialists before it is disseminated by the federal government, including influential scientific information related to agency regulatory actions. The purpose of the Bulletin is to enhance the quality and credibility of the Government's scientific information. Under the Bulletin, the energy conservation standards rulemaking analyses are “influential scientific information,” which the Bulletin defines as “scientific information the agency reasonably can determine will have, or does have, a clear and substantial impact on important public policies or private sector decisions.”
In response to OMB's Bulletin, DOE conducted formal in-progress peer reviews of the energy conservation standards development process and analyses and has prepared a Peer Review Report pertaining to the energy conservation standards rulemaking analyses. Generation of this report involved a rigorous, formal, and documented evaluation using objective criteria and qualified and independent reviewers to make a judgment as to the technical/scientific/business merit, the actual or anticipated results, and the productivity and management effectiveness of programs and/or projects. The “Energy Conservation Standards Rulemaking Peer Review Report” dated February 2007 has been disseminated and is available at the following Web site:
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Although DOE welcomes comments on any aspect of this proposal, DOE is particularly interested in receiving comments and views of interested parties concerning the following issues:
1. DOE is considering whether all CFLKs with SSL circuitry should be determined to not exceed the 190 W limit and seeks comment on this approach.
2. DOE requests comment on the proposed CFLK product class structure,
3. DOE requests comment on the CFL and LED technology options being proposed for CFLKs and any additional options that should be included. See section IV.A.4.
4. DOE requests comment on the modeled 14 W CFL (with spiral shape, 800 lm, 82 CRI, 2,700 K CCT, and 10,000-hour lifetime) analyzed as the baseline lamp in this NOPR analysis. See section IV.C.3.
5. DOE requests comment on the criteria used in selecting more efficacious substitute lamps, as well as the characteristics of the lamps selected. Specifically, DOE requests comment on the 3-way lamp used as a basis for the modeled max-tech LED lamp. See section IV.C.4.
6. DOE requests comment on the equations used to define the efficacy requirements at each EL. See section IV.C.5.
7. DOE requests comment on the data and methodology used to estimate operating hours for CFLKs, particularly in the residential sector. DOE also seeks comment on its assumption that CFLK operating hours do not vary by light source technology. See section IV.E.1.
8. DOE estimated 30 percent energy savings from the use of dimmers in the residential sector based on energy savings estimates for lighting controls in the commercial sector and stakeholder comments in response to the GSL preliminary analysis. DOE requests comments on the assumption that the only relevant lighting controls used with CFLKs are dimmers, and on the energy savings estimate from dimmers in the residential sector. See section IV.E.3.
9. DOE requests comment on its assumption that the fraction of CFLKs used with dimmers is the same in the residential sector and the commercial sector (11 percent). See section IV.E.3.
10. DOE requests comment on its assumption that CFLs packaged in CFLKs are not dimmable. See section IV.E.3.
11. DOE requests comment and relevant data on the disposal cost assumptions used in its analyses. See section IV.F.2.
12. DOE assumed that the installation costs for CFLKs are the same for all ELs for each of the residential and commercial sectors. DOE also assumed that the installation cost for replacement lamps after the original lamps packaged with the CFLK fail are negligible. Therefore, in the LCC analysis, DOE did not include installation costs for CFLKs or for replacement lamps. DOE welcomes comment on its approach of not including installation costs in the LCC analysis. See section IV.F.
13. DOE requests comment on the overall methodology and results of the LCC and PBP analyses. See section IV.F.
14. In evaluating overall U.S. shipments of CFLKs, DOE assumed in its analysis that CFLKs are primarily found on low-volume ceiling fans. DOE requests any information regarding shipments of CFLKs intended for high-volume ceiling fans. See section IV.G.
15. DOE considered more efficacious lamps under two different substitution scenarios: (1) A lamp replacement scenario and (2) a light kit replacement scenario. In its analysis, DOE split market share evenly between both scenarios when distributing market share among ELs. DOE requests comment on the likelihood of CFLK manufacturers selecting each substitution scenario and information on any alternative scenarios that manufacturers may choose.
16. DOE assumed that only LEDs will continue to experience price learning because of the relative maturity of the other lamp technologies and their anticipated sharp decline as market share shifts to LED. DOE requests comment on the assumption that only LEDs will continue to undergo significant cost reduction due to price learning.
17. DOE requests comment and input regarding its assumption that the distribution of CFLKs by light source technology in the commercial sector is the same as the light source technology distribution in the residential sector.
18. Although LED technology currently accounts for a small fraction of the CFLK market, manufacturers indicate that LED penetration is expected to dominate the lighting market in a relatively short time. DOE estimated the market penetration of LEDs into the ceiling fan light kit market as a Bass diffusion curve. DOE requests comment on this approach.
19. Based on observed trends on the efficacy of LED lamps on the market over time, DOE assumed the market share for LED lamps would naturally shift to more efficacious ELs in the no-standards and standards shipments cases. DOE requests feedback on this assumption.
20. DOE assumed that when the price of LED lamps reached parity with comparable CFL lamps, manufacturers would choose to package CFLKs only with LED lamps. DOE requests feedback on the likelihood of this assumption.
21. DOE requests comments on its assumed breakdown of CFLK usage as 95 percent in the residential sector and 5 percent commercial sector.
22. DOE requests comments on the overall methodology used to develop shipment forecasts and estimate national energy savings and the NPV of those savings.
23. DOE seeks comment on the assumption that almost all CFLK manufacturing takes place abroad. Additionally, DOE seeks comment on any potential domestic employment impacts as a result of amended energy conservation standards for CFLKs.
24. DOE seeks comment on any potential impact on manufacturing capacity at the efficacy level proposed in this NOPR.
25. DOE seeks comment on any potential manufacturer subgroups that could be disproportionally impacted by amended energy conservation standards for CFLKs.
26. DOE seeks comment on the compliance costs of any other regulations on products that CFLK manufacturers also manufacture, especially if compliance with those regulations is required three years before or after the estimated compliance date of this proposed standard.
27. DOE seeks comments, information, and data on the small businesses in the industry, including their number and their role in the CFLK market. DOE also requests data on the market share of small businesses in the CFLK market. Additionally, DOE seeks comment on the potential impacts of the amended standards on CFLK small businesses.
28. DOE seeks comment on any rules or regulations that could potentially duplicate, overlap, or conflict with the proposed amended standard.
The Secretary of Energy has approved publication of this notice of proposed rulemaking.
Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses.
For the reasons set forth in the preamble, DOE proposes to amend part 430 of chapter II, subchapter D, of title 10 of the Code of Federal Regulations, as set forth below:
42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
(s) * * *
(2)(i) Except for the minimum efficacy requirement as provided in paragraph (s)(5) of tis section, ceiling fan light kits with medium screw base sockets manufactured on or after January 1, 2007, must be packaged with screw-based lamps to fill all screw base sockets.
(ii) The screw-based lamps required under paragraph (s)(2)(i) of this section must—
(A) Be compact fluorescent lamps that meet or exceed the following requirements or be as described in paragraph (s)(2)(ii)(B) of this section, except for the minimum efficacy requirement as provided in paragraph (s)(5) of this section:
(B) Light sources other than compact fluorescent lamps that have lumens per watt performance at least equivalent to comparably configured compact fluorescent lamps meeting the energy conservation standards in paragraph (s)(2)(ii)(A) of this section.
(3) Ceiling fan light kits manufactured on or after January 1, 2007, with pin-based sockets for fluorescent lamps must use an electronic ballast and be packaged with lamps to fill all sockets. Except for the minimum efficacy requirement as provided in paragraph (s)(5) of this section, these lamp ballast platforms must meet the following requirements:
(4) Except for the requirements as provided in paragraph (s)(5) of this section, ceiling fan light kits with socket types other than those covered in paragraphs (s)(2) and (3) of this section, including candelabra screw base sockets, manufactured on or after January 1, 2009—
(i) Shall not be capable of operating with lamps that total more than 190 watts. On [DATE 30 DAYS AFTER DATE OF FINAL RULE PUBLICATION IN THE
(A) Have only SSL drivers and light sources that are not consumer replaceable,
(B) Do not include any other light source, and
(C) Include SSL drivers with a maximum operating wattage of no more than 190 W, are considered to incorporate some electrical device or measure that ensures they do not exceed the 190 W limit.
(ii) Shall be packaged to include the lamps described in paragraph (s)(4)(i) of this section with the ceiling fan light kits.
(5) Ceiling fan light kits manufactured on or after [DATE 3 YEARS AFTER DATE OF FINAL RULE PUBLICATION IN THE
Category | Regulatory Information | |
Collection | Federal Register | |
sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
Publisher | Office of the Federal Register, National Archives and Records Administration |