Page Range | 60027-60273 | |
FR Document |
Page and Subject | |
---|---|
80 FR 60271 - Continuance or Reestablishment of Certain Federal Advisory Committees | |
80 FR 60267 - National Youth Justice Awareness Month, 2015 | |
80 FR 60265 - National Substance Abuse Prevention Month, 2015 | |
80 FR 60263 - National Domestic Violence Awareness Month, 2015 | |
80 FR 60261 - National Disability Employment Awareness Month, 2015 | |
80 FR 60259 - National Cybersecurity Awareness Month, 2015 | |
80 FR 60257 - National Breast Cancer Awareness Month, 2015 | |
80 FR 60247 - To Modify Duty-Free Treatment Under the Generalized System of Preferences and for Other Purposes | |
80 FR 60116 - Government in the Sunshine Act Meeting Notice | |
80 FR 60132 - Notice of Intent To Conduct Scoping and To Prepare a Draft Environmental Impact Statement for the Proposed Wisconsin-Lake Michigan National Marine Sanctuary | |
80 FR 60183 - Sunshine Act Meetings; Notice | |
80 FR 60142 - Proposed Information Collection Requests; Comment Requests | |
80 FR 60144 - Agency Information Collection Activities; Proposed Collection; Comment Request; EPA Worker Protection Standards for Hazardous Waste Operations and Emergency Response (Renewal) | |
80 FR 60179 - Meeting of the CJIS Advisory Policy Board | |
80 FR 60171 - List of Programs Eligible for Inclusion in Funding Agreements Negotiated With Self-Governance Tribes by Interior Bureaus Other Than the Bureau of Indian Affairs and Fiscal Year 2015 Programmatic Targets | |
80 FR 60171 - Indian Gaming | |
80 FR 60121 - Potassium Phosphate Salts From the People's Republic of China: Final Results of Expedited First Sunset Review of the Countervailing Duty Order | |
80 FR 60119 - Certain Steel Grating From the People's Republic of China: Final Results of the Expedited Sunset Review of the Antidumping Duty Order | |
80 FR 60120 - Certain Steel Grating From the People's Republic of China: Final Results of Expedited First Sunset Review of the Countervailing Duty Order | |
80 FR 60122 - Certain Potassium Phosphate Salts From the People's Republic of China: Final Results of Expedited First Sunset Review of the Antidumping Duty Order | |
80 FR 60181 - Meeting of the Federal Advisory Committee on Juvenile Justice | |
80 FR 60183 - Exelon Generation Co., LLC; Dresden Nuclear Power Station, Units 2 and 3 | |
80 FR 60073 - Fisheries of the Exclusive Economic Zone Off Alaska; Exchange of Flatfish in the Bering Sea and Aleutian Islands Management Area | |
80 FR 60175 - Classification and Lease for Recreation and Public Purposes Act of Public Land in Tillamook County, OR | |
80 FR 60177 - Notice of Application for a Recordable Disclaimer of Interest: Texas | |
80 FR 60176 - Public Land Order No. 7841; Extension of Public Land Order No. 7464; Montana | |
80 FR 60135 - Guidelines for Carrying Out Section 221(a) (4) of the Flood Control Act of 1970, as Amended. | |
80 FR 60167 - 30-Day Notice of Proposed Information Collection: Evaluation of the Section 811 Project Rental Assistance Program, Phase I | |
80 FR 60166 - 30-Day Notice of Proposed Information Collection: Pay for Success Demonstration Application | |
80 FR 60135 - Agency Information Collection Activities; Comment Request; Student Assistance General Provisions-Readmission for Servicemembers | |
80 FR 60027 - Special Conditions: Gulfstream Model GVII-G500 Airplanes, Side-Stick Controllers; Controllability and Maneuverability | |
80 FR 60028 - Special Conditions: Gulfstream Model GVII-G500 Airplanes, Automatic Speed Protection for Design Dive Speed | |
80 FR 60149 - Disease, Disability, and Injury Prevention and Control Special Emphasis Panel: Initial review | |
80 FR 60180 - Notice of Lodging of Proposed Consent Decrees Under the Comprehensive Environmental Response, Compensation, and Liability Act | |
80 FR 60055 - Medicare Program; Hospital Inpatient Prospective Payment Systems for Acute Care Hospitals and the Long-Term Care Hospital Prospective Payment System Policy Changes and Fiscal Year 2016 Rates; Revisions of Quality Reporting Requirements for Specific Providers, including Changes Related to the Electronic Health Record Incentive Program; Extensions of the Medicare-Dependent, Small Rural Hospital Program and the Low-Volume Payment Adjustment for Hospitals; Correction | |
80 FR 60070 - Medicare Program; Prospective Payment System and Consolidated Billing for Skilled Nursing Facilities for FY 2016, SNF Value-Based Purchasing Program, SNF Quality Reporting Program, and Staffing Data Collection; Correction | |
80 FR 60069 - Medicare Program; FY 2016 Hospice Wage Index and Payment Rate Update and Hospice Quality Reporting Requirements; Correction | |
80 FR 60160 - National Heart, Lung, and Blood Institute; Notice of Meeting | |
80 FR 60159 - National Institute of Dental & Craniofacial Research; Notice of Closed Meetings | |
80 FR 60163 - Center for Scientific Review; Notice of Closed Meeting | |
80 FR 60159 - Center for Scientific Review; Amended Notice of Meeting | |
80 FR 60160 - Center for Scientific Review; Notice of Closed Meetings | |
80 FR 60161 - National Institute of Diabetes and Digestive and Kidney Diseases; Notice of Closed Meetings | |
80 FR 60168 - 30-Day Notice of Proposed Information Collection: Rental Assistance Demonstration (RAD) Application Forms | |
80 FR 60075 - Regulatory Publication and Review Under the Economic Growth and Regulatory Paperwork Reduction Act of 1996 | |
80 FR 60145 - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension | |
80 FR 60163 - California; Amendment No. 3 to Notice of a Major Disaster Declaration | |
80 FR 60107 - Alabama Regulatory Program | |
80 FR 60145 - Notice to All Interested Parties of the Termination of the Receivership of 10033, Suburban Federal Savings Bank Crofton, Maryland | |
80 FR 60165 - California; Amendment No. 4 to Notice of a Major Disaster Declaration | |
80 FR 60165 - California; Major Disaster and Related Determinations | |
80 FR 60164 - California; Amendment No. 1 to Notice of a Major Disaster Declaration | |
80 FR 60117 - Notice of Public Meeting of the Michigan Advisory Committee for a Meeting To Discuss Approval of a Project Proposal Regarding the Civil Rights Impact of Civil Forfeiture Practices in the State; Correction | |
80 FR 60117 - Advisory Committees Expiration | |
80 FR 60182 - Agency Information Collection Activities: Proposed Collection; Comment Request | |
80 FR 60219 - Regulatory Fairness Hearing; Regions VI and IX-Arizona and New Mexico | |
80 FR 60131 - Fisheries of the South Atlantic; South Atlantic Fishery Management Council; Public Meeting | |
80 FR 60130 - New England Fishery Management Council; Public Meeting | |
80 FR 60134 - Mid-Atlantic Fishery Management Council (MAFMC); Public Meeting | |
80 FR 60129 - Mid-Atlantic Fishery Management Council (MAFMC); Public Meeting | |
80 FR 60130 - North Pacific Fishery Management Council; Public Meeting | |
80 FR 60130 - Pacific Fishery Management Council; Public Meeting | |
80 FR 60118 - Submission for OMB Review; Comment Request | |
80 FR 60114 - Special Agricultural Safeguard Measures Pursuant to the Uruguay Round Agreements Act | |
80 FR 60077 - Small Business Investment Companies; Passive Business Expansion & Technical Clarifications | |
80 FR 60114 - Pike & San Isabel Resource Advisory Committee | |
80 FR 60136 - Orders Granting Authority To Import and Export Natural Gas, To Import and Export Liquefied Natural Gas, Amending Authority, Vacating Prior Authority, and Errata During March 2015 | |
80 FR 60219 - Notice of Final Federal Agency Actions on Proposed Highway in Alaska | |
80 FR 60137 - Orders Granting Authority To Import and Export Natural Gas, To Import and Export Liquefied Natural Gas, Vacating Prior Authorization, and Errata During February 2015 | |
80 FR 60139 - Orders Granting Authority To Import and Export Natural Gas, To Import and Export Liquefied Natural Gas, Amending Authorization, and Errata During January 2015 | |
80 FR 60140 - Orders Granting Authority To Import And Export Natural Gas, To Import and Export Liquefied Natural Gas and To Vacate Prior Authorization During December 2014 | |
80 FR 60138 - Agency Information Collection Extension | |
80 FR 60242 - Pipeline Safety: Information Collection Activities | |
80 FR 60124 - Atlantic Highly Migratory Species; Advisory Panel for Atlantic Highly Migratory Species Southeast Data, Assessment, and Review Workshops | |
80 FR 60071 - Suspension of Community Eligibility | |
80 FR 60164 - Technical Mapping Advisory Council | |
80 FR 60163 - California; Amendment No. 2 to Notice of a Major Disaster Declaration | |
80 FR 60030 - Airworthiness Directives; Airbus Helicopters | |
80 FR 60169 - Draft Habitat Conservation Plan for Oregon Department of Transportation Routine Maintenance Activities | |
80 FR 60123 - Endangered Species; File No. 19621 | |
80 FR 60158 - Advisory Council on Alzheimer's Research, Care, and Services; Meeting | |
80 FR 60147 - Healthcare Infection Control Practices Advisory Committee (HICPAC) | |
80 FR 60150 - Agency Information Collection Activities: Submission for OMB Review; Comment Request | |
80 FR 60158 - Notice To Propose the Redesignation of the Service Delivery Area for the Aquinnah Wampanoag Indian Tribe | |
80 FR 60131 - Issuance of Permit Amendment: Marine Mammals; File No. 14603 | |
80 FR 60129 - Application for a Permit Modification: Endangered Species; File No. 17304 | |
80 FR 60177 - Certain Television Sets, Television Receivers, Television Tuners, and Components Thereof Commission Determination Terminating the Investigation With a Finding of No Violation of Section 337 | |
80 FR 60125 - Endangered and Threatened Species; Recovery Plans | |
80 FR 60243 - Petition for Exemption From the Federal Motor Vehicle Theft Prevention Standard; Ford Motor Company | |
80 FR 60151 - International Drug Scheduling; Convention on Psychotropic Substances; Single Convention on Narcotic Drugs; Ketamine and Nine Other Substances; Request for Comments | |
80 FR 60162 - National Institute of Allergy and Infectious Diseases: Notice of Closed Meetings | |
80 FR 60162 - National Center for Advancing Translational Sciences; Notice of Closed Meeting | |
80 FR 60159 - National Center for Advancing Translational Sciences: Notice of Closed Meeting | |
80 FR 60159 - Government-Owned Invention; Availability for Licensing | |
80 FR 60148 - Agency Forms Undergoing Paperwork Reduction Act Review | |
80 FR 60033 - Change in EST Usage in Notice to Airmen (NOTAM) | |
80 FR 60134 - Market Risk Advisory Committee | |
80 FR 60119 - Renewable Energy and Energy Efficiency Advisory Committee | |
80 FR 60224 - Americans With Disabilities Act: Final Circular | |
80 FR 60222 - Emergency Relief Program Guidance | |
80 FR 60195 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth | |
80 FR 60208 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products | |
80 FR 60201 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products | |
80 FR 60207 - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until March 31, 2016 | |
80 FR 60201 - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2016 | |
80 FR 60204 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust Under BATS Rule 14.11 on BATS Exchange, Inc. | |
80 FR 60216 - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15, Clearly Erroneous Executions | |
80 FR 60204 - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15, Clearly Erroneous Executions | |
80 FR 60193 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Restructure and Amend Rule 11.17, Clearly Erroneous Executions | |
80 FR 60210 - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Restructure and Amend Rule 11.17, Clearly Erroneous Executions | |
80 FR 60197 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Co-Location Services to the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center | |
80 FR 60213 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center | |
80 FR 60190 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-Location Services to the Exchange's Price List and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center | |
80 FR 60182 - Privacy Act of 1974; New Blanket Routine Use | |
80 FR 60049 - Air Plan Approval; California; Mammoth Lakes; Redesignation; PM10 | |
80 FR 60110 - Clean Air Act Title V Operating Permit Program Revision; West Virginia | |
80 FR 60040 - Revisions to the California State Implementation Plan, Antelope Valley Air Quality Management District | |
80 FR 60108 - Revisions to the California State Implementation Plan, Antelope Valley Air Quality Management District | |
80 FR 60149 - Final Revised Vaccine Information Materials for Seasonal Influenza Vaccines | |
80 FR 60043 - Air Plan Approval; Illinois; Volatile Organic Compounds Definition | |
80 FR 60162 - Center for Scientific Review; Notice of Closed Meetings | |
80 FR 60153 - Agency Information Collection Activities; Proposed Collection; Comment Request; Public Health Service Guideline on Infectious Disease Issues in Xenotransplantation | |
80 FR 60110 - Air Plan Approval; Illinois; Volatile Organic Compounds Definition | |
80 FR 60147 - Federal Management Regulation; Redesignation of Federal Building | |
80 FR 60116 - Information Collection Activity; Comment Request | |
80 FR 60115 - Information Collection Activity; Comment Request | |
80 FR 60179 - Agency Information Collection Activities; Proposed eCollection eComments Requested; New Collection, Semi-Annual Progress Report for Justice for Families Program | |
80 FR 60145 - Notice to All Interested Parties of the Termination of the Receivership of 10239, Southwest Community Bank, Springfield, Missouri | |
80 FR 60047 - Revision of Air Quality Implementation Plan; California; Feather River Air Quality Management District; Stationary Source Permits | |
80 FR 60109 - Revision of Air Quality Implementation Plan; California; Feather River Air Quality Management District; Stationary Source Permits | |
80 FR 60123 - Gulf of Mexico Fishery Management Council; Public Meetings | |
80 FR 60134 - New England Fishery Management Council; Public Meeting | |
80 FR 60220 - Commercial Driver's License Standards: Application for Exemption; Daimler Trucks North America (Daimler) | |
80 FR 60112 - Lifeline and Link Up Reform and Modernization; Telecommunications Carriers Eligible for Universal Service Support; Connect America Fund | |
80 FR 60117 - Membership of the Departmental Performance Review Board | |
80 FR 60118 - Membership of the Office of the Secretary Performance Review Board | |
80 FR 60033 - Electrical Safety-Related Work Practices; Electric Power Generation, Transmission, and Distribution; Electrical Protective Equipment; Corrections | |
80 FR 60180 - Notice of Lodging of Proposed Consent Decree Under the Clean Water Act and Oil Pollution Act | |
80 FR 60142 - Environmental Impact Statements; Notice of Availability | |
80 FR 60126 - Notice of Availability of a Deepwater Horizon | |
80 FR 60045 - Approval and Promulgation of Implementation Plans; Georgia Infrastructure Requirements for the 2008 Lead NAAQS | |
80 FR 60219 - National Small Business Development Center Advisory Board | |
80 FR 60091 - Amendments to the Commission's Rules of Practice | |
80 FR 60082 - Amendments to the Commission's Rules of Practice | |
80 FR 60052 - Hazardous Waste Management System; Identification and Listing of Hazardous Waste; Direct Final Rule |
Foreign Agricultural Service
Forest Service
Rural Utilities Service
International Trade Administration
National Oceanic and Atmospheric Administration
Engineers Corps
Centers for Disease Control and Prevention
Centers for Medicare & Medicaid Services
Food and Drug Administration
Indian Health Service
National Institutes of Health
Federal Emergency Management Agency
Fish and Wildlife Service
Indian Affairs Bureau
Land Management Bureau
Surface Mining Reclamation and Enforcement Office
Federal Bureau of Investigation
Justice Programs Office
Occupational Safety and Health Administration
Federal Aviation Administration
Federal Highway Administration
Federal Motor Carrier Safety Administration
Federal Transit Administration
Pipeline and Hazardous Materials Safety Administration
Comptroller of the Currency
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.
To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http://listserv.access.thefederalregister.org and select Online mailing list archives, FEDREGTOC-L, Join or leave the list (or change settings); then follow the instructions.
Federal Aviation Administration (FAA), DOT.
Final special conditions.
These special conditions are issued for the Gulfstream Model GVII-G500 airplane. This airplane will have a novel or unusual design feature when compared to the state of technology envisioned in the airworthiness standards for transport category airplanes. This design feature is side-stick controllers, instead of conventional-control wheel-and-column design, for pitch and roll control. The applicable airworthiness regulations do not contain adequate or appropriate safety standards for this design feature. These special conditions contain the additional safety standards that the Administrator considers necessary to establish a level of safety equivalent to that established by the existing airworthiness standards.
Effective November 4, 2015.
Joe Jacobsen, FAA, Airplane and Flight Crew Interface Branch, ANM-111, Transport Airplane Directorate, Aircraft Certification Service, 1601 Lind Avenue SW., Renton, Washington 98057-3356; telephone (425) 227-2011; facsimile (425) 227-1320.
On March 29, 2012, Gulfstream Aerospace Corporation applied for a type certificate for their new Model GVII-G500 airplane. The Model GVII-G500 will be a large-cabin business jet with seating for 19 passengers. It will incorporate a low, swept-wing design with winglets and a T-tail. The powerplant will consist of two aft-fuselage-mounted Pratt & Whitney turbofan engines. The flight-control system is a three-axis, fly-by-wire (FBW) system incorporating active control/coupled side sticks.
The Model GVII-G500 will have a wingspan of approximately 87 ft. and a length of just over 91 ft. Maximum takeoff weight will be approximately 76,850 lbs and maximum takeoff thrust will be approximately 15,135 lbs. Maximum range will be approximately 5,000 nm and maximum operating altitude will be 51,000 ft.
The Model GVII-G500 airplane will incorporate a FBW flight-control system, through side-stick controllers, for pitch and roll control. Regulatory requirements, such as the pilot-control forces prescribed in the referenced regulations, are not applicable for the side-stick controller design. In addition, pilot-control authority may be uncertain because the side-stick controllers are not mechanically interconnected to flight controls as are conventional wheel-and-column controls.
Under Title 14, Code of Federal Regulations (14 CFR) 21.17, Gulfstream must show that the Model GVII-G500 airplane meets the applicable provisions of 14 CFR part 25, effective February 1, 1965, including Amendments 25-1 through 25-137; 14 CFR part 34, as amended by Amendments 34-1 through the most current amendment at time of design approval; and 14 CFR part 36, Amendment 36-29.
In addition, the certification basis includes other regulations, special conditions, and exemptions that are not relevant to these special conditions. Type Certificate no. TC-01-2010-0024 will be updated to include a complete description of the certification basis for this airplane model.
If the Administrator finds that the applicable airworthiness regulations (
Special conditions are initially applicable to the model for which they are issued. Should the type certificate for that model be amended later to include any other model that incorporates the same or similar novel or unusual design feature, the special conditions would also apply to the other model under § 21.101.
In addition to the applicable airworthiness regulations and special conditions, Gulfstream Model GVII-G500 airplanes must comply with the fuel-vent and exhaust-emission requirements of 14 CFR part 34, and the noise-certification requirements of 14 CFR part 36.
The FAA issues special conditions, as defined in 14 CFR 11.19, under § 11.38, and they become part of the type certification basis under § 21.17(a)(2).
Gulfstream Model GVII-G500 airplanes will incorporate the following novel or unusual design feature:
Side-stick controllers incorporating fly-by-wire technology for pitch and roll control, in place of conventional wheel-and-column controls.
These special conditions for the Gulfstream Model GVII-G500 airplane address the unique features of the side-stick controllers. The Model GVII-G500 airplane will incorporate side-stick controllers controlling a FBW flight-control system. The FBW control laws are designed to provide conventional flying qualities such as positive static longitudinal and lateral stability as prescribed in part 25, subpart B. However, the pilot-control forces prescribed in the referenced regulations are not applicable for the side-stick controller design.
Because current FAA regulations do not specifically address the use of side-stick controllers for pitch and roll control, the unique features of the side stick therefore must be demonstrated, through flight and simulator tests, to have suitable handling and control characteristics when considering the following:
• The handling-qualities tasks and requirements of the Gulfstream Model GVII-G500 Special Conditions and other 14 CFR part 25 requirements for stability, control, and maneuverability, including the effects of turbulence.
• General ergonomics: Armrest comfort and support, local freedom of movement, displacement-angle suitability, and axis harmony.
• Inadvertent pilot input in turbulence.
• Inadvertent pitch and roll crosstalk from pilot inputs on the side-stick controller.
Notice of proposed special conditions no. 25-15-07-SC for the Gulfstream Model GVII-G500 airplane was published in the
As discussed above, these special conditions apply to Gulfstream Model GVII-G500 airplanes. Should Gulfstream apply later for a change to the type certificate to include another model incorporating the same or similar novel or unusual design feature, the special conditions would apply to that model as well.
This action affects only certain novel or unusual design features on Gulfstream Model GVII-G500 airplanes. It is not a rule of general applicability.
Aircraft, Aviation safety, Reporting and recordkeeping requirements.
49 U.S.C. 106(g), 40113, 44701, 44702, 44704.
Federal Aviation Administration (FAA), DOT.
Final special conditions.
These special conditions are issued for the Gulfstream Model GVII-G500 airplane. This airplane will have a novel or unusual design feature when compared to the state of technology envisioned in the airworthiness standards for transport-category airplanes.
This design feature is associated with a reduced margin between design cruising speed, V
Effective November 4, 2015.
Walt Sippel, FAA, Airframe and Cabin Safety Branch, ANM-115, Transport Airplane Directorate, Aircraft Certification Service, 1601 Lind Avenue SW., Renton, Washington 98057-3356; telephone 425-227-2774; facsimile 425-227-1232.
On March 29, 2012, Gulfstream Aerospace Corporation applied for a type certificate for their new Model GVII-G500 airplane. The Model GVII-G500 airplane will be a large-cabin business jet with seating for 19 passengers. It will incorporate a low, swept-wing design with winglets and a T-tail. The powerplant will consist of two aft-fuselage-mounted Pratt & Whitney turbofan engines.
The Model GVII-G500 will have a wingspan of approximately 87 feet and a length of just over 91 feet. Maximum takeoff weight will be approximately 76,850 pounds and maximum takeoff thrust will be approximately 15,135 pounds. Maximum range will be approximately 5,000 nautical miles, and maximum operating altitude will be 51,000 feet.
Under the provisions of Title 14, Code of Federal Regulations (14 CFR) 21.17, Gulfstream must show that the Model GVII-G500 airplane meets the applicable provisions of part 25 as amended by Amendments 25-1 through 25-137.
In addition, the certification basis includes other regulations, special conditions, and exemptions that are not relevant to these special conditions.
If the Administrator finds that the applicable airworthiness regulations (
Special conditions are initially applicable to the model for which they are issued. Should the type certificate for that model be amended later to include any other model that incorporates the same novel or unusual design feature, the special conditions would also apply to the other model under § 21.101.
In addition to the applicable airworthiness regulations and special conditions, the Model GVII-G500 airplane must comply with the fuel-vent and exhaust-emission requirements of 14 CFR part 34, and the noise-certification requirements of 14 CFR part 36; and the FAA must issue a finding of regulatory adequacy under
The FAA issues special conditions, as defined in 14 CFR 11.19, in accordance with § 11.38, and they become part of the type certification basis under § 21.17(a)(2).
The Gulfstream Model GVII-G500 airplane will incorporate the following novel or unusual design feature:
For this airplane, Gulfstream will reduce the margin between V
Title 14, Code of Federal Regulations (14 CFR) 25.335(b)(1) is an analytical envelope condition which was originally adopted in Part 4b of the Civil Air Regulations to provide an acceptable speed margin between design cruise speed and design dive speed. Flutter clearance design speeds and airframe design loads are impacted by the design dive speed. While the initial condition for the upset specified in the rule is 1g level flight, protection is afforded for other inadvertent overspeed conditions as well. Section 25.335(b)(1) is intended as a conservative enveloping condition for potential overspeed conditions, including non-symmetric ones. To establish that potential overspeed conditions are enveloped, Gulfstream must demonstrate that any reduced speed margin based on the high-speed protection system in the Model GVII-G500 airplane will not be exceeded in inadvertent or gust-induced upsets resulting in initiation of the dive from non-symmetric attitudes; or that the airplane is protected by the flight-control laws from getting into non-symmetric upset conditions. Gulfstream must conduct a demonstration that includes a comprehensive set of conditions as described below.
These special conditions are in lieu of § 25.335(b)(1). Section 25.335(b)(2), which also addresses the design dive speed, is applied separately (Advisory Circular (AC) 25.335-1A provides an acceptable means of compliance to § 25.335(b)(2)).
Special conditions are necessary to address the Model GVII-G500 airplane high-speed protection system. These special conditions identify various symmetric and non-symmetric maneuvers that will ensure that an appropriate design dive speed, V
Special Condition 2 of these special conditions references AC 25-7C, section 8, paragraph 32, “Gust Upset,” included here for reference:
In the following three upset tests, the values of displacement should be appropriate to the airplane type and should depend upon airplane stability and inertia characteristics. The lower and upper limits should be used for airplanes with low and high maneuverability, respectively.
(i) With the airplane trimmed in wings-level flight, simulate a transient gust by rapidly rolling to the maximum bank angle appropriate for the airplane, but not less than 45 degrees nor more than 60 degrees. The rudder and longitudinal control should be held fixed during the time that the required bank is being attained. The rolling velocity should be arrested at this bank angle. Following this, the controls should be abandoned for a minimum of 3 seconds after V
(ii) Perform a longitudinal upset from normal cruise. Airplane trim is determined at V
(iii) Perform a two-axis upset, consisting of combined longitudinal and lateral upsets. Perform the longitudinal upset, as in paragraph (ii) above, and when the pitch attitude is set, but before reaching V
Special Conditions 3 and 4 of these special conditions indicate that failures of the high-speed protection system must be improbable and must be annunciated to the pilots. If these two criteria are not met, then the probability that the established dive speed will be exceeded, and the resulting risk to the airplane, are too great. On the other hand, if the high-speed protection system is known to be inoperative, then dispatch of the airplane may be acceptable as allowed by Special Condition 5 of these special conditions. Dispatch would only be acceptable if appropriate reduced operating speeds, V
We do not believe that application of the “Interaction of Systems and Structures” Special Conditions (reference GVI Issue Paper A-2), or EASA Certification Specification 25.302, are appropriate in this case, because design dive speed is, in and of itself, part of the design criteria. Stability and control, flight loads, and flutter evaluations all depend on the design dive speed. Therefore, a single design dive speed should be established that will not be exceeded, taking into account the performance of the high-speed protection system as well as its failure modes, failure indications, and accompanying flight-manual instructions.
These special conditions contain the additional safety standards that the Administrator considers necessary to establish a level of safety equivalent to that established by the existing airworthiness standards.
Notice of proposed special conditions no. 25-15-08-SC for the Gulfstream Model GVII-G500 airplane was published in the
As discussed above, these special conditions are applicable to the Gulfstream Model GVII-G500 airplane. Should Gulfstream apply at a later date for a change to the type certificate to include another model incorporating the same novel or unusual design feature, the special conditions would apply to that model as well.
This action affects only certain novel or unusual design features on one model of airplane. It is not a rule of general applicability.
Aircraft, Aviation safety, Reporting and recordkeeping requirements.
49 U.S.C. 106(g), 40113, 44701, 44702, 44704.
1. In lieu of compliance with § 25.335(b)(1), if the flight-control system includes functions that act automatically to initiate recovery before the end of the 20-second period specified in § 25.335(b)(1), V
(a) From an initial condition of stabilized flight at V
(b) From a speed below V
2. The applicant must also demonstrate that the speed margin, established as above, will not be exceeded in inadvertent or gust-induced upsets resulting in initiation of the dive from non-symmetric attitudes, unless the airplane is protected by the flight-control laws from getting into non-symmetric upset conditions. The upset maneuvers described in Advisory Circular 25-7C, “Flight Test Guide for Certification of Transport Category Airplanes,” section 8, paragraph 32, sub-paragraphs c(3)(a), (b), and (c), may be used to comply with this requirement.
3. The probability of any failure of the high-speed protection system, which would result in an airspeed exceeding those determined by Special Conditions 1 and 2, must be less than 10
4. Failures of the system must be annunciated to the pilots. Flight manual instructions must be provided that reduce the maximum operating speeds, V
5. The applicant may request that the Master Minimum Equipment List relief for the high-speed protection system be considered by the FAA Flight Operations Evaluation Board, provided that the flight manual instructions indicate reduced maximum operating speeds as described in Special Condition 4. In addition, the flightdeck display of the reduced operating speeds, as well as the overspeed warning for exceeding those speeds, must be equivalent to that of the normal airplane with the high-speed protection system operative. Also, the applicant must show that no additional hazards are introduced with the high-speed protection system inoperative.
Federal Aviation Administration (FAA), Department of Transportation (DOT).
Final rule; request for comments.
We are publishing a new airworthiness directive (AD) for Airbus Helicopters Model AS332C, AS332C1, AS332L, and AS332L1 helicopters, which was sent previously to all known U.S. owners and operators of these helicopters. This AD requires inspecting certain tail rotor (T/R) blades, replacing the set of T/R blades if there is damage, deactivating the rotor de-icing system, revising the rotorcraft flight manual (RFM), and installing a placard. This AD is prompted by a report of a T/R de-icing system power supply box stuck in a “closed” position providing an uncontrolled and un-annunciated power supply to the system. These actions are intended to detect and prevent structural damage to the T/R blades caused by overheating, and subsequent loss of control of the helicopter.
This AD becomes effective October 20, 2015 to all persons except those persons to whom it was made immediately effective by Emergency AD 2015-18-51, issued on September 11, 2015, which contains the requirements of this AD.
We must receive comments on this AD by December 4, 2015.
You may send comments by any of the following methods:
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•
You may examine the AD docket on the Internet at
For service information identified in this AD, contact Airbus Helicopters, 2701 N. Forum Drive, Grand Prairie, TX 75052; telephone (972) 641-0000 or (800) 232-0323; fax (972) 641-3775; or at
George Schwab, Aviation Safety Engineer, Safety Management Group, Rotorcraft Directorate, FAA, 10101 Hillwood Pkwy., Fort Worth, TX 76177; telephone (817) 222-5110; email
This AD is a final rule that involves requirements affecting flight safety, and we did not provide you with notice and an opportunity to provide your comments prior to it becoming effective. However, we invite you to participate in this rulemaking by submitting written comments, data, or views. We also invite comments relating to the economic, environmental, energy, or federalism impacts that resulted from adopting this AD. The most helpful comments reference a specific portion of the AD, explain the reason for any recommended change, and include supporting data. To ensure the docket does not contain duplicate comments, commenters should send only one copy of written comments, or if comments are filed electronically, commenters should submit them only one time. We will file in the docket all comments that we receive, as well as a report summarizing each substantive public contact with FAA personnel concerning this rulemaking during the comment period. We will consider all the comments we receive and may conduct additional rulemaking based on those comments.
On September 11, 2015, we issued Emergency AD 2015-18-51 to correct an unsafe condition for Airbus Helicopters Model AS332C, AS332C1, AS332L, and AS332L1 helicopters with T/R de-icing installation unit part number (P/N) 204ZP01Y01 and T/R blade P/N 332A12-0055-XX (where XX is any dash number) installed. Emergency AD 2015-18-51 requires inspecting each T/R blade, replacing the set of T/R blades if there is damage, deactivating the rotor de-icing system, revising the RFM, and installing a placard. Emergency AD 2015-18-51 was sent previously to all known U.S. owners and operators of these helicopters and was prompted by a report of a T/R de-icing system power supply box stuck in a “closed” position providing an uncontrolled and un-annunciated power supply to the system. The T/R de-icing system is part of the entire rotor de-icing system.
Emergency AD 2015-18-51 was prompted by AD No. 2015-0153-E, dated July 24, 2015, issued by EASA, which is the Technical Agent for the Member States of the European Union, to correct an unsafe condition for Airbus Helicopters Model AS332 C, AS332C1, AS332L, and AS332L1 helicopters, equipped with T/R de-icing installation unit P/N 204ZP01Y01 and T/R blade P/N 332A12-0055-XX (where XX represents any dash number). EASA advises of a report of a T/R blade that was overheated and damaged after application of alternating current (AC) from a ground power unit (GPU) following a flight during which the de-icing system was used. Subsequent analysis determined failure of the power supply box stuck in the “closed” position caused the uncontrolled power supply to the rotor blade de-icing system and subsequent damage. EASA also states that its AD is considered an interim action and further AD action may follow.
These helicopters have been approved by the aviation authority of France and are approved for operation in the United States. Pursuant to our bilateral agreement with France, EASA, its technical representative, has notified us of the unsafe condition described in the EASA AD. We are issuing this AD because we evaluated all information provided by the EASA and determined the unsafe condition exists and is likely to exist or develop on other helicopters of these same type designs.
Airbus Helicopters issued Alert Service Bulletin No. AS332-05.01.02, Revision 0, dated July 22, 2015 (ASB), which specifies, before each flight and before starting at least one engine, if the applicable helicopter has been supplied external 115V/400Hz AC GPU with the rotor stationary or if the de-icing system has been used or tested using an AC GPU with the rotor stationary or spinning, visually inspecting the T/R blades for burn marks, detached leading edge protection, or cracks at the skin/leading edge protection junction. If at least one T/R blade is damaged, the ASB specifies replacing all of the T/R blades.
This AD requires, before further flight, inspecting each T/R blade for a burn mark, any disbonding of the leading edge protection, and a crack at the junction of the skin and the leading edge protection. If there is a burn mark, any disbonding of the leading edge protection, or a crack at the junction of the skin and the leading edge protection on a T/R blade, this AD requires replacing all of the T/R blades with airworthy T/R blades. This AD also requires deactivating the rotor de-icing system, revising the RFM to state that the rotor de-icing system is deactivated and that flight into known icing is prohibited, and installing a placard stating that the rotor de-icing system is deactivated.
The EASA AD allows operation of the rotor de-icing system with a recurring inspection of the T/R blades. This AD requires an initial inspection and prohibits operation of the rotor de-icing system by deactivating the rotor de-icing system, revising the RFM to state the rotor de-icing system is deactivated and flight into known icing is prohibited, and installing a placard stating that the rotor de-icing system is deactivated.
We consider this AD to be an interim action. Once a modification to the rotor de-icing system design is evaluated, approved, and available, we might consider additional rulemaking.
We estimate that this AD affects 19 helicopters of U.S. Registry. We estimate that operators may incur the following costs in order to comply with this AD at an average labor rate of $85 per work-hour. It takes about 1 work-hour to inspect the T/R blades for a cost of $85 per helicopter and $1,615 for the U.S.
Providing an opportunity for public comments prior to adopting these AD requirements would delay implementing the safety actions needed to correct this known unsafe condition. Therefore, we found and continue to find that the risk to the flying public justifies waiving notice and comment prior to the adoption of this rule because the previously described unsafe condition can adversely affect the controllability of the helicopter and the initial required action must be accomplished before further flight.
Since it was found that immediate corrective action was required, notice and opportunity for prior public comment before issuing this AD were impracticable and contrary to public interest and good cause existed to make the AD effective immediately by Emergency AD 2015-18-51, issued on September 11, 2015, to all known U.S. owners and operators of these helicopters. These conditions still exist and the AD is hereby published in the
Title 49 of the United States Code specifies the FAA's authority to issue rules on aviation safety. 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.
We are issuing this rulemaking under the authority described in “Subtitle VII, Part A, Subpart III, Section 44701: General requirements.” Under that section, Congress charges the FAA with promoting safe flight of civil aircraft in air commerce by prescribing regulations for practices, methods, and procedures the Administrator finds necessary for safety in air commerce. This regulation is within the scope of that authority because it addresses an unsafe condition that is likely to exist or develop on products identified in this rulemaking action.
We determined that this AD will not have federalism implications under Executive Order 13132. This AD will 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.
For the reasons discussed, I certify that this AD:
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);
3. Will not affect intrastate aviation in Alaska to the extent that it justifies making a regulatory distinction; and
4. Will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
We prepared an economic evaluation of the estimated costs to comply with this AD and placed it in the AD docket.
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
Accordingly, under the authority delegated to me by the Administrator, the FAA amends 14 CFR part 39 as follows:
49 U.S.C. 106(g), 40113, 44701.
This AD applies to Airbus Helicopters Model AS332C, AS332C1, AS332L, and AS332L1 helicopters with tail rotor (T/R) de-icing installation unit part number (P/N) 204ZP01Y01 and T/R blade P/N 332A12-0055-XX (where XX is any dash number) installed, certificated in any category.
This AD defines the unsafe condition as uncontrolled and un-annunciated power supply to the T/R de-icing system, which could overheat the T/R blades. This condition could result in structural damage to the T/R blades and subsequent loss of control of the helicopter.
This AD becomes effective October 20, 2015 to all persons except those persons to whom it was made immediately effective by Emergency AD 2015-18-51, issued on September 11, 2015, which contains the requirements of this AD.
You are responsible for performing each action required by this AD within the specified compliance time unless it has already been accomplished prior to that time.
Before further flight:
(1) Inspect each T/R blade for a burn mark, any disbonding of the leading edge protection, and a crack at the junction of the skin and the leading edge protection. Examples of a burn mark, disbonding, and a crack are shown in the photos under paragraph 3.B.2., Accomplishment Instructions, of Airbus Helicopters Alert Service Bulletin No. AS332-05.01.02, Revision 0, dated July 22, 2015. If there is a burn mark, any disbonding of the leading edge protection, or a crack at the junction of the skin and the leading edge protection on a T/R blade, replace all of the T/R blades with airworthy T/R blades.
(2) Deactivate the rotor de-icing system.
(3) Revise Section 2, Limitations, of the Protective Equipment for Flight in Icing Conditions supplement to the rotorcraft flight manual by inserting the following: ROTOR DE-ICING SYSTEM IS DEACTIVATED. FLIGHT INTO KNOWN ICING IS PROHIBITED.
(4) Install a placard with 6 millimeter red letters on a white background next to the rotors de-icing control panel that states the following: ROTOR DE-ICING SYSTEM IS DEACTIVATED.
Special flight permits will be permitted for flights to a location where the required inspection can be performed provided the flight does not exceed 5 hours time-in-service.
(1) The Manager, Safety Management Group, FAA, may approve AMOCs for this AD. Send your proposal to: George Schwab, Aviation Safety Engineer, Safety Management Group, Rotorcraft Directorate, FAA, 10101 Hillwood Pkwy, Fort Worth, TX 76177; telephone (817) 222-5110; email
(2) For operations conducted under a 14 CFR part 119 operating certificate or under 14 CFR part 91, subpart K, we suggest that
(1) Airbus Helicopters Alert Service Bulletin No. AS332-05.01.02, Revision 0, dated July 22, 2015, which is not incorporated by reference, contains additional information about the subject of this AD. For service information identified in this AD, contact Airbus Helicopters, 2701 N. Forum Drive, Grand Prairie, TX 75052; telephone (972) 641-0000 or (800) 232-0323; fax (972) 641-3775; or at
(2) The subject of this AD is addressed in European Aviation Safety Agency (EASA) AD No. 2015-0153-E, dated July 24, 2015. You may view the EASA AD on the Internet at
Joint Aircraft Service Component (JASC) Code: 3060, Rotor De-Ice System.
Federal Aviation Administration (FAA), DOT.
Policy change.
This document provides clarity and guidance regarding the use of the contraction “EST”, which stands for “Estimated”, when appended to the end of validity time in a NOTAM. The FAA is taking this action to align NOTAM policy with International Civil Aviation Organization (ICAO) standards and recommended practices.
Gary Bobik (202-267-6524;
The Federal Aviation Administration (FAA) Flight Services is revising FAA Order JO 7930.2,
The following paragraphs will be incorporated into the next revision of FAA Order JO 7930.2.
Paragraph 4-2-1a-14, Start of Activity/End of Validity, is “a 10-digit date-time group (YYMMDDHHMM) used to indicate the time at which the NOT AM comes into force (the date/time a condition will exist or begin) and the time at which the NOTAM ceases to be in force and becomes invalid (the expected return to service, return to normal status time, or the time the activity will end).”
Paragraph 4-2-1a-14(a) further specifies, that if the NOTAM duration is expected to return to service prior to the End of Validity time, express the time by using a date- time group followed immediately by EST. The NOTAM Originator must cancel or replace any NOTAM that includes an EST before the NOTAM reaches its End of Validity time, as the NOTAM will now auto expire at the end of validity time, regardless of EST.
Occupational Safety and Health Administration (OSHA), Labor.
Correcting amendments.
This document corrects the electrical safety-related work practices standard for general industry and the electric power generation, transmission, and distribution standards for general industry and construction to provide additional clarification regarding the applicability of the standards to certain operations, including some tree trimming work that is performed near (but that is not on or directly associated with) electric power generation, transmission, and distribution installations. This document also corrects minor errors in two minimum approach distance tables in the general industry and construction standards for electric power generation, transmission and distribution work.
These correcting amendments are effective on October 5, 2015.
This document revises certain language in OSHA's standards to reflect the Agency's intent about the scope of two general industry standards. First, this document revises language that mistakenly could be read as suggesting that the general industry electric power generation, transmission, and distribution standard covers certain tree-trimming work that is performed near, but that is not on or directly associated with, electric power generation, transmission, and distribution installations. This was never OSHA's intent; rather, OSHA intended that the general industry electrical safety-related work practices standard cover such work. Similarly, OSHA is correcting language in its general industry electrical safety-related work practices standard to make clear that the standard covers other work performed by qualified persons that is near, but not on or directly associated with, both electric power generation, transmission, and distribution installations and certain other types of installations.
This notice also corrects minor errors in two minimum approach distance tables in the general industry and construction standards for electric power generation, transmission and distribution work.
On August 6, 1990, OSHA adopted a standard on electrical safety-related work practices for general industry (55 FR 31984).
When the Agency promulgated the electrical safety-related work practices standard in 1990, OSHA did not define “work directly associated with” generation, transmission, or distribution installations. However, Note 2 to § 1910.331(c)(1) gave two examples of such work: line-clearance tree trimming and replacing utility poles. OSHA defined “line-clearance tree trimming,” at 29 CFR 1910.399 in subpart S, as the pruning, trimming, repairing, maintaining, removing, or clearing of trees or cutting of brush that is within 305 cm (10 feet) of electric supply lines and equipment.
On January 31, 1994, OSHA issued a new standard, § 1910.269, addressing work practices to be used during the operation and maintenance of electric power generation, transmission, and distribution lines and equipment, including, specifically, line-clearance tree-trimming operations (59 FR 4320).
On April 11, 2014, OSHA revised § 1910.269, as well as subpart V of part 1926, which contains corresponding requirements for the construction of electric power transmission and distribution lines and equipment (79 FR 20316). The 2014 final rule revised the definition of “line-clearance tree trimming” in § 1910.269(x) to include the pruning, trimming, repairing, maintaining, removing, or clearing of trees, or the cutting of brush, that is within the following distance of electric supply lines and equipment: (1) For voltages to ground of 50 kilovolts or less—3.05 meters (10 feet) and (2) for voltages to ground of more than 50 kilovolts—3.05 meters (10 feet) plus 0.10 meters (4 inches) for every 10 kilovolts over 50 kilovolts. The revision expanded the definition to include work on trees and brush that were farther away from electric power lines and equipment when the voltage was more than 50 kilovolts. The 2014 final rule also revised Note 3 to § 1910.331(c)(1) to reference the definition of “line-clearance tree trimming” in § 1910.269(x) and deleted the corresponding definition from § 1910.399.
After OSHA promulgated the 2014 revisions to § 1910.269, tree care industry representatives raised questions that led the Agency to believe that the industry was unclear about the application of § 1910.269 with respect to certain tree-trimming work. As a result, OSHA examined the relevant regulatory language in the general industry standards on electrical safety-related work practices (subpart S) and on electric power generation, transmission, and distribution work (§ 1910.269). The Agency's review led to two conclusions: (1) Revisions to § 1910.269 are necessary to clarify that certain types of tree trimming meeting the definition of “line-clearance tree trimming” are not covered by that standard; and (2) revisions to § 1910.331 (in subpart S) are necessary to clarify that the electrical safety-related work practices in §§ 1910.331 through 1910.335 apply to tree-trimming work that may meet the definition of “line-clearance tree trimming” when that work is not on or directly associated with electric power generation, transmission, and distribution or other installations listed in § 1910.331(c) and, more generally, to work performed by qualified employees when that work is near, but not on or directly associated with, installations listed in § 1910.331(c).
Furthermore, the current definition of “line-clearance tree trimming” in § 1910.269(x) makes the location of the tree or brush the key determining factor in deciding whether a trimming activity is line-clearance tree trimming. Consequently, any trimming or other maintenance of any tree or brush that is within the specified distances of an electric power line is line-clearance tree trimming, irrespective of the purpose of the activity or the occupation of the worker. Notwithstanding this definition, the only line-clearance tree trimming OSHA intended § 1910.269 to cover is line-clearance tree trimming performed: (1) For the purpose of clearing space around electric power generation, transmission, or distribution lines or equipment and (2) on behalf of an organization that operates, or that controls the operating procedures for, those lines or equipment. For example, a crew trimming trees at a residence or commercial facility for aesthetic purposes would be performing work meeting the current definition of “line-clearance tree trimming” while trimming any tree that is within the specified distance of a power line. Yet, in most cases, OSHA would consider this work to be incidental line-clearance tree trimming
The Agency's economic analyses for the 1994 and 2014 rulemakings reflect that OSHA did not intend to cover incidental line-clearance tree trimming under § 1910.269. The regulatory impact assessment for the 1994 final rule indicated that § 1910.269 “will cover . . .
Thus, OSHA concludes that the language in the existing standards does not accurately convey the Agency's intent with respect to tree-trimming activities that meet the definition of “line-clearance tree trimming,” but that are not directly associated with electric power generation, transmission, or distribution lines or equipment.
Therefore, OSHA concludes that the scope provisions in § 1910.331 do not accurately explain the applicability of the electrical safety-related work practices at §§ 1910.331 through 1910.335 to qualified persons performing work near, but not on or directly associated with, the installations listed in § 1910.331(c)(1) through (c)(4), including electric power generation, transmission, and distribution installations.
To clarify what work is covered by the general industry standards on electric power generation, transmission, and distribution work and on electrical safety-related work practices, OSHA is taking the following actions:
1. Expressly limiting the scope of § 1910.269 as it relates to line-clearance tree trimming by revising § 1910.269(a)(1)(i)(E) to state explicitly that the standard applies to line-clearance tree trimming only to the extent it is performed for the purpose of clearing space around electric power generation, transmission, or distribution lines or equipment and on behalf of an organization that operates, or that controls the operating procedures for, those lines or equipment.
2. Adding a note to the definition of “line-clearance tree trimming” in § 1910.269(x), with corresponding revisions to Note 2 to the definition of “line-clearance tree trimmer,” to explain that: (1) The scope of § 1910.269 limits the application of the standard to line-clearance tree trimming as noted in § 1910.269(a)(1)(i)(E); and (2) tree trimming that is performed on behalf of a homeowner or commercial entity other than an organization that operates, or that controls the operating procedures for, electric power generation, transmission, or distribution lines or equipment, or that is not for the purpose of clearing space around electric power generation, transmission, or distribution lines or equipment, is not directly associated with an electric power generation, transmission, or distribution installation and is not covered by § 1910.269.
3. Revising Appendix A-3 to § 1910.269 to reflect the clarifications in this correcting amendment.
4. Replacing terms such as “line-clearance tree-trimming operations” and “line-clearance tree-trimming work” wherever they appear in § 1910.269 and subpart V of part 1926 with “line-clearance tree trimming” and revising § 1926.950(a)(3) to correspond to the changes to § 1910.269(a)(1)(i)(E), noted earlier.
5. Referencing the scope of § 1910.269 in Note 3 to § 1910.331(c)(1).
6. In § 1910.331(b), adding language clarifying that the electrical safety-related work practices in subpart S cover qualified persons performing work near, but not on or directly associated with, installations listed in § 1910.331(c)(1) through (c)(4).
OSHA is also correcting minor errors in Table R-6 of § 1910.269 and in Table V-5 of subpart V of part 1926. Table R-3 of § 1910.269 and Table V-2 of subpart V, which contain equations for employers to use to establish minimum approach distances from energized parts of electric circuits, set the minimum approach distance for 50 to 300 volts as “avoid contact.” Using the equations in Table R-3 and Table V-2, Table R-6 and Table V-5 provide default minimum approach distances for voltage ranges up to 72.5 kilovolts. The latter two tables erroneously list the first voltage range as 0.50 to 0.300 kilovolts. The correct voltage range is 0.050 to 0.300 kilovolts. In addition, the word “to” is missing between the voltages in the first voltage range in Table V-5. Accordingly, OSHA is correcting Table R-6 and Table V-5 in this document.
OSHA determined that this correcting amendment is not subject to the requirements and procedures for public notice and comment specified in the Administrative Procedure Act (5 U.S.C. 553(b)) and the Occupational Safety and Health Act of 1970 (29 U.S.C. 655). See 29 CFR 1911.5 (
David Michaels, Ph.D., MPH, Assistant Secretary of Labor for Occupational Safety and Health, U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC 20210, authorized the preparation of this document.
This action is taken pursuant to sections 3704
The Occupational Safety and Health Administration amends parts 1910 and 1926 of title 29 of the Code of Federal Regulations as follows:
29 U.S.C. 653, 655, 657; Secretary of Labor's Order No. 12-71 (36 FR 8754), 8-76 (41 FR 25059), 9-83 (48 FR 35736), 1-90 (55 FR 9033), 6-96 (62 FR 111), 5-2007 (72 FR 31159), 4-2010 (75 FR 55355), or 1-2012 (77 FR 3912), as applicable; and 29 CFR part 1911.
The revisions and addition read as follows:
(a) * * *
(1) * * *
(i) * * *
(E) Line-clearance tree trimming performed for the purpose of clearing space around electric power generation, transmission, or distribution lines or equipment and on behalf of an organization that operates, or that controls the operating procedures for, those lines or equipment, as follows:
(
(
(r)
(x) * * *
A line-clearance tree trimmer is not considered to be a “qualified employee” under this section unless he or she has the training required for a qualified employee under paragraph (a)(2)(ii) of this section. However, under the electrical safety-related work practices standard in Subpart S of this part, a line-clearance tree trimmer is considered to be a “qualified employee.” Tree trimming performed by such “qualified employees” is not subject to the electrical safety-related work practice requirements contained in §§ 1910.331 through 1910.335 when it is directly associated with electric power generation, transmission, or distribution lines or equipment. (See § 1910.331 for requirements on the applicability of the electrical safety-related work practice requirements contained in §§ 1910.331 through 1910.335 to line-clearance tree trimming performed by such “qualified employees,” and see the note following § 1910.332(b)(3) for information regarding the training an employee must have to be considered a qualified employee under §§ 1910.331 through 1910.335.)
This section applies only to line-clearance tree trimming performed for the purpose of clearing space around electric power generation, transmission, or distribution lines or equipment and on behalf of an organization that operates, or that controls the operating procedures for, those lines or equipment. See paragraph (a)(1) of this section. Tree trimming performed on behalf of a homeowner or commercial entity other than an organization that operates, or that controls the operating procedures for, electric power generation, transmission, or distribution lines or equipment is not directly associated with an electric power generation, transmission, or distribution installation and is outside the scope of this section. In addition, tree trimming that is not for the purpose of clearing space around electric power generation, transmission, or distribution lines or equipment is not directly associated with an electric power generation, transmission, or distribution installation and is outside the scope of this section. Such tree trimming may be covered by other applicable standards. See, for example, §§ 1910.268 and 1910.331 through 1910.335.
29 U.S.C. 653, 655, 657; Secretary of Labor's Order No. 8-76 (41 FR 25059), 1-90 (55 FR 9033), 5-2002 (67 FR 65008), 5-2007 (72 FR 31160), or 1-2012 (77 FR 3912), as applicable; and 29 CFR part 1911.
(b)
(1) Work performed by unqualified persons on, near, or with the installations listed in paragraphs (c)(1) through (4) of this section; and
(2) Work performed by qualified persons near the installations listed in paragraphs (c)(1) through (c)(4) of this section when that work is not on or directly associated with those installations.
(c) * * *
(1) * * *
Work on or directly associated with generation, transmission, or distribution installations includes:
(1) Work performed directly on such installations, such as repairing overhead or underground distribution lines or repairing a feed-water pump for the boiler in a generating plant.
(2) Work directly associated with such installations, such as line-clearance tree trimming and replacing utility poles, when that work is covered by § 1910.269 (see § 1910.269(a)(1)(i)(D) and (E) and the definition of “line-clearance tree trimming” in § 1910.269(x)).
(3) Work on electric utilization circuits in a generating plant provided that:
(A) Such circuits are commingled with installations of power generation equipment or circuits, and
(B) The generation equipment or circuits present greater electrical hazards than those posed by the utilization equipment or circuits (such as exposure to higher voltages or lack of overcurrent protection).
This work is covered by § 1910.269.
40 U.S.C. 3701
(a) * * *
(3)
(ii) Work involving electric power generation installations shall comply with § 1910.269 of this chapter.
Environmental Protection Agency (EPA).
Direct final rule.
The Environmental Protection Agency (EPA) is taking direct final action to approve revisions to the Antelope Valley Air Quality Management District (AVAQMD) portion of the California State Implementation Plan (SIP). These revisions largely concern volatile organic compound (VOC) emissions from graphic arts facilities and aerospace assembly and coating operations. We are approving local rules that regulate these emission sources under the Clean Air Act (CAA or the Act). These revisions also address rescission of two rules no longer required, and administrative revisions to the emergency episode plan requirements.
This rule is effective on December 4, 2015 without further notice, unless the EPA receives adverse comments by November 4, 2015. If we receive such comments, we will publish a timely withdrawal in the
Submit comments, identified by docket number [EPA-R09-OAR-2015-0510, by one of the following methods:
1.
2.
3.
Vanessa Graham, EPA Region IX, (415) 947-4120
Throughout this document, “we,” “us,” and “our” refer to the EPA.
Table 1 lists the rules addressed by this action with the dates that they were amended or rescinded by AVAQMD and submitted by the California Air Resources Board (CARB). Table 2 provides
On June 18, 2014, the EPA determined that the submittal for AVAQMD Rules 1110, 1124, 1128 and 1130 met the completeness criteria in 40 CFR part 51 Appendix V, which must be met before formal EPA review. On December 18, 2014, the EPA determined that the submittal for AVAQMD Rule 701 met the completeness criteria as well.
We approved earlier versions of Rules 701, 1124, 1130, 1110 and 1128 into the SIP on March 7, 2003 (68 FR 10966), May 6, 1996 (61 FR 20136), October 31, 1995 (60 FR 55312), May 3, 1984 (49 FR 18822) and December 20, 1993 (58 FR 66286) respectively.
VOCs help produce ground-level ozone and smog that can harm human health and the environment. Section 110(a) of the CAA requires States to submit regulations that control VOC emissions.
Rule 701 is intended to fulfill requirements for emergency episode plans described in CAA sections 110(a)(1) and (a)(2). The proposed amendments to Rule 701 are mainly administrative in nature. In addition, the episode criteria for PM was adjusted.
AVAQMD rescinded Rule 1110 because the demonstration program adopted from the South Coast Air Quality Management District (SCAQMD) prior to the formation of the AVAQMD is no longer in use. The EPA previously approved SCAQMD's rescission of Rule 1110 from the SCAQMD portion of the SIP on July 14, 2014 (79 FR 40675). We are now similarly rescinding the rule from the AVAQMD portion of the SIP. We are also amending the language at 40 CFR part 52 Subpart F to clarify that our earlier approval applied only to the SCAQMD portion of the SIP.
Rule 1124 limits VOC emissions from aerospace primers, coatings, adhesives, maskants and lubricants and from cleaning, stripping, storage and disposal of organic solvents and waste materials associated with the use of the above mentioned aerospace material categories.
AVAQMD rescinded Rule 1128 and incorporated all substantive requirements of this Rule into the amended version of AVAQMD Rule 1130, which we are approving in this action. The rescission of the AVAQMD portion of SCAQMD Rule 1128 shall have no effect on SCAQMD Rule 1128 currently approved in the South Coast portion of the SIP.
Rule 1130 limits VOC emissions from graphic arts processes, largely by establishing work practice requirements and limiting the amount of VOC in graphic arts coatings, inks and solvents. The amendments to Rule 1130 were submitted to satisfy Reasonably Available Control Technology (RACT) requirements under CAA sections 172(c)(1) and 182(b).
The EPA's technical support documents (TSD) have more information about these rules.
SIP rules must be enforceable (see CAA section 110(a)(2)), must not interfere with applicable requirements concerning attainment and reasonable further progress or other CAA requirements (see CAA section 110(l)), and must not modify certain SIP control requirements in nonattainment areas without ensuring equivalent or greater emissions reductions (see CAA section 193).
AVAQMD regulates an ozone nonattainment area classified as severe under both the 1997 and 2008 eight-hour ozone NAAQS. 40 CFR 81.305. CAA section 172(c)(1) requires nonattainment areas to implement all reasonably available control measures (RACM), including such reductions in emissions from existing sources in the area as may be obtained through the adoption, at a minimum, of RACT, as expeditiously as practicable. Additional control measures for graphic arts processes may be required pursuant to CAA section 172(c)(1) if both: (1) Additional measures are reasonably available; and (2) these additional reasonably available measures will advance attainment of one or more ozone standards in the area or contribute to reasonable further progress (RFP) when considered collectively (see 80 FR 12264, 12282). In addition, SIP rules must require RACT for each category of sources covered by a Control Techniques Guidelines (CTG) document as well as each VOC major source in ozone nonattainment areas classified as moderate or above (see CAA section 182(b)(2)). Since Rules 1124 and 1130 regulate sources subject to a CTG in a severe nonattainment area, they must implement RACT. RACT is not required of Rules 701, 1110 and 1128 as discussed in the TSDs.
Guidance and policy documents that we use to evaluate enforceability, revision/relaxation and rule stringency requirements for the applicable criteria pollutants include the following:
1. “Issues Relating to VOC Regulation Cutpoints, Deficiencies, and Deviations” (“the Bluebook,” U.S. EPA, May 25, 1988; revised January 11, 1990).
2. “Guidance Document for Correcting Common VOC & Other Rule Deficiencies” (“the Little Bluebook”, EPA Region 9, August 21, 2001).
3. “Control Techniques Guidelines (CTG) for Offset Lithographic Printing and Letterpress Printing”, September 2006 (EPA 453/R-06-002).
4. “Control Techniques Guidelines (CTG) for Flexible Package Printing”, September 2006 (EPA 453/R-06-003).
5. “Control Techniques Guidelines (CTG) for Paper, Film, and Foil Coatings”, September 2007 (EPA 453/R-07-003).
6. “Guidance on Infrastructure State Implementation Plan (SIP) Elements under Clean Air Act Sections 110(a)(1) and 110(a)(2); USEPA Memorandum dated September 13, 2013.
7. 40 CFR part 51, subpart H—Prevention of Air Pollution Emergency Episodes.
We believe these rules are consistent with the relevant policy and guidance regarding enforceability, RACT, and SIP relaxations. The TSDs have more information on our evaluation.
The TSDs describe additional rule revisions that we recommend for the next time the local agency modifies Rules 701, 1124 and 1130, but are not currently the basis for rule disapproval.
As authorized in section 110(k)(3) of the Act, the EPA is fully approving the submitted Rules 701, 1124 and 1130 because we believe they fulfill all relevant requirements. We are also approving rescission of Rules 1110 and 1128. We do not think anyone will object to this approval, so we are finalizing it without proposing it in advance. However, in the Proposed Rules section of this
Please note that if the EPA receives adverse comment on an amendment, paragraph, or section of this rule and if that provision may be severed from the remainder of the rule, the EPA may adopt as final those provisions of the rule that are not the subject of an adverse comment.
In this rule, the EPA is finalizing regulatory text that includes incorporation by reference. In accordance with requirements of 1 CFR 51.5, the EPA is finalizing the incorporation by reference of the AVAQMD rules described in the amendments to 40 CFR part 52 set forth below. The EPA has made, and will continue to make, these documents available electronically through
Under the Clean Air Act, the Administrator is required to approve a SIP submission that complies with the provisions of the Act and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, the EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. Accordingly, this action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this action:
• Is not a significant regulatory action subject to review by the Office of Management and Budget under Executive Orders 12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
• does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
• is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
• does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);
• does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);
• is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);
• is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);
• is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the Clean Air Act; and
• does not provide the EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
In addition, the SIP is not approved to apply on any Indian reservation land or in any other area where the EPA or an Indian tribe has demonstrated that a tribe has jurisdiction. In those areas of Indian country, the rule does not have tribal implications and will not impose substantial direct costs on tribal governments or preempt tribal law as specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the Clean Air Act, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by December 4, 2015. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. Parties with objections to this direct final rule are encouraged to file a comment in response to the parallel notice of proposed rulemaking for this action published in the Proposed Rules section of this
Environmental protection, Air pollution control, Incorporation by reference, Intergovernmental relations, Reporting and recordkeeping requirements, Volatile organic compounds.
Part 52, chapter I, title 40 of the Code of Federal Regulations is amended as follows:
42 U.S.C. 7401
The revision and additions read as follows:
(c) * * *
(121) * * *
(i) * * *
(E) Previously approved on May 3, 1984 in paragraph (c)(121)(i)(C) of this section and now deleted without replacement for implementation in the South Coast Air Quality Management District, Rule 1110.
(F) Previously approved on May 3, 1984 in paragraph (c)(121)(i)(C) of this section and now deleted without replacement for implementation in the Antelope Valley Air Quality Management District, Rule 1110.
(189) * * *
(i) * * *
(A) * * *
(
(441) * * *
(i) * * *
(E) Antelope Valley Air Quality Management District.
(
(
(457) * * *
(i) * * *
(F) Antelope Valley Air Quality Management District.
(
Environmental Protection Agency (EPA).
Direct final rule.
Under the Clean Air Act (CAA), the Environmental Protection Agency (EPA) is approving a state submission as a revision to the Illinois State Implementation Plan (SIP). The revision amends the Illinois Administrative Code (IAC) by updating the definition of volatile organic material (VOM), otherwise known as volatile organic compounds (VOC), to exclude 2,3,3,3-tetrafluoropropene. This revision is in response to an EPA rulemaking in 2013 which exempted this compound from the Federal definition of VOC on the basis that the compound makes a negligible contribution to tropospheric ozone formation.
This direct final rule will be effective December 4, 2015, unless EPA receives adverse comments by November 4, 2015. If adverse comments are received, EPA will publish a timely withdrawal of the direct final rule in the
Submit your comments, identified by Docket ID No. EPA-R05-OAR-2015-0008, by one of the following methods:
1.
2.
3.
4.
5.
Anthony Maietta, Environmental Protection Specialist, Control Strategies Section, Air Programs Branch (AR-18J), Environmental Protection Agency, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604, (312) 353-8777,
Throughout this document whenever “we,” “us,” or “our” is used, we mean EPA. This supplementary information section is arranged as follows:
The Illinois EPA (IEPA) submitted a revision to the Illinois SIP to EPA for approval on December 18, 2014. The SIP revision updates the definition of VOM or VOC at 35 IAC Part 211, Subpart B, Section 211.7150(a).
The Illinois Pollution Control Board (IPCB) held a public hearing on the proposed SIP revision on May 7, 2014. IPCB did not receive any public comments. IPCB adopted the amendment to 35 IAC 211.7150(a) on June 5, 2014. IPCB also adopted minor administrative changes such as alphabetization of compound names, addition of the refrigerant industry designation “HFO-1234yf” in parenthesis after the chemical name, and replacing the word “above” with “of this Section” in 35 IAC 211.7150(d) for ease of cross-referencing within a section of the regulations.
In 2009, EPA received a petition requesting that 2,3,3,3-tetrafluoropropene be exempted from VOC control based on its low reactivity to ethane. Based on the mass maximum incremental reactivity value for the compound being equal to or less than that of ethane, EPA concluded that this compound makes negligible contributions to tropospheric ozone formation (76 FR 64059, October 17, 2011).
Therefore on October 22, 2013 (78 FR 62451), EPA amended 40 CFR 51.100(s)(1) to exclude this chemical compound from the definition of VOC for purposes of preparing SIPs to attain the national ambient air quality standard for ozone under title I of the CAA (78 FR 9823). EPA's action became effective on November 1, 2013. IEPA's SIP revision is consistent with EPA's action amending the definition of VOC at 40 CFR 51.100(s).
EPA is approving into the Illinois SIP revisions to 35 IAC 211 contained in the December 18, 2014, submittal. We are publishing this action without prior proposal because we view this as a noncontroversial amendment and anticipate no adverse comments. However, in the proposed rules section of this
In this rule, the EPA is finalizing regulatory text that includes incorporation by reference. In accordance with requirements of 1 CFR 51.5, the EPA is finalizing the incorporation by reference of the Illinois Regulations described in the amendments to 40 CFR part 52 set forth below. EPA has made, and will continue to make, these documents generally available electronically through
Under the CAA, the Administrator is required to approve a SIP submission that complies with the provisions of the CAA and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the CAA. Accordingly, this action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this action:
• Is not a significant regulatory action subject to review by the Office of Management and Budget under Executive Orders 12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
• Does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
• Is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
• Does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);
• Does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);
• Is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);
• Is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);
• Is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the Clean Air Act; and
• Does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
In addition, the SIP is not approved to apply on any Indian reservation land or in any other area where EPA or an Indian tribe has demonstrated that a tribe has jurisdiction. In those areas of Indian country, the rule does not have tribal implications and will not impose
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the CAA, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by December 4, 2015. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. Parties with objections to this direct final rule are encouraged to file a comment in response to the parallel notice of proposed rulemaking for this action published in the proposed rules section of today's
Environmental protection, Air pollution control, Incorporation by reference, Intergovernmental relations, Reporting and recordkeeping requirements, Volatile organic compounds.
40 CFR part 52 is amended as follows:
42 U.S.C. 7401
(c) * * *
(206) On December 18, 2014, the state submitted a proposed revision to the Illinois SIP updating the definition of Volatile Organic Material (VOM) or Volatile Organic Compound (VOC) to exclude the chemical compound 2,3,3,3-tetrafluoropropene (HFO-1234yf), along with minor administrative revisions.
(i)
Environmental Protection Agency (EPA).
Final rule.
The Environmental Protection Agency (EPA) is taking final action to approve portions of the March 6, 2012, State Implementation Plan (SIP) submission, provided by the State of Georgia, through the Georgia Department of Natural Resources' Environmental Protection Division (EPD) for inclusion into the Georgia SIP. This final submission pertains to the Clean Air Act (CAA or the Act) infrastructure requirements for the 2008 Lead national ambient air quality standards (NAAQS). The CAA requires that each state adopt and submit a SIP for the implementation, maintenance, and enforcement of each NAAQS promulgated by EPA, which is commonly referred to as an “infrastructure” SIP. EPD certified that the Georgia SIP contains provisions that ensure the 2008 Lead NAAQS is implemented, enforced, and maintained in Georgia. With the exception of provisions pertaining to prevention of significant deterioration (PSD) permitting which EPA has already approved, EPA is taking final action to approve Georgia's infrastructure submission, provided to EPA on March 6, 2012, as satisfying the required infrastructure elements for the 2008 Lead NAAQS.
This rule will be effective November 4, 2015.
EPA has established a docket for this action under Docket Identification No. EPA-R04-OAR-2014-0442. All documents in the docket are listed on the
Zuri Farngalo, Air Regulatory Management Section, Air Planning and Implementation Branch, Air, Pesticides and Toxics Management Division, U.S. Environmental Protection Agency, Region 4, 61 Forsyth Street SW., Atlanta, Georgia 30303-8960. Mr. Farngalo can be reached by phone at (404) 562-9152 or via electronic mail at
Upon promulgation of a new or revised NAAQS, sections 110(a)(1) and
On July 24, 2015, EPA proposed to approve portions of Georgia's March 6, 2012, 2008 Lead NAAQS infrastructure SIP submission with the exception of provisions pertaining to PSD permitting in sections 110(a)(2)(C), prong 3 of D(i) and (J). EPA did not receive any comments, adverse or otherwise, on the July 24, 2015, proposed rule. EPA took final action to approve the PSD permitting requirements in sections 110(a)(2)(C), prong 3 of D(i) and (J) on March 18, 2015 (80 FR 14019).
With the exception of provisions pertaining to PSD permitting requirements described above, EPA is taking final action to approve Georgia's March 6, 2012, infrastructure submission because it addresses the CAA 110(a)(1) and (2) infrastructure SIP requirements to ensure that the 2008 Lead NAAQS is implemented, enforced, and maintained in Georgia.
Under the CAA, the Administrator is required to approve a SIP submission that complies with the provisions of the Act and applicable Federal regulations.
• Is not a significant regulatory action subject to review by the Office of Management and Budget under Executive Orders 12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
• does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
• is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
• does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);
• does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);
• is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);
• is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);
• is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the Clean Air Act; and
• does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
In addition, the SIP is not approved to apply on any Indian reservation land or in any other area where EPA or an Indian tribe has demonstrated that a tribe has jurisdiction. In those areas of Indian country, the rule does not have tribal implications and will not impose substantial direct costs on tribal governments or preempt tribal law as specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the CAA, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by December 4, 2015. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. This action may not be challenged later in proceedings to enforce its requirements.
Environmental protection, Air pollution control, Incorporation by reference, Intergovernmental relations, Lead, Reporting and recordkeeping requirements, Volatile organic compounds.
40 CFR part 52 is amended as follows:
42 U.S.C. 7401
(e) * * *
Environmental Protection Agency (EPA).
Direct final rule.
The Environmental Protection Agency (EPA) is taking direct final action to approve a revision to the Feather River Air Quality Management District (FRAQMD) portion of the California State Implementation Plan (SIP). This revision concerns a permitting rule that regulates construction and modification of stationary sources of air pollution. These revisions correct deficiencies in FRAQMD Rule 10.1, New Source Review, previously identified by EPA in a final rule dated September 24, 2013. We are approving revisions that correct the identified deficiencies.
This rule is effective on December 4, 2015 without further notice, unless EPA receives adverse comments by November 4, 2015. If we receive such comments, we will publish a timely withdrawal in the
Submit comments, identified by docket number EPA-R09-OAR-2015-0542, by one of the following methods:
1.
2.
3.
Lornette Harvey, EPA Region IX, (415) 972-3498,
Throughout this document, “we,” “us” and “our” refer to EPA.
Table 1 lists the rule we are approving with the date it was adopted by the local air agency and submitted to EPA by the California Air Resources Board (CARB).
On December 18, 2014, EPA determined that the submittal for FRAQMD Rule 10.1 met the completeness criteria in 40 CFR part 51, appendix V, including evidence of public adoption of this regulation, which must be met before formal EPA review.
EPA approved a previous version of Rule 10.1, into the SIP on September 24, 2013 (78 FR 58460).
Section 110(a)(2) of the CAA requires that each SIP include, among other things, a preconstruction permit program to provide for regulation of the construction and modification of stationary sources within the areas covered by the plan as necessary to assure that the National Ambient Air Quality Standards (NAAQS) are achieved, including a permit program as required in parts C and D of title I of the CAA. For areas designated as nonattainment for one or more NAAQS, the SIP must include preconstruction permit requirements for new or modified major stationary sources of such nonattainment pollutant(s), commonly referred to as “Nonattainment New Source Review” or “NNSR.” CAA 172(c)(5).
The jurisdiction of the FRAQMD consists of two counties, Yuba and Sutter, and contains two nonattainment areas. See 40 CFR 81.305. The first nonattainment area is the “Sutter Buttes” area, which consists of the area located in the District which is above 2000 feet of elevation. This area is designated nonattainment for the 2008 ozone NAAQS.
The second nonattainment area is the south “Sutter” area, which is part of the Sacramento Metro Nonattainment Area. This area is also designated nonattainment for the 2008 ozone NAAQS.
Since the District adopted the latest revisions to Rule 10.1, the “Yuba City-Marysville” area, which consists of all of Sutter County and a portion of Yuba County, has been redesignated as attainment for the 2006 PM
Because of the nonattainment areas located in the FRAQMD, the District is required under part D of title I of the Act to adopt and implement a SIP-approved NNSR program for the nonattainment portions of Yuba and Sutter Counties that applies, at a minimum, to new or modified major stationary sources of the following pollutants: Volatile organic compounds (VOCs), and nitrogen oxides (NO
Rule 10.1, New Source Review, implements the NNSR requirements under part D of title I of the CAA for new or modified major stationary sources of nonattainment pollutants. FRAQMD amended and submitted Rule 10.1 to correct minor program deficiencies identified by EPA on September 24, 2013 (78 FR 58460).
EPA has reviewed the submitted permitting rule for compliance with the CAA's general requirements for SIPs in CAA section 110(a)(2), EPA's regulations for nonattainment stationary source permit programs in 40 CFR 51.165, and the CAA requirements for SIP revisions in CAA section 110(l).
Our September 24, 2013 action identified two deficiencies in Rule 10.1. First, Sections B.4 and B.5 contained language that was too broad because it exempted certain pollutants from all the requirements in Section E, if EPA redesignated the area from nonattainment to attainment, instead of only exempting those pollutants from the requirements for major sources. Second, the definition of “NSR Regulated Pollutant” did not specify that the term included gaseous emissions which condense to form either PM
The first deficiency was corrected by narrowing the language contained in Sections B.4 and B.5 to only exempt a source from the requirements of Sections E.1.b, E.2.a.2, E.5, E.7 and E.8, which apply to major sources emitting nonattainment pollutants, if EPA re-designates any of the nonattainment portions of the District to attainment for PM
The second deficiency was corrected by adding a second sentence to both Sections D.34 and D.35, which reads as follows: “Gaseous emissions which condense to form particulate matter at ambient temperatures shall be included.” Adding this sentence to each section clarifies that condensable gases emissions, which condense to form either PM
With respect to procedures, CAA sections 110(a) and 110(l) require that revisions to a SIP be adopted by the State after reasonable notice and public hearing. EPA has promulgated specific procedural requirements for SIP revisions in 40 CFR part 51, subpart F. These requirements include publication of notices, by prominent advertisement in the relevant geographic area, a public comment period of at least 30 days, and an opportunity for a public hearing.
Based on our review of the public process documentation included in CARB's November 6, 2014 submittal, we find that the State has provided sufficient evidence of public notice and opportunity for comment and public hearing prior to adoption and submittal of this rule to EPA.
With respect to substantive requirements, EPA has reviewed the submitted rule in accordance with the CAA and regulatory requirements that apply to NNSR permit programs under part D of title I of the Act. Based on our evaluation of this rule, as summarized in the Public Comment and Final Action section of this notice, we find that the rule meets the CAA and regulatory requirements for NNSR permit programs in part D of title I of the Act and EPA's NNSR implementing regulations in 40 CFR 51.165 for new or modified major stationary sources proposing to locate within the District. Final approval of Rule 10.1 would correct all deficiencies in FRAQMD's permit program identified in our September 24, 2013 final rule. 78 FR 58460.
As authorized in section 110(k)(3) of the Act, EPA is fully approving the submitted rule because we believe it fulfills all relevant requirements. We do not think anyone will object to this approval, so we are finalizing it without proposing it in advance. However, in the Proposed Rules section of this
Please note that if EPA receives adverse comment on an amendment, paragraph, or section of this rule and if that provision may be severed from the remainder of the rule, EPA may adopt as final those provisions of the rule that are not the subject of an adverse comment.
In this rule, the EPA is finalizing regulatory text that includes incorporation by reference. In accordance with requirements of 1 CFR 51.5, the EPA is incorporating by reference the FRAQMD Rule 10.1, as discussed in section I.A of this preamble. The EPA has made, and will
Under the Clean Air Act, the Administrator is required to approve a SIP submission that complies with the provisions of the Act and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. Accordingly, this action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this action:
• Is not a significant regulatory action subject to review by the Office of Management and Budget under Executive Orders 12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
• does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
• is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
• does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);
• does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);
• is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);
• is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);
• is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the Clean Air Act; and
• does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
In addition, the SIP is not approved to apply on any Indian reservation land or in any other area where EPA or an Indian tribe has demonstrated that a tribe has jurisdiction. In those areas of Indian country, the rule does not have tribal implications and will not impose substantial direct costs on tribal governments or preempt tribal law as specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the Clean Air Act, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by December 4, 2015. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. This action may not be challenged later in proceedings to enforce its requirements (see section 307(b)(2)).
Environmental protection, Air pollution control, Incorporation by reference, Intergovernmental relations, Nitrogen dioxide, Ozone, Particulate matter, Reporting and recordkeeping requirements, Volatile organic compounds.
42 U.S.C. 7401
Part 52, Chapter I, Title 40 of the Code of Federal Regulations is amended as follows:
42 U.S.C. 7401
(c) * * *
(457) * * *
(i) * * *
(A) * * *
(
Environmental Protection Agency (EPA).
Final rule.
The Environmental Protection Agency (EPA) is taking final action to approve, as a revision to the California State Implementation Plan (SIP), California's request to redesignate the Mammoth Lakes nonattainment area to attainment for the 1987 National Ambient Air Quality Standard (NAAQS) for particulate matter of ten microns or less (PM
This rule will be effective on November 4, 2015.
EPA has established docket number EPA-R09-OAR-2015-0279 for this action. Generally, documents in the
Jerry Wamsley, EPA Region IX, (415) 947-4111,
Throughout this document, “we,” “us” and “our” refer to EPA.
On July 30, 2015, EPA proposed to approve the Mammoth Lakes PM
First, under CAA section 107(d)(3)(D), EPA proposed to approve the State's request to redesignate the Mammoth Lakes PM
Second, under section 110(k)(3) of the CAA, EPA proposed to approve as a revision to the SIP, the maintenance plan developed by the Great Basin Unified Air Pollution Control District (GBUAPCD) entitled “2014 Update Air Quality Maintenance Plan and Redesignation Request for the Town of Mammoth Lakes” (herein and in our proposal referred to as the Mammoth Lakes PM
Third, EPA proposed to approve the motor vehicle emission budgets (budgets) in the Mammoth Lakes PM
EPA's proposed rule provided a 30-day comment period. During this comment period we received no comments on our proposal.
To conclude, based on our review of the Mammoth Lakes PM
First, under CAA section 107(d)(3)(D), we are approving the State's request, which accompanied the submittal of the Mammoth Lakes PM
Second, under section 110(k)(3) of the CAA, EPA is approving the Mammoth Lakes PM
Last, we find that the Mammoth Lakes PM
Under the Clean Air Act, the Administrator is required to approve a SIP submission that complies with the provisions of the Act and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. Accordingly, this action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this action:
• Is not a significant regulatory action subject to review by the Office of Management and Budget under Executive Orders 12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011);
• does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
• is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
• does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);
• does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);
• is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);
• is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);
• is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the Clean Air Act; and,
• does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
In addition, the State plan that EPA is approving today does not apply on any Indian reservation land or in any other area where EPA or an Indian tribe has demonstrated that a tribe has jurisdiction. In those areas of Indian country, this rule, as it relates to the maintenance plan, does not have tribal implications and will not impose substantial direct costs on tribal governments or preempt tribal law as specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
The Congressional Review Act, 5 U.S.C. 801
Under section 307(b)(1) of the Clean Air Act, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by December 4, 2015. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. This action may not be challenged later in proceedings to enforce its requirements (see section 307(b)(2)).
Environmental protection, Air pollution control, Incorporation by reference, Intergovernmental relations, Particulate matter, Reporting and recordkeeping requirements.
Environmental protection, Air pollution control, National parks, Wilderness areas.
42 U.S.C. 7401
Chapter I, title 40 of the Code of Federal Regulations is amended as follows:
42 U.S.C. 7401
(c) * * *
(461) [Reserved]
(462) The following plan was submitted on October 21, 2014, by the Governor's designee.
(i) [Reserved]
(ii) Additional Materials.
(A) Great Basin Unified Air Pollution Control District (GBUAPCD).
(
(
(B) State of California Air Resources Board (CARB).
(
42 U.S.C. 7401,
Environmental Protection Agency (EPA).
Direct final rule.
The Environmental Protection Agency (EPA) is taking direct final action to revise delisting levels for the hazardous waste exclusion granted to John Deere Des Moines Works (John Deere) of Deere & Company, in Ankeny, Iowa to exclude or “delist” up to 600 tons per calendar year of F006/F019 wastewater treatment sludge. The wastewater treatment sludge is a filter cake generated by John Deere's Ankeny, Iowa, facility wastewater treatment system was conditionally excluded from the list of hazardous wastes on November 25, 2014. This direct final rule responds to a request submitted by John Deere to increase certain delisting levels and eliminate certain delisting levels for the excluded waste. After careful analysis and use of the Delisting Risk Assessment Software (DRAS), EPA has concluded the request may be granted.
This direct final rule is effective on December 4, 2015, without further notice, unless EPA receives adverse comment by November 4, 2015. If EPA receives adverse comment, we will publish a timely withdrawal in the
EPA has established a docket for this action under Docket ID No. EPA-R07-RCRA-2014-0452. All documents in the docket are listed on the
Kenneth Herstowski, Waste Remediation and Permits Branch, Air and Waste Management Division, EPA Region 7, 11201 Renner Boulevard, Lenexa, KS 66219; telephone number (913) 551-7631; email address:
The information in this section is organized as follows:
The EPA is publishing this rule without a prior proposed rule because we view this as a non-controversial amendment and anticipate no adverse comment. This action narrowly changes the delisting levels for the F006/F019 wastewater treatment sludge generated at the John Deere Des Moines facility in Ankeny, Iowa. If the EPA receives adverse comment, we will publish a timely withdrawal in the
This action only applies to the F006/F019 wastewater treatment sludge generated at the John Deere Des Moines facility in Ankeny, Iowa.
A delisting petition is a request from a generator to EPA or to an authorized state to exclude or delist, from the RCRA list of hazardous wastes, waste the generator believes should not be considered hazardous under RCRA.
After evaluating the delisting petition submitted by John Deere, EPA proposed, on August 20, 2014 (79 FR 49252), to exclude the waste from the lists of hazardous waste under § 261.31. EPA issued a final rule on November 25, 2014 (79 FR 70108) granting John Deere's delisting petition to have up to 600 tons per year of the F006/F019 wastewater treatment sludge generated
John Deere requests removal of Table 1 item 1(C)—the requirement to conduct analysis of verification samples using EPA SW-846 Method 1313 Extraction at pH 2.88, 7 and 13 and the requirement not to exceed hexavalent chromium level in the resulting [Method 1313] extracts.
John Deere requests increases in delisting levels in Table 1 item 1(D) as follows: Cadmium to 25.5 milligrams per kilogram (mg/kg), chromium (total) to 51,000 mg/kg, chromium (hexavalent) to 41 mg/kg, copper to 2877 mg/kg, nickel to 3030 mg/kg, zinc to 10,170, cyanide (total) to 9 mg/kg, and oil and grease to 64,500 mg/kg.
John Deere requests the removal of delisting levels in Table 1 item 1(D) for antimony, arsenic, barium, beryllium, cobalt, lead, mercury, selenium, silver, thallium, tin, vanadium, acetone, and methyl ethyl ketone.
To support the request, John Deere submitted analytical data from verification testing events conducted since the exclusion was finalized. John Deere generated the sampling data under a Sampling Plan and Quality Assurance Project Plan (June 2012 Revision).
EPA evaluated the proposed increases in the delisting levels against the listing criteria and factors cited in § 261.11(a)(2) and (a)(3). EPA evaluated the proposed increases in the delisting levels with respect to other factors or criteria to assess whether there is a reasonable basis to believe that such additional factors could cause the wastes to be hazardous. EPA considered whether the waste is acutely toxic, the concentrations of the constituents in the waste, their tendency to migrate and to bioaccumulate, their persistence in the environment once released from the waste, plausible and specific types of management of the petitioned waste, the quantities of waste generated, and waste variability.
For this delisting determination, we assumed that the waste would be disposed in a Subtitle D landfill and we considered transport of waste constituents through groundwater, surface water and air. We evaluated John Deere's petitioned waste using the Agency's Delisting Risk Assessment Software (DRAS) described in 65 FR 58015 (September 27, 2000), 65 FR 75637 (December 4, 2000), and 73 FR 28768 (May 19, 2008) to predict the maximum allowable concentrations of hazardous constituents that may be released from the petitioned waste after disposal and determined the potential impact of the disposal of John Deere's petitioned waste on human health and the environment. To predict the potential for release to groundwater from landfilled wastes and subsequent routes of exposure to a receptor, the DRAS uses dilution attenuation factors derived from EPA's Composite Model for Leachate Migration and Transformation Products (EPACMTP). From a release to groundwater, the DRAS considers routes of exposure to a human receptor of ingestion of contaminated groundwater, inhalation from groundwater while showering and dermal contact from groundwater while bathing.
From a release to surface water by erosion of waste from an open landfill into storm water run-off, DRAS evaluates the exposure to a human receptor by fish ingestion and ingestion of drinking water. From a release of waste particles and volatile emissions to air from the surface of an open landfill, DRAS considers routes of exposure of inhalation of volatile constituents, inhalation of particles, and air deposition of particles on residential soil and subsequent ingestion of the contaminated soil by a child. The technical support document and the user's guide to DRAS are included in the docket.
At a benchmark cancer risk of one in one hundred thousand (1×10
The maximum allowable total COC concentrations in the Filter Cake as determined by the DRAS are as follows: milligrams per kilogram (mg/kg) Barium—2.85 × 10
The concentrations of all constituents in both the waste and the leachate are below the allowable concentrations. The requested changes in delisting levels are below the allowable concentrations. EPA's decision to grant the requested changes by John Deere is based on the information submitted in support of this direct final rule, and other information in the docket.
EPA is issuing this exclusion under the Federal RCRA delisting program. Thus, upon the exclusion being finalized, the wastes covered will be removed from Subtitle C control under the Federal RCRA program. This will mean, first, that the wastes will be delisted in any State or territory where the EPA is directly administering the RCRA program (
Some other generally authorized states have not received authorization for delisting. Thus, the EPA makes delisting determinations for such states. However, RCRA allows states to impose their own regulatory requirements that are more stringent than EPA's, under Section 3009 of RCRA. These more stringent requirements may include a provision that prohibits a Federally issued exclusion from taking effect in the state, or that requires a state concurrence before the Federal exclusion takes effect, or that allows the state to add conditions to any Federal exclusion. We urge the petitioner to contact the state regulatory authority in each state to or through which it may wish to ship its wastes to establish the status of its wastes under the state's laws.
EPA has also authorized some states to administer a delisting program in place of the Federal program, that is, to make state delisting decisions. In such states, the state delisting requirements
Under Executive Order 12866, “Regulatory Planning and Review” (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21, 2011), this rule is not of general applicability and therefore is not a regulatory action subject to review by the Office of Management and Budget (OMB). This rule does not impose an information collection burden under the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
The Congressional Review Act, 5 U.S.C. 801
EPA has determined that this final rule will not have disproportionately high and adverse human health or environmental effects on minority or low-income populations because it does not affect the level of protection provided to human health or the environment. The Agency's risk assessment did not identify risks from management of this material in a Subtitle D landfill. Therefore, EPA believes that any populations in proximity of the landfills used by this facility should not be adversely affected by common waste management practices for this delisted waste.
Environmental protection, Hazardous waste, Recycling, Reporting and recordkeeping requirements.
Sec. 3001(f) RCRA, 42 U.S.C. 6921(f).
For the reasons set out in the preamble, EPA amends 40 CFR part 261 as follows:
42 U.S.C. 6905, 6912(a), 6921, 6922, 6924(y) and 6938.
Centers for Medicare & Medicaid Services (CMS), HHS.
Final rule and interim final rule with comment period; correction.
This document corrects technical and typographical errors in the final rule and interim final rule with comment period that appeared in the
This document is effective October 1, 2015.
Donald Thompson, (410) 786-4487.
In FR Doc. 2015-19049 which appeared in the August 17, 2015
On page 49412, we made a typographical error with regards to an MS-DRG code. We made inadvertent and technical errors related to the employment cost index (ECI) used in the wage index, the MS-DRG reclassification and recalibration budget neutrality adjustment factor (as discussed in section II.B. of this correcting document), and the MGCRB reclassification status of certain providers (as discussed in section II.B. of this correcting document), each of which resulted in additional conforming corrections. Specifically, on page 49492, we inadvertently miscalculated the estimated percentage change in the ECI for compensation for the 30-day increment after March 14, 2013 and before April 15, 2013 for private industry hospital workers from the Bureau of Labor Statistics' (BLS') “Compensation and Working Conditions.” The ECI is used to adjust a hospital's wage data to calculate the wage index, and is based on the midpoint of a cost reporting period.
On page 49498, we are making conforming changes to the number of hospitals in New Jersey that will be receiving the imputed rural floor and to the FY 2016 rural floor value for Nevada as a result of correcting the ECI error, the technical error in the calculation of the MS-DRG reclassification and recalibration budget neutrality adjustment factor (discussed in section II.B. of this correcting document), and the error in the reclassification status of 50 providers (discussed in section II.B. of this correcting document).
On page 49619, consistent with the conforming corrections to the IPPS outlier fixed-loss cost threshold for FY 2016 discussed in section II.B. of this correcting document, we are making further conforming corrections to the FY 2016 outlier fixed-loss amount for site neutral cases in the context of our discussion regarding LTCH PPS high-cost outliers.
On page 49776, we are correcting the MS-DRG reclassification and
In addition, as discussed in section II.A. of this correcting document, we inadvertently miscalculated the percentage change in the ECI. The correction to the ECI necessitated recalculation of the pre-reclassified unadjusted and occupational-mix adjusted wage indexes and Geographic Adjustment Factors (GAFs) of certain core-based statistical areas (CBSAs). As a result of the corrections to the ECI and the MS-DRG reclassification and recalibration budget neutrality adjustment factor, on page 49776, we recalculated the wage index budget neutrality adjustment and are making conforming changes to the tables on pages 49787 and 49788.
On pages 49776, we recalculated the reclassification hospital budget neutrality adjustment because the reclassification status in the FY 2016 IPPS/LTCH PPS final rule did not properly reflect one of the following for 50 providers:
• Withdrawal or termination of a Medicare Geographic Classification Review Board (MGCRB) reclassification for FY 2016.
• Assignment to the reclassified CBSA approved by the MGCRB or CMS Administrator.
As a result of the MS-DRG reclassification and recalibration budget neutrality adjustment factor error, the ECI error, and reclassification error, we are making conforming technical changes to tables on pages 49787 and 49788. The technical errors discussed previously (the percentage change in the ECI error, MS-DRG reclassification and recalibration budget neutrality adjustment factor error, and reclassification error) directly affected and required the recalculation of the wage index, the recalculation of certain budget neutrality adjustments, and also indirectly resulted in errors to other factors and rates. Specifically, on pages 49777, 49778, 49787, and 49788, we are making conforming corrections to the following:
• The rural floor budget neutrality adjustment.
• The wage index transition budget neutrality adjustment.
• The Rural Community Hospital Demonstration program budget neutrality adjustment.
In addition, as discussed in section II.D. of this correcting document, we are making corrections to the uncompensated care payments. As a result of these errors (the percentage change in the ECI error, MS-DRG reclassification and recalibration budget neutrality adjustment factor error, reclassification error, and uncompensated care error) and conforming corrections, on page 49785, we are making conforming corrections to the calculation of the outlier fixed-loss cost threshold and the national and Puerto Rico-specific outlier budget neutrality factors. We are making further conforming corrections to the tables on pages 49787 and 49788 as a result of these changes, including conforming corrections in the calculation of the national and Puerto Rico specific operating standardized amounts, as a result of the conforming corrections to the operating IPPS budget neutrality factors and outlier threshold described previously.
On pages 49791, 49793, 49794, and 49795, in our discussion of the determination of the Federal hospital inpatient capital related prospective payment rate update, we are making conforming corrections to the national GAF/MS-DRG budget neutrality adjustment factor (due to the errors in our calculation of the GAFs, which are computed from the wage index) and to the outlier threshold, and outlier budget neutrality adjustment factors (as discussed previously).
Also, as a result of these errors, on page 49794, we are making conforming corrections in the table showing the comparison of factors and adjustments for the FY2015 capital Federal rate and FY 2016 capital Federal rate and in the table showing the comparison of factors and adjustments for the proposed FY 2016 capital Federal rate and final FY 2016 capital Federal rate.
On page 49804, in our discussion regarding LTCH PPS high-cost outlier payments for site neutral payment rate cases, we are making conforming corrections in the FY 2016 fixed-loss amount for site neutral cases, due to the conforming correction to the IPPS outlier fixed-loss cost threshold for FY 2016 (as discussed previously).
On page 49808, we are correcting the information on how to access the LTCH PPS tables for the FY 2016 final rule on the CMS Web Site.
On page 49809, we are making conforming corrections to the national and Puerto Rico specific operating standardized amounts and capital standard Federal payment rates in Tables 1A, 1B, 1C, and 1D as a result of the corrections to certain budget neutrality factors and the outlier threshold (as described previously).
On page 49809, we are correcting our estimate of the increase in FY 2016 operating payments and capital payments as a result of the technical errors that led to corrections to certain budget neutrality factors and the outlier threshold (as described previously). On pages 49813 through 49821, 49823, 49828 through 49830, and 49840, in our regulatory impact analyses, we are making conforming corrections in the discussion of the analysis of the changes in operating and capital IPPS payments for FY 2016 and the effects of certain budget neutrality factors as a result of the technical errors (as discussed previously) that lead to conforming corrections to the calculation of the operating and capital IPPS budget neutrality factors, outlier threshold, operating standardized amounts, and capital Federal rates.
On page 49823, in the table titled “Modeled Disproportionate Share Hospital Payments for Estimated FY 2016 DSH Hospitals by Hospital Type: Model DSH $ (In Millions) From FY 2015 To FY 2016” and the accompanying discussion, we made technical and formatting errors in the estimated impacts resulting from inadvertent errors in the calculation of Factor 3 for certain hospitals.
On pages 49829 through 49830, we are making conforming corrections to Table III—Comparison of Total Payments Per Case (FY 2015 Payments Compared to FY 2016 Payments).
On page 49841, we are making conforming corrections to the accounting statements and tables for acute care hospitals that arose from the corrections of errors as described in section II.B. of this correcting document.
We are correcting the errors in the following IPPS tables that are listed on page 49808 of the FY 2016 IPPS/LTCH PPS final rule and are available on the Internet on the CMS Web Site at
Table 2—Final Case-Mix Index and Wage Index Table by CCN, because of the ECI error discussed in section II.A. of this correction document, we are correcting the values in the columns titled FY 2016 Wage Index, Average Hourly Wage FY 2016, and 3-Year Average Hourly Wage (2014, 2015,
As discussed in section II.B. of this correcting document, we are also correcting the reclassification status of 50 providers. Thus, we are correcting the FY 2016 wage index values for these providers to reflect assignment to their geographic CBSAs or reclassified CBSAs, as applicable.
Furthermore, because we are revising the national rural floor budget neutrality adjustment as discussed in section II.B. of this correcting document, the wage index values for numerous providers in Table 2 are corrected as well.
Table 3—Final Wage Index Table by CBSA, by correcting the ECI error, we are making corresponding changes to the wage indexes and GAFs of CBSAs 04, 20, and 12620 listed in Table 3. Specifically, we are correcting the values in the columns titled FY 2016 Average Hourly Wage, 3-Year Average Hourly Wage (2014, 2015, 2016), Wage Index, Reclassified Wage Index, GAF, and Reclassified GAF, for CBSAs 04, 20, and 12620.
Also, by correcting Table 2 to properly indicate the withdrawal, termination, or reclassification status of the 50 providers, we are making corresponding changes to the wage indexes and GAFs listed in Table 3. Specifically, we are correcting the values in the columns titled Wage Index, Reclassified Wage Index, GAF, and Reclassified GAF. Furthermore, because we are revising the national rural floor budget neutrality adjustment as discussed in section II.B. of this correcting document, we are making corrections to the wage index values for numerous CBSAs in Table 3 as well.
Table 5—List of Medicare Severity Diagnosis-Related Groups (MS-DRGs), Relative Weighting Factors, and Geometric and Arithmetic Mean Length of Stay—FY 2016, in the column labeled 'TYPE', to be consistent with previous fiscal years, we are revising the entries labeled 'P' to SURG and the entries labeled 'M' to MED.
Table 10—New Technology Add-On Payment Thresholds for Applications for FY 2017. We are correcting the thresholds in this table as a result of the corrections to the operating standardized amounts discussed in section II.B. of this correcting document.
Table 11—MS-LTC-DRGs, Relative Weights, Geometric Average Length of Stay, Short Stay Outlier (SSO) Threshold, and ”IPPS Comparable Threshold” for LTCH PPS Discharges Occurring from October 1, 2015 through September 30, 2016. We are correcting this table by correcting typographical errors for certain MS-LTC-DRGs in the columns titled “Relative Weight,” “Geometric Average Length of Stay,” “Short-Stay Outlier (SSO) Threshold,” and “IPPS Comparable Threshold.”
Table 12A—LTCH PPS Wage Index for Urban Areas for Discharges Occurring From October 1, 2015 through September 30, 2016. We are correcting this table by correcting the values in the column titled “LTCH PPS Wage Index” as result of the error in the miscalculation percentage change in the ECI, which affected the wage data for CBSA 12620, as discussed in section II.A. of this correcting document.
Table 12B—LTCH PPS Wage Index for Rural Areas for Discharges Occurring From October 1, 2015 through September 30, 2016. We are correcting this table by correcting the values in the column titled “LTCH PPS Wage Index” as result of the technical error in the percentage change in the ECI, which affected the wage data for CBSAs 04 and 20, as discussed in section II.A. of this correcting document.
Table 14—List of Hospitals with Fewer Than 1,600 Medicare Discharges Based on the March 2015 Update of the FY 2014 MedPAR File and Potentially Eligible Hospitals for the FY 2016 Low-Volume Hospital Payment Adjustment (Eligibility for the low-volume hospital payment adjustment is also dependent upon meeting the mileage criteria specified at § 412.101(b)(2)(ii)). We are correcting this table by correcting typographical and technical errors for certain hospitals in the column titled “FY 2016 Low-Volume Payment Adjustment (Percentage Add-on).
Table 18—FY 2016 Medicare DSH Uncompensated Care Payment Factor 3 and Projected DSH Eligibility. For the FY 2016 IPPS/LTCH PPS final rule, we published a list of hospitals that we identified to be subsection (d) hospitals and subsection (d) Puerto Rico hospitals eligible to receive empirically justified Medicare DSH payment adjustments and uncompensated care payments for FY 2016. We also published, in the Supplemental Medicare DSH File located in the FY 2016 IPPS/LTCH PPS final rule data files page at
In addition, we discovered that we had—
• Inadvertently calculated Factor 3 for several providers using Medicaid days from a cost report that was less than a full year when a cost report that was a full year or closer to being a full year was available;
• Erroneously provided Factor 3 values for certain new providers; and
• Calculated a Factor 3 for a hospital that has ceased operations.
We are revising Factor 3 for all hospitals to correct these errors; however, unlike the error in which Medicaid days for certain providers were excluded, the impacts of these three errors (specified in the bulleted list) are too small to change other aspects of the IPPS ratesetting, such as the calculation of the fixed-loss threshold for outlier payments.
We ordinarily publish a notice of proposed rulemaking in the
Section 553(d) of the APA ordinarily requires a 30-day delay in effective date of final rules after the date of their publication in the
We believe that this correcting document does not constitute a rule that would be subject to the APA notice and comment or delayed effective date requirements. This correcting document corrects technical and typographic errors in the preamble, addendum, payment rates, tables, and appendices included or referenced in the FY 2016 IPPS/LTCH PPS final rule but does not make substantive changes to the policies or payment methodologies that were adopted in the final rule. As a result, this correcting document is intended to ensure that the information in the FY 2016 IPPS/LTCH PPS final rule accurately reflects the policies adopted in that final rule.
In addition, even if this were a rule to which the notice and comment procedures and delayed effective date requirements applied, we find that there is good cause to waive such requirements. Undertaking further notice and comment procedures to incorporate the corrections in this document into the final rule or delaying the effective date would be contrary to the public interest because it is in the public's interest for providers to receive appropriate payments in as timely a manner as possible, and to ensure that the FY 2016 IPPS/LTCH PPS final rule accurately reflects our policies. Furthermore, such procedures would be unnecessary, as we are not altering our payment methodologies or policies, but rather, we are simply implementing correctly the policies that we previously proposed, received comment on, and subsequently finalized. This correcting document is intended solely to ensure that the FY 2016 IPPS/LTCH PPS final rule accurately reflects these payment methodologies and policies. Therefore, we believe we have good cause to waive the notice and comment and effective date requirements.
In FR Doc. 2015-19049 of August 17, 2015 (80 FR 49325), we are making the following corrections:
1. On page 49412, first column, third bulleted paragraph, the phrase “MS-DRG 007” is corrected to read “MS-DRG 207”.
2. On page 49492, first column, after the first partial paragraph, in the table titled “Midpoint of Cost Reporting Period”, last entry (After 03/14/2013) is corrected to read as follows:
3. On page 49498, first column, second full paragraph, line 9, the figure “21” is corrected to read “19”.
3. On page 49498, second column, first partial paragraph, line 13, the figure “1.0194” is corrected to read “1.0190”.
4. On page 49619, third column, third full paragraph, line 4, the figure “22,544” is corrected to read “22,539”.
1. On page 49776:
a. First column:
(1) Fourth full paragraph, line 3, the figure “0.998399” is corrected to read “0.998405”.
(2) Fourth full paragraph, line 8, the figure “0.998399” is corrected to read “0.998405”.
(3) Fifth full paragraph, line 16, the figure “0.998399” is corrected to read “0.998405”.
b. Second column, third full paragraph:
(1) Line 9, the figure “0.998749” is corrected to read “0.998738”.
(2) Line 13, the figure “0.998399” is corrected to read “0.998405”.
(3) Line 15, the figure “0.998749” is corrected to read “0.998738”.
(4) Line 21, the figure “0.997150” is corrected to read “0.997145”.
c. Third column, third full paragraph, line 12, the figure “0.987905” is corrected to read “0.988168”.
2. On page 49777, second column, last paragraph, line 3, the figure “0.990298” is corrected to read “0.989859”.
3. On page 49778:
a. First column, second full paragraph:
(1) Line 3, the figure “0.999996” is corrected to read “0.999997”.
(2) Line 6, the figure “0.999996” is corrected to read “0.999997”.
b. Third column, last paragraph, line 36, the figure “0.999861” is corrected to read “0.999837”.
4. On page 49785:
a. Top third of the page, second column, first full paragraph, last line, the figure “22,544” is corrected to read “22,539”.
b. Middle of the page, the untitled table, is corrected to read as follows:
5. On pages 49787 and 49788, the table titled “Comparison of FY 2015 Standardized Amounts to the FY 2016 Standardized Amounts”, is corrected to read as follows:
6. On page 49788, in the center of the page, the table titled “Comparison of FY 2015 Puerto Rico-Specific Payment Rate to the FY 2016 Puerto Rico-Specific Payment Rate” is corrected to read as follows:
7. On page 49790, first column, last paragraph, line 15, the figure “0.998399” is corrected to read “0.998405”.
8. On page 49791, third column, first full paragraph, line 6, the figure “0.85” is corrected to read “0.87”.
9. On page 49793:
a. Second column:
(1) First full paragraph:
(a) Line 16, the figure “0.9979” is corrected to read “0.9982”.
(b) Line 19, the figure “0.9864” is corrected to read “0.9866”.
(2) Second full paragraph, line 17, the figure “0.9858” is corrected to read “0.9860”.
b. In third column:
(1) Second full paragraph:
(a) Line 2, the figure “0.9973” is corrected to read “0.9976”.
(b) Line 4, the figure “0.9979” is corrected to read “0.9982”.
(2) Third full paragraph:
(a) Line 9, the figure “438.65” is corrected to read “438.75”.
(b) Line 19, the figure “0.9973” is corrected to read “0.9976”.
10. On page 49794:
a. Third column, first partial paragraph:
(1) Line 3, the figure “0.27” is corrected to read “0.24”.
(2) Line 10, the figure “0.85” is corrected to read “0.87”.
b. The table titled entitled “Comparison of Factors and Adjustments: FY 2015 Capital Federal Rate and FY 2016 Capital Federal Rate” is corrected to read as follows:
c. The table titled entitled “Comparison of Factors and Adjustments: Proposed FY 2016 Capital Federal Rate and Final FY 2016 Capital Federal Rate” is corrected to read as follows:
11. On page 49795, first column:
a. First paragraph, line 7, the figure “212.56” is corrected to read “212.55”.
b. Third paragraph, line 21, the figure “22,544” is corrected to read “22,539”.
12. On page 49804, second column, first full paragraph:
a. Line 16, the figure “22,544” is corrected to read “22,539”.
b. Line 27, the figure “22,544” is corrected to read “22,539”.
13. On page 49808, third column, first full paragraph, lines 6 and 7, the phrase “index.html under the list item for Regulation Number” is corrected to read “index.html. Click on the link on the left side of the screen titled, “LTCHPPS Regulations and Notices” and select the list item for Regulation Number CMS-1632-F. “.
13. On page 49809:
a. Table 1A titled “National Adjusted Operating Standardized Amounts,
b. Table 1B titled “National Adjusted Operating Standardized Amounts, Labor/Nonlabor (62 Percent Labor Share/38 Percent Nonlabor Share if Wage Index is Less than or Equal TO 1)—FY 2016” is corrected to read as follows:
c. Table 1C titled “Adjusted Operating Standardized Amounts for Puerto Rico, Labor/Nonlabor (National: 62 Percent Labor Share/38 Percent Nonlabor Share Because Wage Index is Less than or Equal to 1; Puerto Rico: 63.2 Percent Labor Share/36.8 Percent Nonlabor Share if Wage Index is Greater Than 1 or 62 Percent Labor Share/38 Percent Nonlabor Share if Wage Index is Less than or Equal to 1—FY 2016” is corrected to read as follows:
d. Table 1D titled “Capital Standard Federal Payment Rates—FY 2016” is corrected as follows:
1. On page 49809, third column, first full paragraph:
a. Line 10, the figure “$378” is corrected to read “$391”.
b. Line 12, the figure “$187” is corrected to read “$188”.
2. On pages 49813 through 49815, the table titled “Impact Analysis of Changes to the IPPS for Operating Costs for FY 2016” is corrected to read as follows:
3. On page 49816:
a. First column, last paragraph, line 6, the figure “0.998399” is corrected to read “0.998405”.
b. Third column, first partial paragraph, line 16, the figure “0.998749” is corrected to read “0.998738”.
4. On page 49817:
a. First column, first full paragraph:
(1) Line 9, the figure “0.998749” is corrected to read “0.998738”.
(2) Line 11, the figure “0.998399” is corrected to read “0.998405”.
(3) Line 18, the figure “0.997150” is corrected to read “0.997145”.
b. Second column, first full paragraph, line 6, the figure “0.987905” is corrected to read “0.988168”.
c. Third column:
(1) First partial paragraph, line 7, the figure “21” is corrected to read “19”.
(2) First full paragraph, line 8, the figure “0.990298” is corrected to read “0.989859”.
(3) Last paragraph:
(a) Line 1, the figure “371” is corrected to read “375”.
(b) Line 3, the figure “2,998” is corrected to read “2,994”.
(c) Line 6, the figure “0.990298” is corrected to read “0.989859”.
(d) Line 8, the figure “0.2” is corrected to read “0.3”.
5. On page 49818:
a. First column, first partial paragraph:
(1) Line 10, the figure “1.6” is corrected to read “2.0”.
(2) Line 16, the figure “0.990298” is corrected to read “0.989859”.
(3) Line 17, the figure “$98” is corrected to read “$115”.
(4) Line 19, the figure “3.1” is corrected to read “3.6”.
b. Second column, first full paragraph:
(1) Line 1, the figure “21” is corrected to read “19”.
(2) Line 7, the figure “0.990298” is corrected to read “0.989859”.
(3) Line 9, the figure “$27” is corrected to read “$29”.
(4) Line 10, the figure “$9” is corrected to read “$10”.
(5) Line 18, the figure “$4.5” is corrected to read “$4.3”.
(6) Line 19, the figure “$2.6” is corrected to read “$2.3”.
c. Third column, first partial paragraph, line 15, the figure “0.999996” is corrected to read “0.999997”.
6. On pages 49818 and 49819, the table titled “FY 2016 IPPS Estimated Payments Due to Rural Floor and Imputed Floor with National Budget Neutrality” is corrected to read as follows:
7. On page 49819:
a. Second column, last paragraph, line 18, the figure “336” is corrected to read “367”.
b. Third column, first partial paragraph, line 8, the figure “$45” is corrected to read “$55”.
8. On pages 49820 and 49821, the table titled “Table II—Impact Analysis of Changes for FY 2016 Acute Care Hospital Operating Prospective Payment System (Payments per Discharge)” is corrected as follows:
9. On page 49823:
a. Top of the page:
(1) First column, second partial paragraph, line 1 the figure “2,418” is corrected to read “2,408”.
(2) Second column, first partial paragraph, lines 1 and 2, the phrase, “It did not include hospitals in the Rural Community Hospital Demonstration,” is corrected to read “It did not include new hospitals, hospitals in the Rural Community Hospital Demonstration,”.
b. Lower three-fourths of the page, the table titled “Modeled Disproportionate Share Hospital Payments for Estimated FY 2016 DSH Hospitals by Hospital Type: Model DSH $ (In Millions) From FY 2015 to FY 2016” is corrected as follows:
10. On page 49828, in third column, last paragraph, line 4, the figure “0.9973” is corrected to read “0.9976”.
11. On page 49829:
a. Second column, last paragraph:
(1) Line 4, the figure “3.1” is corrected to read “3.2”
(2) Line 5, the figure “1.1” is corrected to read “1.3”
b. Third column; last paragraph, last line, the figure “1.1” is corrected to read “1.2”.
12. On pages 49829 and 49830, table titled “Table III.—Comparison of Total Payments Per Case [FY 2015 Payments Compared To FY 2016 Payments]” is corrected to read as follows:
13. On page 49840, third column, third paragraph:
a. Line 11, the figure “$378” is corrected to read “$391”.
b. Line 23, the figure “$75” is corrected to read “$88”.
c. Line 33, the figure “$75” is corrected to read “$88”.
d. Line 34, the figure “$85” is corrected to read “$98”.
e. Line 39, the figure “$187” is corrected to read “$188”.
f. Line 43, the figure “$272” is corrected to read “$285”.
14. On page 49841, first column:
a. Third paragraph, line 3, the figure “$272” is corrected to read “$285”.
b. In the table titled “Table V—Accounting Statement: Classification of Estimated Expenditures Under the IPPS From FY 2015 to FY 2016”, the first entry is corrected as follows:
Centers for Medicare & Medicaid Services (CMS), HHS.
Final rule; correction.
This document corrects technical errors that appeared in the final rule published in the
Sharon Ventura, (410) 786-1985.
In FR Doc. 2015-19033 of August 6, 2015 (80 FR 47142), there were a number of technical errors that are identified and corrected in the Correction of Errors section below. The provisions in this correction document are effective as if they had been included in the document published August 6, 2015. Accordingly, the corrections are effective October 1, 2015.
On page 47182, we inadvertently listed the incorrect hourly rate for continuous home care. We listed $38.67 instead of $38.59. On page 47203, we referenced Table H1 instead of Table 29. In addition, on page 47205, we referenced Table H2 instead of Table 30. This notice corrects theses errors.
We ordinarily publish a notice of proposed rulemaking in the
Section 553(d) of the APA ordinarily requires a 30-day delay in effective date of final rules after the date of their publication in the
In FR Doc. 2015-19033 of August 6, 2015 (80 FR 47142), make the following corrections:
1. On page 47182, in Table 25—“FY 2016 Hospice Payment Rates For CHC, IRC, and GIP For Hospices That Do Not Submit The Required Quality Data,” for Code 652, in the “Description” column, the figure “38.67” is corrected to read “38.59”.
2. On page 47203, in the third column, in the first full paragraph, first line, the reference to “Table H1” is corrected to read “Table 29”.
3. On page 47205, in the second column, third line, the reference to “Table H2” is corrected to read “Table 30”.
Centers for Medicare & Medicaid Services (CMS), HHS.
Final rule; correction.
This document corrects technical errors in the final rule that appeared in the
This document is effective October 1, 2015.
John Kane, (410) 786-0557, for information related to SNF PPS. Charlayne Van, (410) 786-8659, for information related to SNF QRP.
In FR Doc. 2015-18950 of August 4, 2015 (80 FR 46389), there were a number of technical errors that are identified and corrected in section IV of this correcting document. The provisions in this correcting document are effective as if they had been included in the document that appeared on August 4, 2015 in the
On pages 46436, 46437, 46439, 46450 and 46452 we inadvertently made typographical and other technical errors.
On pages 46400 and 46405, where we provide a link to the CMS Web site listing the wage index for FY 2016, we inadvertently omitted reference to Table B. These pages are being corrected to state that the wage index applicable for FY 2016 is set forth in Tables A and B available on the CMS Web site.
In Table A setting forth the Wage Index for Urban Areas Based on CBSA Labor Market Areas, which is available exclusively on the CMS Web site at
Additionally, Table B posted to the CMS Web site, which provides the non-urban wage index values by state had Column A mislabeled as “CBSA” while it should have read “State Code” and Column B mislabeled as “Urban Area” while it should have read “Non-urban Area”. Therefore, in Table B, the header for Column A has been changed from “CBSA” to “State Code” and the header for Column B has been changed from “Urban Area” to “Non-Urban Area”.
In addition, on page 49492 of the FY 2016 hospital inpatient prospective payment system (IPPS) final rule (80 FR 49325, August 17, 2015), the estimated percentage change in the employment cost index (ECI) for compensation for the 30-day increment after March 14, 2013, and before April 15, 2013, for private industry hospital workers from the Bureau of Labor Statistics' (BLS') “Compensation and Working Conditions” was inadvertently miscalculated. The ECI is used to adjust a hospital's wage data to calculate the wage index, and is based on the midpoint of a cost reporting period. This technical error necessitated recalculation of the pre-reclassified unadjusted and occupational mix adjusted wage indexes and Geographic Adjustment Factors (GAFs) of certain core-based statistical areas (CBSAs).
This error is identified, discussed and corrected in the Medicare Program; Hospital Inpatient Prospective Payment Systems for Acute Care Hospitals and the Long Term Care Hospital Prospective Payment System Policy Changes and Fiscal Year 2016 Rates; Revisions of Quality Reporting Requirements for Specific Providers, including Changes Related to the Electronic Health Record Incentive Program; Extensions of the Medicare-Dependent, Small Rural Hospital Program and the Low-Volume Payment Adjustment for Hospitals; Correction that appears elsewhere in this issue of the
This error affected the adjustment factor applied to four hospitals with FY 2013 cost reporting periods that have midpoints after March 14, 2013 and before April 15, 2013, which in turn affected the wage index values for these hospitals and the areas in which they are located. One of these hospitals is geographically located in non-urban Arkansas (State Code 04), two hospitals are geographically located in non-urban Maine (State Code 20), and one urban hospital is located in Maine (CBSA
We ordinarily publish a notice of proposed rulemaking in the
Section 553(d) of the APA ordinarily requires a 30-day delay in effective date of final rules after the date of their publication in the
In our view, this correcting document does not constitute a rule that would be subject to the APA notice and comment or delayed effective date requirements. This correcting document corrects technical and typographic errors in the FY 2016 SNF PPS final rule and in the tables issued in connection with the final rule, but does not make substantive changes to the policies or payment methodologies that were adopted in the final rule. As a result, this correcting document is intended to ensure that the information in the FY 2016 SNF PPS final rule accurately reflects the policies adopted in that final rule.
In addition, even if this were a rule to which the notice and comment procedures and delayed effective date requirements applied, we find that there is good cause to waive such requirements. Undertaking further notice and comment procedures to incorporate the corrections in this document into the final rule or delaying the effective date would be contrary to the public interest because it is in the public's interest for providers to receive appropriate payments in as timely a manner as possible, and to ensure that the FY 2016 SNF PPS final rule and the tables issued in connection with the final rule accurately reflect our methodologies, payment rates and policies. Furthermore, such procedures would be unnecessary, as we are not making substantive changes to our payment methodologies or policies, but rather, we are simply implementing correctly the methodologies and policies that we previously proposed, received comment on, and subsequently finalized. This correcting document is intended solely to ensure that the FY 2016 SNF PPS final rule and the tables issued in connection with the final rule accurately reflect these methodologies and policies. Therefore, we believe we have good cause to waive the notice and comment and effective date requirements.
In the FR Doc. 2015-18950 of August 4, 2015 (80 FR 46389), make the following corrections:
1. On page 46400, bottom half of the page, third column, first partial paragraph, line 14, the phrase “Table A” is corrected to read “Tables A and B”.
2. On page 46405, top third of the page, third column, first partial paragraph, line 2, the phrase “Table A” is corrected to read “Tables A and B”.
3. On page 46436, first column, footnote 38:
a. Line 1, the term “Nation” is corrected to read “National”.
b. Line 2, the term “Standardbreds” is corrected to read “Standards”.
c Line 3, the term “Minutes” is corrected to read “Transcript”.
4. On page 46437, first column, first partial paragraph, line 19, the phrase “are not” is corrected to read “will not be”.
5. On page 46439, third column, first partial paragraph, lines 7 through 8, the phrase “unstageable and sDTIs” is corrected to read “unstageable pressure ulcers and sDTIs”.
6. Page 46450, third column, first partial paragraph, line 23, the phrase “input from clinicians would be” is corrected to read “input from clinicians who would be”.
7. Page 46452, second column, footnote 86, “86 Peter C. Smith, Elias Mossialos, Irene Papanicolas and Sheila Leatherman. Performance Measurement for Health” is corrected to read “86 Lisa I. Iezzoni, “Risk Adjustment for Performance Management”. In Performance Measurement for Health System Improvement: Experiences, Challenges and Prospects, ed. Peter C. Smith, Elias Mossialos, Irene Papanicolas and Sheila Leatherman. (Cambridge, UK: Cambridge University Press, 2009), 261-262.”.
Federal Emergency Management Agency, DHS.
Final rule.
This rule identifies communities where the sale of flood insurance has been authorized under the National Flood Insurance Program (NFIP) that are scheduled for suspension on the effective dates listed within this rule because of noncompliance with the floodplain management requirements of the program. If the Federal Emergency Management Agency (FEMA) receives documentation that the community has adopted the required floodplain management measures prior to the effective suspension date given in this rule, the suspension will not occur and a notice of this will be provided by publication in the
The effective date of each community's scheduled suspension is the third date (“Susp.”) listed in the third column of the following tables.
If you want to determine whether a particular community was suspended on the suspension date or for further information, contact Bret Gates, Federal Insurance and Mitigation Administration, Federal Emergency
The NFIP enables property owners to purchase Federal flood insurance that is not otherwise generally available from private insurers. In return, communities agree to adopt and administer local floodplain management measures aimed at protecting lives and new construction from future flooding. Section 1315 of the National Flood Insurance Act of 1968, as amended, 42 U.S.C. 4022, prohibits the sale of NFIP flood insurance unless an appropriate public body adopts adequate floodplain management measures with effective enforcement measures. The communities listed in this document no longer meet that statutory requirement for compliance with program regulations, 44 CFR part 59. Accordingly, the communities will be suspended on the effective date in the third column. As of that date, flood insurance will no longer be available in the community. We recognize that some of these communities may adopt and submit the required documentation of legally enforceable floodplain management measures after this rule is published but prior to the actual suspension date. These communities will not be suspended and will continue to be eligible for the sale of NFIP flood insurance. A notice withdrawing the suspension of such communities will be published in the
In addition, FEMA publishes a Flood Insurance Rate Map (FIRM) that identifies the Special Flood Hazard Areas (SFHAs) in these communities. The date of the FIRM, if one has been published, is indicated in the fourth column of the table. No direct Federal financial assistance (except assistance pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act not in connection with a flood) may be provided for construction or acquisition of buildings in identified SFHAs for communities not participating in the NFIP and identified for more than a year on FEMA's initial FIRM for the community as having flood-prone areas (section 202(a) of the Flood Disaster Protection Act of 1973, 42 U.S.C. 4106(a), as amended). This prohibition against certain types of Federal assistance becomes effective for the communities listed on the date shown in the last column. The Administrator finds that notice and public comment procedures under 5 U.S.C. 553(b), are impracticable and unnecessary because communities listed in this final rule have been adequately notified.
Each community receives 6-month, 90-day, and 30-day notification letters addressed to the Chief Executive Officer stating that the community will be suspended unless the required floodplain management measures are met prior to the effective suspension date. Since these notifications were made, this final rule may take effect within less than 30 days.
Flood insurance, Floodplains.
Accordingly, 44 CFR part 64 is amended as follows:
42 U.S.C. 4001
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Temporary rule; reallocation.
NMFS is exchanging unused Community Development Quota (CDQ) for CDQ acceptable biological catch (ABC) reserves. This action is necessary to allow the 2015 total allowable catch of flathead sole, rock sole, and yellowfin sole in the Bering Sea and Aleutian Islands management area to be harvested.
Effective October 5, 2015 through December 31, 2015.
Steve Whitney, 907-586-7228.
NMFS manages the groundfish fishery in the Bering Sea and Aleutian Islands management area (BSAI) according to the Fishery Management Plan for Groundfish of the Bering Sea and Aleutian Islands Management Area (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.
The 2015 flathead sole, rock sole and yellowfin sole CDQ reserves specified in the BSAI are 2,320 metric tons (mt), 7,085 mt, and 16,543 mt as established by the final 2015 and 2016 harvest specifications for groundfish in the BSAI (80 FR 11919, March 5, 2015) and following revisions (80 FR 58220, September 28, 2015). The 2015 flathead sole, rock sole, and yellowfin sole CDQ ABC reserves are 4,756 mt, 12,357 mt, and 10,079 mt as established by the final 2015 and 2016 harvest specifications for groundfish in the BSAI (80 FR 11919, March 5, 2015) and following revisions (80 FR 58220, September 28, 2015).
The Aleutian Pribilof Islands Community Development Association has requested that NMFS exchange 568 mt of flathead sole and 210 mt of rock sole CDQ reserves for 778 mt of yellowfin sole CDQ ABC reserves under § 679.31(d). Therefore, in accordance with § 679.31(d), NMFS exchanges 568 mt of flathead sole and 210 mt of rock sole CDQ reserves for 778 mt of yellowfin sole CDQ ABC reserves in the BSAI. This action also decreases and increases the TACs and CDQ ABC reserves by the corresponding amounts. Tables 11 and 13 of the final 2015 and 2016 harvest specifications for groundfish in the BSAI (80 FR 11919, March 5, 2015) and following revisions (80 FR 58220, September 28, 2015) are further revised as follows:
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) as such 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 the flatfish exchange by the Aleutian Pribilof Islands Community Development Association in the BSAI. Since these fisheries are currently open, it is important to immediately inform the industry as to the revised allocations. Immediate notification is necessary to allow for the orderly conduct and efficient operation of this fishery, to allow the industry to plan for the fishing season, and to avoid potential disruption to the fishing fleet as well as processors. NMFS was unable to publish a notice providing time for public comment because the most recent, relevant data only became available as of September 24, 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.
This action is required by § 679.20 and is exempt from review under Executive Order 12866.
16 U.S.C. 1801
Office of the Comptroller of the Currency (“OCC”), Treasury; Board of Governors of the Federal Reserve System (“Board”); and Federal Deposit Insurance Corporation (“FDIC”).
Notice of outreach meeting.
The OCC, Board, and FDIC (together “we” or “Agencies”) announce the fifth in a series of outreach meetings on the Agencies' interagency process to review their regulations under the Economic Growth and Regulatory Paperwork Reduction Act of 1996 (“EGRPRA”).
An outreach meeting will be held in Chicago, Illinois on Monday, October 19, 2015, beginning at 9:00 a.m. Central Daylight Time (CDT). Online registrations will be accepted through October 13, 2015, or until all seats are filled, whichever is earlier. If seats are available after the close of online registration, individuals may register in person at the Federal Reserve Bank of Chicago on the day of the meeting. The sixth outreach meeting is scheduled for December 2, 2015, in the Washington, DC, area.
The Agencies will hold the October 19, 2015, outreach meeting at the Federal Reserve Bank of Chicago, 230 S. LaSalle St., Chicago, Illinois 60604. Live video of this meeting will be streamed at
In addition, to enhance participation, interested persons anywhere in the country will have the opportunity to view and participate in the meeting online using their computers. Members of the public watching online will be able to submit written comments at any time during the meeting using the text chat feature. In addition to the online option, a toll-free telephone number (888-431-3632) is available for members of the public who would like only to listen to the meeting, and who may choose later to submit written comments. Information regarding these additional participation options is described in the meeting details section for the Chicago meeting at
Any interested individual may submit comments through the EGRPRA Web site during open comment periods at:
The OCC encourages commenters to submit comments through the Federal eRulemaking Portal, Regulations.gov, in accordance with the previous paragraph. Alternatively, comments may be emailed to
In general, the OCC will enter all comments received into the docket and publish them without change on Regulations.gov. Comments received, including attachments and other supporting materials, as well as any business or personal information you provide, such as your name and address, email address, or phone number, are part of the public record and subject to public disclosure. Therefore, please do not include any information with your comment or supporting materials that you consider confidential or inappropriate for public disclosure.
You may inspect and photocopy in person all comments received by the OCC at 400 7th Street SW., Washington, DC 20219. For security reasons, the OCC requires that visitors make an appointment to inspect or photocopy comments. You may make an appointment by calling (202) 649-6700 or, for persons who are deaf or hard of hearing, TTY (202) 649-5597. Upon arrival, visitors will be required to present valid government-issued photo identification and submit to a security screening.
The Board encourages commenters to submit comments regarding the Board's regulations by any of the following methods:
• Agency Web site:
• Federal eRulemaking Portal, in accordance with the directions above.
•
•
•
In general, the Board will enter all comments received into the docket and publish them without change on the Board's public Web site,
You may inspect and photocopy in person all comments received by the Board in Room 3515, 1801 K Street NW. (between 18th and 19th Street NW.), Washington, DC 20006, between 9:00 a.m. and 5:00 p.m. on weekdays. For security reasons, the Board requires that visitors make an appointment to inspect comments. You may make an appointment by calling (202) 452-3000. Upon arrival, visitors will be required to present valid government-issued photo identification and submit to a security screening.
The FDIC encourages commenters to submit comments through the Federal eRulemaking Portal, “Regulations.gov,” in accordance with the directions above. Alternatively, you may submit comments by any of the following methods:
•
•
•
•
The FDIC will post all comments received to
EGRPRA
The fifth outreach meeting will be held on October 19, 2015, in Chicago, Illinois, and will be streamed live at
Comments made by panelists, audience members, and online participants at this meeting will be reflected in the public comment file. Audience members who do not wish to comment orally may submit written comments at the meeting. As noted above, any interested person may submit comments through the EGRPRA Web site during open comment periods at:
All participants attending in person should register for the Chicago outreach meeting at
We note that the meeting will be video-recorded and publicly webcast in order to increase education and outreach. By participating in person at the meeting, you consent to appear in such recordings.
Section 2222 of EGRPRA directs the Agencies, along with the Council, to conduct a review of their regulations not less frequently than once every ten years to identify outdated or otherwise unnecessary regulatory requirements imposed on insured depository institutions. In conducting this review, the Agencies are required to categorize their regulations by type and, at regular intervals, provide notice and solicit public comment on categories of regulations, requesting commenters to identify areas of regulations that are outdated, unnecessary, or unduly burdensome. The statute requires the Agencies to publish in the
For purposes of this review, the Agencies have grouped our regulations into 12 categories: Applications and Reporting; Banking Operations; Capital; Community Reinvestment Act; Consumer Protection; Directors, Officers and Employees; International Operations; Money Laundering; Powers and Activities; Rules of Procedure; Safety and Soundness; and Securities. On June 4, 2014, we published a
U.S. Small Business Administration.
Proposed rule.
The U.S. Small Business Administration (SBA) proposes to revise the regulations for the Small Business Investment Company (SBIC) program to expand the use of Passive Businesses and provide further clarification with regard to investments in such businesses. SBICs are generally prohibited from investing in passive businesses under the Small Business Investment Act of 1958, as amended (Act). SBIC program regulations provide for two exceptions that allow an SBIC to structure an investment utilizing a passive small business as a pass-through. The first exception provides conditions under which an SBIC may structure an investment through up to two levels of passive entities to make an investment in a non-passive business that is a subsidiary of the passive business directly financed by the SBIC. The second exception enables a partnership SBIC, with SBA's prior approval, to provide financing to a small business through a passive, wholly-owned C corporation, but only if a direct financing would cause the SBIC's investors to incur Unrelated Business Taxable Income (UBTI). A passive C corporation formed under the second exception is commonly known as a blocker corporation. This proposed rule would clarify the first exception, and would expand the permitted use of blocker corporations and eliminate the prior approval requirement in the second exception. The rule also proposes to add new reporting and other requirements for passive investments to help protect SBA's financial interests and ensure adequate oversight and make minor technical amendments.
Comments on the proposed rule must be received on or before December 4, 2015.
You may submit comments, identified by RIN 3245-AG67, by any of the following methods:
•
•
SBA will post comments on
Theresa Jamerson, Office of Investment and Innovation, (202) 205-7563 or
The Small Business Investment Act of 1958, as amended, and the SBIC program regulations prohibit an SBIC from making passive investments. The implementing regulation at 13 CFR 107.720(b) defines a business as passive if: (1) It is not engaged in a regular and continuous business operation; (2) its employees do not carry on the majority of day-to-day operations, and the company does not exercise day-to-day control and supervision over contract workers; or (3) the business passes through substantially all financing proceeds to another entity.
The current regulation provides for two exceptions that allow an SBIC to structure an investment utilizing a passive small business as a pass-through. The first exception, identified in § 107.720(b)(2), permits an investment utilizing up to two passive entities, as long as substantially all of the financing proceeds are passed through to one or more active “subsidiary companies,” each of which is an eligible small business. The regulation defines a subsidiary company as one in which the financed passive business directly or indirectly owns at least 50% of the outstanding voting securities. As an example, this exception allows an SBIC to finance
The second exception, identified in § 107.720(b)(3), allows a partnership SBIC, with SBA's prior approval, to form and finance a passive, wholly-owned C corporation (commonly known as a blocker corporation) that in turn provides financing to an active, unincorporated small business. This structure is permitted only if a direct financing of the unincorporated small business would cause at least one of the SBIC's investors to incur Unrelated Business Taxable Income (UBTI) under section 511 of the Internal Revenue Code, which may arise from an activity engaged in by a tax-exempt organization that is not related to the tax-exempt purpose of that organization.
SBA published a final rule (79 FR 62819) on October 21, 2014 that expanded the exception contained in § 107.720(b)(2) to allow two levels of pass-through entities, as described above. Prior to the rule change, the regulation permitted only one pass-through entity. As part of that rulemaking, SBA received one set of comments suggesting further expansion of the rule. In the preamble to the final rule, SBA stated that it would consider the following suggestions in future rulemaking:
(1) Revise § 107.720(b)(2) to explicitly state that an SBIC may “form and finance” (rather than merely “finance”) a passive business;
(2) Eliminate the requirement for SBA's prior approval to form a blocker corporation under § 107.720(b)(3); and
(3) Revise § 107.720(b)(3) to permit an SBIC to form a blocker corporation to enable its foreign investors to avoid “effectively connected income” under the Internal Revenue Code.
This proposed rule addresses each of these suggestions. With respect to the suggestion to allow SBICs to not only finance, but form and finance, a passive business, SBA interprets the existing regulation to implicitly permit formation of a passive business. SBA recognizes that many SBICs have relied on § 107.720(b)(2) to finance newly-formed passive holding companies that in turn have used the proceeds to acquire active small businesses. Particularly since the regulatory restrictions on control of a small business were largely removed in 2002 in response to an amendment to the Act, a number of SBICs have taken controlling equity interests in many of their portfolio companies, typically through a holding company. In these cases the SBIC first formed, and then financed, the holding company. To formalize SBA's interpretation of the regulation, the proposed rule would revise § 107.720(b)(2) to explicitly allow SBICs to form and then finance a passive business as part of an otherwise permitted transaction. As a further clarification, and consistent with SBA's interpretation of current § 107.720(b)(2), the proposed rule would explicitly permit a financing of a passive business that uses the proceeds to acquire all or part of a non-passive business.
In considering the suggestion to eliminate the requirement for SBA prior approval to form a blocker corporation under § 107.720(b)(3), SBA acknowledges that these requests are routinely approved as long as an SBIC identifies one or more tax-exempt investors that would incur UBTI absent the blocker corporation. SBA believes the prior approval requirement could be replaced by a certification that would provide the same assurance. The proposed rule would remove the approval requirement from § 107.720(b)(3) and revise § 107.610, a regulation that requires SBICs to make certain certifications upon financing a small business, to require the SBIC to certify as to the basis of the qualification of a financing under § 107.720(b)(3), as discussed below.
In considering the suggestion to permit an SBIC to form a blocker corporation to enable its foreign investors to avoid “effectively connected income” (ECI), SBA believes that it is consistent with the goals of the SBIC program to encourage foreign investment that will benefit U.S. small businesses. This proposed rule would expand § 107.720(b)(3) to permit an SBIC to form a blocker corporation if a direct financing would cause its investors to incur ECI.
SBA is proposing two additional changes to § 107.720(b)(3). First, the rule proposes to remove part of the last sentence that provides that an SBIC's ownership of a blocker corporation formed under § 107.720(b)(3) will not constitute a violation of § 107.865(a). This provision was necessary when § 107.865(a) generally prohibited an SBIC from assuming control over a small business (in this case, the wholly-owned blocker corporation). On October 22, 2002, SBA published a final rule (67 FR 64789) that revised § 107.865(a) to permit an SBIC to exercise control over a small business for up to seven years without SBA approval. This rule made the carve-out in § 107.720(b)(3) unnecessary. An SBIC that needs to hold an investment in a blocker corporation longer than seven years can seek SBA approval of an extension of control in accordance with § 107.865(d).
Second, the proposed rule addresses structuring an investment with a second passive level when the first passive level is a blocker corporation formed under § 107.720(b)(3). The proposed change would allow the blocker corporation to either (1) directly finance a non-passive small business, or (2) provide financing to a second passive small business that passes the proceeds through to a non-passive small business in which it owns at least 50 percent of the outstanding voting securities. SBA's intention in proposing this change is to provide SBICs with flexibility similar to that provided in § 107.720(b)(2), while still limiting investments to a maximum of two passive levels to ensure effective oversight of SBICs.
The proposed revisions of § 107.720(b)(2) and (3), particularly when added to the changes promulgated in the October 21, 2014 final rule, would provide SBICs with considerably more flexibility to invest through passive holding companies and can be expected to increase the prevalence of permissible passive investments in the SBIC program. As a result, SBA has also reviewed certain credit concerns it has related to passive investments. As noted in the October 21, 2014 final rule, these concerns relate specifically to SBA's ability to collect from SBICs that default on their debt to SBA. Even under § 107.720(b) as it existed prior to the final rule, SBA had encountered issues that adversely affected its recoveries from defaulting SBICs with assets that were held indirectly through a passive company: These concerns included the effect of fees and expenses charged at each level, potentially diverting money from the actual investment and returns, as well as SBA's potential lack of access to the books and records of the passive business(es). To address these concerns, proposed § 107.720(b)(4) would add or clarify the following requirements with respect to any passive investment made under § 107.720(b)(2) or (b)(3):
(1) Clarifying the meaning of “
(2) Requiring fees charged by an SBIC or its Associate to not exceed those permitted if the SBIC had directly financed the eligible Small Business. Among SBICs that have defaulted on SBA leverage, SBA has observed that passive investments are often associated with higher overall fees than direct investments in active small businesses. As noted in the preamble to the October 2014 final rule, SBA is concerned that excessive fees may reduce the funding provided to the active small business investment and adversely affect returns to the SBIC. To limit the potential for excessive fees in financings permitted under § 107.720(b)(2) and (b)(3), SBA is proposing to add a provision to clarify that fees collected by SBICs and their Associates under §§ 107.860 and 107.900 may not exceed the fees that would be permitted under the same two sections if the SBIC directly financed a non-passive small business. The proposed rule also provides that such fees be remitted to the SBIC within 30 days of receipt. This requirement will help SBA regulate whether the fees meet regulatory requirements, ensure that the SBIC benefits from those fees in a timely manner, and help in the identification and recovery of fees in the case of an SBIC default.
(3) Clarifying that both passive and non-passive businesses included in a financing are “Portfolio Concerns.” The SBIC program regulations provide SBA with certain information rights with respect to any “Portfolio Concern,” defined in § 107.50 as “a Small Business Assisted by a Licensee.” SBA believes that in a permitted passive investment, both the passive business(es) and the non-passive business are Portfolio Concerns. Nevertheless, particularly in attempting to make recoveries from SBICs that have defaulted on SBA leverage, SBA has sometimes been hindered by a lack of access to the books and records of the passive business. Therefore, the proposed rule would add a provision under § 107.720(b)(4) to clarify that both passive and non-passive businesses included in a financing are Portfolio Concerns subject to all informational rights under 13 CFR part 107, including without limitation § 107.600, “General requirements for Licensee to maintain and preserve records,” and § 107.620, “Requirements to obtain information from Portfolio Concerns.”
In the October 2014 final rule, SBA also noted that it has credit concerns regarding the increased opportunity for disproportionate distributions to entities other than the SBIC as a result of an SBIC structuring investments through a passive entity. In evaluating this concern, SBA recognized that disproportionate distributions can occur due to different securities and preferences even if the SBIC directly financed the non-passive business. SBA believes as long as an SBIC has no conflicts of interest with respect to a particular financing (other than a conflict for which SBA has provided a regulatory exemption under § 107.730), the SBIC will make a permitted passive investment with the same considerations as a direct investment. Therefore, SBA believes that a specific regulatory provision to address this issue is not needed.
The proposed rule would add a certification requirement to § 107.610 to require an SBIC that finances a business under § 107.720(b)(3) to certify as to the basis of the qualification of the financing. The permissible basis would be the participation of one or more investors who would be subject to either UBTI or ECI in the event of a direct financing. As part of this certification, SBICs must identify those investor(s) subject to either UBTI or ECI as part of a direct financing. As discussed previously, the certification would replace the requirement for SBA prior approval of the formation and financing of a blocker corporation.
The proposed rule would correct the typographical error of “Associates's” to “Associate's” in the last sentence under the “Lending Institution” definition.
SBICs typically have an investment period in which they draw capital and provide financings to small businesses, followed by a harvest and wind-up period in which they realize investments and repay capital to their private investors. SBA approves SBIC wind-up plans in accordance with § 107.590(c) and capital distributions above 2% in accordance with § 107.585. To conform with SBA's current oversight practices, the proposed rule would modify paragraph (a) of § 107.210 to allow both Leverageable Capital and Regulatory Capital to fall below the stated minimums if the reductions are performed in accordance with an SBA-approved wind-up plan per § 107.590(c).
The proposed rule would change the last sentence of § 107.503(a) to indicate that valuation guidelines for SBICs may be obtained from the SBIC program's public Web site,
Current § 107.630(d) provides a mailing address for submission of SBA Form 468. These instructions are no longer necessary because SBICs submit this information electronically using the SBA's web-based application. The proposed rule would remove this paragraph and redesignate paragraph (e) as paragraph (d).
The proposed rule would correct the misspelling of “Yu” to “You” in the second to the last sentence in paragraph (b). The proposed rule would also remove paragraph (c) which identifies where to send Leverage applications. This paragraph is unnecessary because the application forms provide these instructions.
The Office of Management and Budget has determined that this rule is not a
This action meets applicable standards set forth in section 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden. The action does not have retroactive or presumptive effect.
The proposed rule would not have substantial direct effects on the States, or the distribution of power and responsibilities among the various levels of government. Therefore, for the purposes of Executive Order 13132, Federalism, SBA determines that this proposed rule has no federalism implications warranting the preparation of a federalism assessment.
This proposed rule was developed in response to the comments received on previous amendments to the regulations concerning investments in passive businesses. As part of that rulemaking, published on October 21, 2014 at 79 FR 62819, SBA received one set of comments suggesting further expansion of the rule. The commenter suggested that SBA consider: (1) Revising § 107.720(b)(2) to explicitly state that an SBIC may “form and finance” (rather than merely “finance”) a passive business; (2) eliminating the requirement for SBA's prior approval to form a blocker corporation under § 107.720(b)(3) and requiring a certification instead; and (3) revising § 107.720(b)(3) to permit an SBIC to form a blocker corporation to enable its foreign investors to avoid “effectively connected income” under the Internal Revenue Code. SBA discussed these concerns and informational requirements with industry representatives as part of its evaluation of these comments and development of this proposed rule.
SBA has determined that this rule would impose additional reporting and recordkeeping requirements under the Paperwork Reduction Act. In particular this rule proposes changes to the Portfolio Financing Report, SBA Form 1031 (OMB Control Number 3245-0078), to clarify information to be reported in Parts A, B, and C of the form. The proposed changes, described in detail below, also include designating current Part D as Part F and adding new Parts D and E.
The title, description of respondents, description of the information collection and the proposed changes to it are discussed below with an estimate of the revised annual burden. Included in the estimate is the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing each collection of information.
SBA invites comments on: (1) Whether the proposed changes to Form 1031 are necessary for the proper performance of SBA's functions, including whether the information will have a practical utility; (2) the accuracy of SBA's estimate of the burden of the proposed collections of information, including the validity of the methodology and assumptions used; (3) ways to enhance the quality, utility, and clarity of the information to be collected; and (4) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques, when appropriate, and other forms of information technology.
Please send comments by the closing date for comment for this proposed rule to the address set forth above in the
SBA proposes to revise the form as follows:
(1)
(2)
(3)
(a)
(b)
(c)
4.
Impact Fund Reporting. This reporting is expected to have minimal impact. The estimated eight SBICs making impact investments would complete new proposed Part D an estimated total 56 times annually. At an estimated 2 minutes per response, this additional reporting would add 2 hours to the annual burden for Form 1031.
Passive Business Reporting. SBA believes that the SBIC should be able to provide the proposed passive business information since it should be readily available as part of the financing. SBA estimates that providing the proposed information will take on average an additional 30 minutes for those financings utilizing passive businesses, with no incremental burden for those financings that do not use a passive business. SBA estimates that about 12% of the annual responses relate to passive businesses financings (based on financing data in 2014). Based on the number of SBICS reporting such financings the total estimated annual hour burden resulting from new Part E reporting would be 122.
Therefore the total estimated annual hour burden for all SBICs submitting SBA Form 1031s in a year would be 528 hours.
The current cost estimate for completing SBA Form 1031 uses a rate of $35 per hour for an accounting manager to fill out the form. Using that same rate, the cost per form would change from $7 per form to $9.14 per form. However, SBA has increased its estimate of an hourly rate for an accounting manager to $43 per hour (estimated using
The recordkeeping requirements under the proposed rule also identify information that an SBIC must maintain in its files to support the required changes. SBA believes that the SBICs should already be maintaining this information since a passive business by definition is a Portfolio Concern and the SBIC should be maintaining all documents needed to support each financing. The proposed rule makes this expectation explicit. Furthermore, currently, an SBIC must maintain this information for it to effectively monitor and evaluate an investment that uses a passive business to finance a non-passive business. Therefore, SBA does not believe this recordkeeping requirement should increase the burden. The proposed rule also requires a certification under § 107.610 when the SBIC makes a financing using the proposed exemption § 107.720(b)(3). This includes maintaining records supporting the certification. Since this regulation effectively replaces the current requirement for SBICs to seek prior SBA approval and maintain these records, SBA does not believe this change will increase the burden.
The Regulatory Flexibility Act (RFA), 5 U.S.C. 601, requires administrative agencies to consider the effect of their actions on small entities, small non-profit businesses, and small local governments. Pursuant to the RFA, when an agency issues a rule, the agency must prepare an Initial Regulatory Flexibility Act (IRFA) analysis which describes whether the impact of the rule will have a significant economic impact on a substantial number of small entities. However, Section 605 of the RFA allows an agency to certify a rule, in lieu of preparing an IRFA, if the rulemaking is not expected to have a significant economic impact on a substantial number of small entities. This proposed rule would affect all SBICs, of which there are currently close to 300. SBA estimates that approximately 75 percent of these SBICs are small entities. Therefore, SBA has determined that this proposed rule would have an impact on a substantial number of small entities. However, SBA has determined that the impact on entities affected by the rule would not be significant. The proposed changes in the passive business regulation would provide SBICs with additional flexibility to employ transaction structures commonly used by private equity or venture capital funds that are not SBICs.
SBA asserts that the economic impact of the rule, if any, would be minimal and beneficial to small SBICs. Accordingly, the Administrator of the SBA certifies that this rule would not have a significant impact on a substantial number of small entities.
Investment companies, Loan programs-business, Reporting and recordkeeping requirements, Small businesses.
For the reasons stated in the preamble, the Small Business Administration proposes to amend 13 CFR part 107 as follows:
15 U.S.C. 681, 683, 687(c), 687b, 687d, 687g, 687m.
(a)
(a) * * * These guidelines may be obtained from SBA's SBIC Web site at
(g) For each passive business financed under § 107.720(b)(3), a certification by you, dated as of the closing date of the Financing, as to the basis for the qualification of the Financing under § 107.720(b)(3) and identifying one or more limited partners in which a direct Financing would cause those investors to incur “unrelated business taxable income” under section 511 of the Internal Revenue Code (26 U.S.C. 511) or “effectively connected income” to foreign investors under sections 871 and 882 of the Internal Revenue Code (26 U.S.C. 871 and 882).
(b) * * *
(2)
(i) Directly owns, or will own as a result of the Financing, at least 50 percent of the outstanding voting securities; or
(ii) Indirectly owns, or will own as a result of the Financing, at least 50 percent of the outstanding voting securities (by directly owning the outstanding voting securities of another passive Small Business that is the direct owner of the outstanding voting securities of the subsidiary company).
(3)
(i) Directly to one or more eligible non-passive Small Businesses; or
(ii) Directly to a passive Small Business that passes substantially all the proceeds directly to (or uses substantially all the proceeds to acquire) one or more eligible non-passive Small Businesses which the passive Small Business directly owns, or will own as a result of the Financing, at least 50% of the outstanding voting securities.
(4)
(i) For the purposes of this paragraph (b), “substantially all” means at least ninety-nine percent of the Financing proceeds after deduction of actual application fees, closing fees, and expense reimbursements which may not exceed those permitted by § 107.860.
(ii) If you and/or your Associate charge fees permitted by §§ 107.860 and/or 107.900, the total amount of such fees charged to all passive and non-passive businesses that are part of the same Financing may not exceed the fees that would have been permitted if the Financing had been provided directly to a non-passive Small Business. Any such fees received by your Associate must be paid to you in cash within 30 days of the receipt of such fees.
(iii) For the purposes of this part 107, each passive and non-passive business included in the Financing is a Portfolio Concern. The terms of the financing must provide SBA with access to Portfolio Concern information in compliance with this part 107, including without limitation §§ 107.600 and 107.620.
Securities and Exchange Commission.
Proposed rule.
The Securities and Exchange Commission (“Commission”) is proposing for public comment amendments to its Rules of Practice that would require persons involved in
Comments should be received on or before December 4, 2015.
Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Use the Federal eRulemaking Portal (
• Send paper comments to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
Adela Choi, Senior Counsel, and Laura Jarsulic, Associate General Counsel, Office of the General Counsel, (202) 551-5150, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
The Commission proposes to amend its Rules of Practice. The amendments are being proposed as a result of the Commission's experience with its existing rules.
The Commission proposes to make targeted amendments to its Rules of Practice that would automate and modernize aspects of the filing process in administrative proceedings to facilitate the flow of information to the public. The Commission recognizes the need to ensure that public administrative proceeding records are made available to the public as quickly as possible. Roughly 100 requests for records related to administrative proceedings were made each year over the last three years, and certain records were requested by multiple members of the public.
The Commission currently is developing a comprehensive Internet-based electronic system that would, among other things, allow persons in administrative proceedings to file and serve documents electronically and facilitate the prompt distribution of public information regarding administrative proceedings. In conjunction with the development of this system, the Commission proposes to require electronic submissions. The Commission believes that electronic submissions will enhance the transparency of administrative proceedings by providing a quicker way for the Commission to make records available to the public. In addition, the Commission believes that the electronic system will increase its ability to efficiently process filings, and may decrease costs for parties who may file and serve submissions electronically, rather than in paper format.
There are three main components to the proposed approach. First, persons involved in administrative proceedings who currently are required to file documents under Rules 151 and 152 of the Commission's Rules of Practice would be required to file such documents electronically through a secure system on the Commission's Web site at
The third component would require filers to exclude or redact sensitive personal information from electronic filings and submissions in accordance with the Commission's obligation to protect such information under the Privacy Act of 1974, as amended.
If the person making a filing believes that sensitive personal information is necessary to the proceeding, the person would need to file a motion for a protective order in accordance with Rule 322 to limit disclosure of the sensitive personal information. In accordance with the proposed amendments to Rule 322, and only if review of the documents is necessary to a ruling on the motion, the person would be required to file an unredacted version of the submission to be used by the hearing officer and the Commission for purposes of the proceeding, and a redacted version to be used for distribution to the public. A redacted version would not need to be filed if the submission would be redacted in its entirety. This reflects current practice when parties file motions for protective orders pursuant to the Rules of Practice.
As a corollary to incorporating electronic filings into the Rules of Practice, self-regulatory organizations and the Public Company Accounting Oversight Board (“PCAOB”) would be required to file electronically with the Commission a copy of a record that is the subject of an appeal.
The proposed amendments are as follows:
Rule 140
Rule 151(a)
Rule 151(d)
Proposed new Rule 151(e)
If the person making a filing believes that sensitive personal information is necessary to the proceeding, the person would need to file a motion for a protective order in accordance with Rule 322
Like Rule 151, the proposed amendments to Rule 152(a) would make clear that all filings shall be made electronically. Rule 152(a) would direct persons to follow guidance issued by the Secretary on the Commission's Web site at
The Commission recognizes that a person involved in an administrative proceeding may be unable to submit documents electronically during either the entire proceeding or a portion thereof. For example, a person who is incarcerated at the time of the proceeding may not have access to the Internet or other electronic media necessary to file documents through the Commission's secure system. There may be other reasons why a person reasonably cannot comply with the electronic filing requirement.
A person who reasonably cannot comply with the requirement must file a certification under Rule 152(a)(1) that explains why the person reasonably cannot comply. The filing also must indicate the expected duration of the person's reasonable inability to comply, such as whether the certification is intended to apply to a solitary filing or all filings made during the proceeding. The certification is immediately effective. Upon filing the certification, it will be part of the record of the proceeding, and the person may file
Rule 152(a) would be amended to provide additional methods of filing if a person reasonably cannot comply with the electronic filing requirements. Filers should take note that the Commission would need to receive mailed, couriered, or hand-delivered filings by 5:30 p.m. Eastern Time because the Commission is unable to accept such filings after that time. The Commission would need to receive facsimile transmissions by midnight Eastern Time.
The proposed amendment also would provide that electronic filings that require a signature pursuant to Rule 153
Rule 351
Proposed new Rule 351(c)
As under Rule 151(e), the proposed amendment to Rule 351(c) would set forth the same definition of sensitive personal information, require its redaction or omission from all submissions under Rule 351, provide a process for seeking a protective order under Rule 322 with respect to sensitive personal information that is necessary to the proceeding, and require a certification that sensitive personal information has been excluded or redacted or filed under seal. A person who reasonably cannot submit exhibits electronically must file a certification under Rule 351(c)(2) that explains why the person reasonably cannot comply. The filing also must indicate the expected duration of the person's reasonable inability to comply, such as whether the certification is intended to apply to a solitary submission or all submissions made during the proceeding. The certification is immediately effective. Upon filing the certification, it will be part of the record of the proceeding, and the person shall submit originals of any exhibits that have not already been submitted to the Secretary by other means. Rule 351(c) also would state that electronic submissions that require a signature pursuant to Rule 153 may be signed with an “/s/” notation, which shall be deemed the signature of the person making the filing for purposes of Rule 153.
For the first 90 days after the proposed amendments become final, the Commission intends to administer a phase-in period that would require all filings to be made both electronically and in paper format. The Commission preliminarily believes that a 90-day phase-in period is a reasonable amount of time for persons to become proficient in the electronic filing procedures while ensuring that the Commission receives the filing should there be an electronic transmission failure. However, it may be appropriate to extend the phase-in period if persons are experiencing substantial difficulties with the electronic filing.
Rule 150(c)
Rule 141(b)
Currently, Rule 102(d)
Rule 193
Rule 420
Rule 440
The United States Postal Service changed the name of the product known as Express Mail to Priority Mail Express. Rule 141(a)(2)(i), (ii), (iii), (vi), (a)(3) and Rule 150(a)(2), (d) would be amended to refer generically to “express mail.”
We request and encourage any interested person to submit comments regarding: (1) The definition of sensitive personal information, (2) the potential adverse effects, if any, of disclosing personal email addresses and home addresses of parties and persons filing documents with the Commission, (3) alternative approaches to handling personal email addresses and home addresses of parties and persons filing documents with the Commission, (4) the other proposed changes that are the subject of this release, (5) additional or different changes, or (6) other matters that may have an effect on the proposals contained in this release.
The Commission finds, in accordance with Section 553(b)(3)(A) of the Administrative Procedure Act,
The Commission is sensitive to the costs and benefits of its rules. The current processes and filing requirements for administrative proceedings serve as the baseline against which the economic impacts of the proposed rules are measured. At present, submissions are permitted to be filed with the Commission in paper format or by facsimile followed by a paper submission. The Commission's current Rules of Practice do not identify sensitive personal information that must be redacted from these documents by those who file them. Instead, such redaction is undertaken by the Commission when necessary in responding to document requests from the public or posting documents on the Commission's public Web site. Service by email is already generally an accepted practice by parties to administrative proceedings who mutually agree to it, although it is not expressly permitted by rule.
The scope of the benefits and costs of the proposed rules depends on the expected volume of administrative proceedings and the number of filed documents and document requests associated with these proceedings. In fiscal year 2014, 230 new administrative proceedings were initiated and not settled immediately. New proceedings initiated and not immediately settled in fiscal years 2013 and 2012 totaled 202 and 207 respectively.
The implementation of electronic filing and the related proposed rules are intended to improve the efficiency and transparency of the Commission's operations and to modernize the document management process to be consistent with common practice in other tribunals. Benefits of the proposed rules are anticipated to accrue to the public and outside parties to administrative proceedings as well as the Commission.
Specifically, the proposed rules may benefit members of the public with an interest in the Commission's administrative proceedings by permitting the Commission to more
The costs of the proposal will be borne by the Commission as well as the outside parties to administrative proceedings. The proposed rules place the primary burden of redacting sensitive personal information on the parties submitting documents in administrative proceedings—either outside parties or Commission staff—following common practice in federal courts. The Commission believes that parties filing documents are well positioned to redact the documents—or initially draft documents to avoid the use of sensitive personal information—and that the proposed narrow definition of sensitive personal information will limit the burden on parties required to redact documents. The Commission recognizes, however, that the costs of reviewing and editing the content to protect sensitive information might be significant for some parties. Additionally, when sensitive personal information is necessary to the proceedings, outside parties or the Commission may expend additional resources filing a motion for a protective order in accordance with Rule 322 to limit disclosure of the sensitive information and to prepare a redacted and unredacted version of the documents.
Parties to administrative proceedings will also bear any incremental burden of electronic filings over the current practice of facsimile or paper transmissions. The magnitude of costs will depend primarily on whether the original format of the documents to be submitted is electronic or whether they must be scanned or otherwise converted to an electronic format. Other factors that may affect these costs include the ease of access the party has to the internet and to any hardware and software that may be involved in processing the documents. For most parties, we do not expect these costs to be significant because, among other things, most parties already are subject to similar requirements in other kinds of legal proceedings or have access to the Internet and conversion programs at a reasonable cost. Further, these potential burdens may be mitigated for some parties as the proposed rules provide for relief from the electronic filing requirements in situations in which a party certifies a reasonable inability to comply with the electronic filing requirements.
As an alternative to the proposed rules, the Commission could implement electronic filing with different requirements. In particular, the Commission could continue to allow the filing of unredacted documents—requiring that redaction be undertaken by Commission staff when necessary—or could permit electronic filing on a voluntary, rather than mandatory, basis. Relative to these alternatives, or to the existing paper format and facsimile document submission and management system for administrative proceedings, the Commission believes that the proposed changes achieve the benefits described above in a cost-efficient manner. The Commission does not expect significant effects on efficiency, competition, or capital formation to result from the proposed changes. And to the extent that the changes impose any burden on competition, the Commission believes that such burden would be necessary and appropriate in furtherance of the purposes of the Exchange Act.
The Commission requests comment on all aspects of the economic effects of the proposal, including any anticipated impacts that are not mentioned here. We are particularly interested in quantitative estimates of the benefits and costs, in general or for particular types of participants in administrative proceedings, including smaller entities. We also request comment on reasonable alternatives to the proposed rules and on any effect the proposed rules may have on efficiency, competition, and capital formation.
These amendments to the Rules of Practice are being proposed pursuant to statutory authority granted to the Commission, including section 3 of the Sarbanes-Oxley Act of 2002, 15 U.S.C. 7202; section 19 of the Securities Act, 15 U.S.C. 77s; sections 4A, 19, and 23 of the Exchange Act, 15 U.S.C. 78d-1, 78s, and 78w; section 319 of the Trust Indenture Act of 1939, 15 U.S.C. 77sss; sections 38 and 40 of the Investment Company Act, 15 U.S.C. 80a-37 and 80a-39; and section 211 of the Investment Advisers Act, 15 U.S.C. 80b-11.
Administrative practice and procedure.
For the reasons set out in the preamble, 17 CFR part 201 is proposed to be amended as follows:
15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 78c(b), 78d-1, 78d-2, 78
(d)
(2)
(4)
(a)
The revision reads as follows:
(b)
The revisions and addition read as follows:
(c)
(1)
(d)
(4) Transmitting the papers by facsimile transmission to the person required to be served. The persons so serving each other shall have provided the Commission and the parties with notice of a facsimile machine telephone number.
(e)
(a)
(d)
(e)
(1)
(i) The last four digits of a taxpayer identification number, financial account number, credit card or debit card number, passport number, driver's license number, and state-issued identification number;
(ii) Home addresses and telephone numbers of parties and persons filing documents with the Commission;
(iii) Business telephone numbers; and
(iv) Copies of unredacted filings by regulated entities or registrants that are available on the Commission's public Web site.
(2)
(3)
The revisions and addition read as follows:
(a)
(1)
(2)
(b)
(1) Reflect a page, electronically or otherwise, that measures 8
(2) Use 12-point or larger typeface;
(3) Include at the head of the paper, or on a title page, the name of the Commission, the title of the proceeding, the names of the parties, the subject of the particular paper or pleading, and the file number assigned to the proceeding;
(4) Be paginated with left hand margins at least 1 inch wide, and other margins of at least 1 inch; and
(5) Be double-spaced, with single-spaced footnotes and single-spaced indented quotations.
(c)
(d)
(b)
The revision and addition read as follows:
(a)
(b) If review of the documents that are the subject of a request for a protective order is necessary to a ruling on the motion and the information as to which a protective order is sought is available to the movant, the motion shall be accompanied by:
(1) A complete, sealed copy of the materials containing the information as to which a protective order is sought, with the allegedly confidential information marked as such, and with the first page of the document labeled “Under Seal.” If the movant seeks a protective order against disclosure to other parties as well as the public, copies of the documents shall not be served on other parties; and
(2) A redacted copy of the materials containing the information as to which a protective order is sought, with the allegedly confidential information redacted. The redacted version shall indicate any omissions with brackets or ellipses, and its pagination and depiction of text on each page shall be identical to that of the sealed version. A redacted copy need not accompany a motion requesting a protective order if the materials would be redacted in their entirety.
The revision and addition read as follows:
(b)
(c)
(1)
(i)
(A) The last four digits of a taxpayer identification number, financial account number, credit card or debit card number, passport number, driver's license number, and state-issued identification number;
(B) Home addresses and telephone numbers of parties and persons filing documents with the Commission;
(C) Business telephone numbers; and
(D) Copies of unredacted filings by regulated entities or registrants that are available on the Commission's public Web site.
(ii)
(2)
(3)
(4)
(i) Are true and accurate copies of exhibits that were admitted, or offered and not admitted, during the hearing; and
(ii) That any sensitive personal information as defined in § 201.351(c) has been excluded or redacted, or, if necessary, has been filed under seal pursuant to § 201.322.
(e)
(1)
(i)
(A) The last four digits of a taxpayer identification number, financial account number, credit card or debit card number, passport number, driver's license number, and state-issued identification number;
(B) Home addresses and telephone numbers of parties and persons filing documents with the Commission;
(C) Business telephone numbers; and
(D) Copies of unredacted filings by regulated entities or registrants that are available on the Commission's public Web site.
(ii) [Reserved]
(2)
(3)
(d)
(1)
(i)
(A) The last four digits of a taxpayer identification number, financial account number, credit card or debit card number, passport number, driver's license number, and state-issued identification number;
(B) Home addresses and telephone numbers of parties and persons filing documents with the Commission;
(C) Business telephone numbers; and
(D) Copies of unredacted filings by regulated entities or registrants that are available on the Commission's public Web site.
(ii) [Reserved]
(2)
(3)
By the Commission.
Securities and Exchange Commission.
Proposed rule.
The Securities and Exchange Commission (“Commission”) is proposing for public comment amendments to update its Rules of Practice to, among other things, adjust the timing of hearings in administrative proceedings; allow for discovery depositions; clarify the rules for admitting hearsay and assertion of affirmative defenses; and make certain related amendments.
Comments should be received on or before December 4, 2015.
Comments may be submitted by any of the following methods:
• Use the Commission's Internet comment form (
• Send an email to
• Use the Federal eRulemaking Portal (
• Send paper comments to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
Adela Choi, Senior Counsel, and Laura Jarsulic, Associate General Counsel, Office of the General Counsel, (202) 551-5150, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
The Commission proposes to amend its Rules of Practice. The amendments are being proposed to update its existing rules.
As it has done from time to time, the Commission proposes to amend its Rules of Practice.
The proposed amendments are as follows:
Rule 360
The amount of time for parties to prepare during the prehearing period may vary from case to case with the number of factual and legal allegations, the complexity of the claims and defenses, and the size of the record. Parties in 300-day cases, for example, have increasingly requested extensions of time to review investigative records and prepare for hearing, citing the volume and time it takes to load and then review electronic productions. Parties in such cases frequently file motions before the hearing officer or the Commission to resolve complicated issues prior to the hearing. In addition, the Chief Administrative Law Judge has sought several extensions of time for hearing officers to file initial decisions in more complicated 300-day cases.
As amended, Rule 360 would include three modifications to address the timing of a proceeding. First, the deadline for filing the initial decision would run from the time that the post-hearing briefing or briefing of dispositive motions or defaults has been completed, rather than the date of service of the order instituting proceedings. This modification would divorce the deadline for the completion of an initial decision from other stages of the proceeding. Under the proposed amendment, the deadlines for initial decisions that would be designated in orders instituting proceedings would be 30, 75, and 120 days from the completion of post-hearing or dispositive briefing. The proposed length of time afforded for the preparation of an initial decision in each type of proceeding would be the same as the amount of time hearing officers are afforded under current Rule 360, if a proceeding actually progresses according to the timeline set out in the current rule.
Second, amended Rule 360 would provide a range of time during which the hearing must begin. For example, in 300-day cases, current Rule 360 states that a hearing should occur within approximately four months. The amended rule would provide that the hearing must be scheduled to begin approximately four months after service of the order instituting proceedings, but not later than eight months after service of the order.
Third, amended Rule 360 would create a procedure for extending the initial decision deadline by up to thirty days. This extension is intended to complement the Chief Law Judge's ability under current Rule 360 to request extensions of time from the Commission. Under amended Rule 360, the hearing officer may certify to the Commission in writing the need to extend the initial decision deadline by up to thirty days for case management purposes. This certification would need to be issued at least thirty days before the expiration of the initial decision deadline and the proposed extension would take effect if the Commission does not issue an order to the contrary within fourteen days after receiving the certification.
This procedure for extending the initial decision deadline by a thirty-day period is intended to promote effective case management by the hearing officers. For example, for a hearing officer faced with several initial decision deadlines in the same week, a thirty-day extension would provide flexibility to stagger the deadlines. The amended rule would retain the provision allowing the Chief Law Judge to request an extension of any length from the Commission, without regard to whether a hearing officer has already sought to extend the deadline.
We seek comments about the amount of time proposed for each phase of the proceeding, including the eight-month cap on the prehearing period for cases with the longest initial decision deadlines, the time allotted for post-hearing briefing, and the time provided for the hearing officer to prepare an initial decision.
Rule 233
The proposed amendment is intended to provide parties with an opportunity to develop arguments and defenses through deposition discovery, which may narrow the facts and issues to be explored during the hearing. Allowing depositions should facilitate the
We recognize that additional time during the prehearing stage of the proceeding would facilitate the effective use of depositions for discovery. As a result, we have proposed amendments to Rule 360, discussed above, that provide additional flexibility over deadlines during the prehearing discovery period of a proceeding, permitting the hearing to begin up to eight months after service of the order instituting proceedings. We anticipate that four to eight months would be a sufficient amount of time for parties to prepare for the hearing, review documents, and take up to three depositions per side in a single-respondent proceeding, and up to five depositions per side in a multiple-respondent proceeding. In selecting this increased amount of time and number of depositions permitted, we intend to provide parties with the potential benefits of this discovery tool, without sacrificing the public interest in resolving administrative proceedings promptly and efficiently.
We propose additional amendments to Rule 233 to guide the use of depositions for discovery purposes. The amendments would allow the issuance of subpoenas to order a witness to attend a deposition noticed by a party pursuant to Rule 233, and would not preclude the deposition of a witness if the witness testified during an investigation. Notices of depositions also would be served on each party pursuant to Rule 150 and would need to be consistent with the prehearing conference and the hearing officer's scheduling order.
Other proposed amendments to Rule 233 would outline procedures for deposition practice that are consistent with the Federal Rules of Civil Procedure.
We seek comments about the proposed structure of the amendments that provide for depositions, including the number of depositions allowed in single-respondent and multiple-respondent proceedings.
We also propose amendments to Rules 180,
Rule 180 allows the Commission or a hearing officer to exclude a person from a hearing or conference, or summarily suspend a person from representing others in a proceeding, if the person engages in contemptuous conduct before either the Commission or a hearing officer. The exclusion or summary suspension can last for the duration or any portion of a proceeding, and the person may seek review of the exclusion or suspension by filing a motion to vacate with the Commission. We propose to amend Rule 180 to allow the Commission or a hearing officer to exclude or summarily suspend a person for any portion of a deposition, as well as the proceeding, a conference, or a hearing for contemptuous conduct. The person would have the same right to review of the exclusion or suspension by filing a motion to vacate with the Commission.
Rule 221 sets forth the purposes of a prehearing conference and includes a list of the subjects to be discussed. We propose amendments to Rule 221 to add depositions and expert witness disclosures or reports to the list of subjects to be discussed at the prehearing conference. Under the current rule, the list of subjects for discussion at the prehearing conference covers most other significant aspects of the prehearing period. By adding depositions and the timing of expert witness disclosure to that list, the proposed amendment recognizes the impact that depositions and other discovery tools may have on the development of a schedule that makes efficient use of time during the prehearing period and the proceeding more broadly. It also conforms to the proposed amendment to Rule 233, which would require notices of depositions to be consistent with the prehearing conference and the hearing officer's scheduling order.
Rule 232 sets forth standards for the issuance of subpoenas and motions to quash. With the proposed amendments, Rule 232(a) would make clear that parties may request the issuance of a subpoena in connection with a deposition permitted under Rule 233, and Rule 233(e) would allow any person to whom a notice of deposition is directed to request that the notice of deposition be quashed. This proposed amendment is intended to promote efficiency in the discovery process because it would allow persons who are noticed for depositions to move to quash at the notice stage, rather than waiting for a party to request the issuance of a subpoena to order attendance.
We also propose to amend the standards governing applications to quash or modify subpoenas. Rule 232(e)(2) provides that the hearing officer or the Commission shall quash or modify a subpoena, or order return upon specified conditions, if compliance with the subpoena would be unreasonable, oppressive or unduly burdensome. As amended, Rule 232(e)(2) would provide that the hearing officer or Commission shall quash or modify a subpoena or notice of deposition, or order return upon specified conditions, if compliance with the subpoena would be unreasonable, oppressive, unduly burdensome, or would unduly delay the hearing. This amendment would require the hearing officer or Commission to consider the delaying effect of compliance with a subpoena or notice of deposition as part of the motion to quash standard and is intended to promote the efficient use of time for discovery during the prehearing period.
Finally, we propose to amend Rule 232(e) to add a new provision that specifies an additional standard governing motions to quash depositions noticed or subpoenaed pursuant to Rule 233(a), as amended. Under new Rule 232(e)(3), the hearing officer or Commission would quash or modify a deposition notice or subpoena filed or issued under Rule 233(a) unless the requesting party demonstrates that the
Rule 232(e)(3) also would require the party requesting the deposition to demonstrate that the proposed deponent is a fact witness,
Rule 232(f) provides for the payment of witness fees and mileage. We propose to add a provision to Rule 232(f) stating that each party is responsible for paying any fees and expenses incurred as a result of deposition or testimony by the expert witness whom that party has designated under Rule 222(b).
Rule 234 contains procedures for taking depositions through the use of written questions. Under Rule 234, a party may make a motion to take a deposition on written questions by filing the questions with the motion. We propose to amend the rule to provide that the moving party may take a deposition on written questions either by stipulation of the parties or by filing a motion demonstrating good cause. This proposed amendment is intended to provide a clear standard under which the hearing officer or Commission would review such a motion, and is consistent with standards for other types of motions articulated under other Rules of Practice.
We seek comments about the proposed amendments to the standards for motions to quash subpoenas and notices for depositions, including the consideration of whether compliance with the subpoena would unduly delay the hearing and the requirement that a proposed deponent must be a fact witness, expert witness under Rule 222(b), or document custodian.
Rule 222
The proposed amendment also would require disclosure of a written report for a witness retained or specially employed to provide expert testimony in the case, or an employee of a party whose duties regularly involve giving expert testimony. The proposed amendment would outline the elements that must be contained in that written report, including a complete statement of all opinions the witness will express and the basis and reasons for them, the facts or data considered by the witness in forming them, any exhibits that will be used to summarize or support them, and a statement of the compensation to be paid for the expert's study and testimony in the case. These proposed amendments are consistent with the requirements for expert witness disclosures and expert reports in the Federal Rules of Civil Procedure and we believe they would promote efficiency in both prehearing discovery and the hearing.
We propose amendments to current Rule 222(b)'s requirement that parties submit a list of other proceedings in which their expert witness has given expert testimony and a list of publications authored or co-authored by their expert witness. As amended, Rule 222(b) would limit the list of proceedings to the previous four years, and would limit the list of publications to the previous ten years.
Rule 141(a)(2)(iv)
We propose to amend this rule to state that service reasonably calculated to give notice includes any method authorized by the Hague Convention on the Service Abroad of Judicial and Extrajudicial Documents; methods prescribed by the foreign country's law for service in that country in an action in its courts of general jurisdiction; or as the foreign authority directs in response to a letter rogatory or letter of request. In addition, under the proposed rules, unless prohibited by the foreign country's law, service may be made by delivering a copy of the order instituting proceedings to the individual personally, or using any form of mail that the Secretary or the interested division addresses and sends to the individual and that requires a signed receipt.
The proposed rule would also allow service by any other means not prohibited by international agreement, as the Commission or hearing officer orders. Like the similar provision in the Federal Rules of Civil Procedure, this provision would cover situations where existing agreements do not apply, or efforts to serve under such agreements are or would not be successful.
In addition to providing clarification that proper service on persons in foreign countries may be made by any of the above methods, the amended rule would provide some certainty regarding whether service of an order instituting proceedings has been effected properly and would allow the Commission to rely on international agreements in which foreign countries have agreed to accept certain forms of service as valid.
We also propose to amend Rule 141(a)(3),
Rule 161
Rule 230(a)
We also propose to amend Rule 230(b) to clarify that the Division may withhold or redact documents that reflect settlement negotiations with persons or entities who are not respondents in the proceeding at issue. This proposed amendment is intended to preserve the confidentiality of settlement discussions and safeguard the privacy of potential respondents with whom the Division has negotiated and is consistent with case law that favors the important public policy interest in candid settlement negotiations.
Rule 220
Rule 235
Rule 320
We propose amendments to certain procedures that govern appeals to the Commission. Rule 410(b)
We propose to amend Rule 410(b) to eliminate both the requirement that a petitioner set forth all the specific findings and conclusions of the initial decision to which exception is taken, and the provision stating that if an exception is not stated, it may be deemed to have been waived by the petitioner. Instead, under amended Rule 410(b), a petitioner would be required to set forth only a summary statement of the issues presented for review. We also propose to add new Rule 410(c) to limit the length of petitions for review to three pages. Incorporation of pleadings or filings by reference would not be permitted.
This proposed amendment is intended to address timing issues and potential inequities in the number of briefs each party is permitted to submit to the Commission. The timing issues arise out of the requirement under Rule 410 that a party must file its petition for review within 21 days after service of the initial decision or 21 days from the date of the hearing officer's order resolving a motion to correct manifest error in an initial decision. This means that during the three-week period immediately following the issuance of the initial decision, a party must decide whether to file a motion to correct manifest error and, if not, whether to appeal. If the party decides to file a petition to appeal, then the petitioner is required under the current rule to quickly determine every exception the petitioner takes with the findings and conclusions in the initial decision, along with supporting reasons. Requiring the petitioner to submit a petition that includes all exceptions and supporting reasons, which may be deemed waived if not raised in the petition, encourages petitioners to file lengthy petitions that provide lists of exceptions with little refinement of the arguments or narrowing of issues to those most significant to the Commission's review. As a result, petitions for review often have exceeded the length of opening briefs later filed in support of a petition for review. In addition, petitions often list exceptions that are later abandoned or unsupported in the opening brief.
The proposed amendment would address these issues by allowing a party to file a petition for review that provides only a brief summary of the issues presented for review under Rule 411(b), which refers to prejudicial errors, findings or conclusions of material fact that are clearly erroneous, conclusions of law that are erroneous, or exercises of discretion or decisions of law or policy that the Commission should review.
Allowing parties to file only a summary statement of the issues on appeal also would address potential briefing inequities in the current rule. As described above, a petitioner often files a lengthy petition for review that is followed, in the typical case, by an opening brief limited to 14,000 words. Essentially, petitioners are afforded two opportunities under the current rule to brief the issues in the case, while under current Rule 450, the opposing party typically may submit only a brief in opposition that is limited to 14,000 words. As a practical matter, that brief in opposition must address not only the arguments explained in the petitioner's opening brief, but also each exception listed in the petition for review. This has the potential to place opposing parties at a disadvantage. The proposed amendment to Rule 410(b) would correct this apparent inequity by requiring a petitioner to make arguments in its opening brief rather than in the petition for review. This also has the benefit of encouraging a petitioner to narrow the issues and explain supporting arguments, while allowing opposing parties to address only those arguments asserted in the petitioner's opening brief.
We propose an amendment to Rule 411(d)
We propose amendments to Rule 450
We also propose amendments to Rule 450(c) to prohibit parties from incorporating pleadings or filings by reference. Under current Rule 450(c), parties are permitted to incorporate pleadings or filings by reference,
We propose amendments to Rule 450(d) to conform to the proposed amendments to Rule 450(c). Rule 450(d) requires parties to certify compliance with the length limitations set forth in Rule 450(c). As amended, Rule 450(d) would no longer refer to pleadings incorporated by reference, and would require parties to certify compliance with the requirements set forth in Rule 450(c), instead of certifying only compliance with the length limitations in Rule 450(c).
Finally, we propose amendments to Rules 420(c)
We propose amendments to Rule 900,
We are proposing that the amended Rules govern any proceeding commenced after the effective date of the amended Rules. We seek comments about whether the amended Rules should be applied, in whole or in part, to proceedings that are pending or have been docketed before or on the effective date, and, if so, the standard for applying any amended Rules to such pending proceedings.
We request and encourage any interested person to submit comments regarding: (1) The time periods for each stage of the proceeding under proposed amendments to Rule 360, (2) the structure and number of depositions provided under proposed amendments to Rule 233, (3) the standards governing an application to quash deposition notices or subpoenas under proposed amendments to Rule 232, (4) the standards governing the admission of evidence, including hearsay, under Rule 320, (5) the assertion of affirmative defenses under Rule 220, (6) the effective date and whether and how any amended rules should apply to proceedings pending on the effective date, (7) the other proposed changes that are the subject of this release, (8) additional or different changes, or (9) other matters that may have an effect on the proposals contained in this release.
The Commission finds, in accordance with Section 553(b)(3)(A) of the Administrative Procedure Act,
We are mindful of the costs and benefits of our rules. In proposing these amendments, we seek to enhance flexibility in the conduct of administrative proceedings while maintaining the facility to efficiently resolve individual matters.
The current rules governing administrative proceedings serve as the baseline against which we assess the economic impacts of these proposed amendments. At present, Commission rules set the prehearing period of a proceeding at approximately four months for a 300-day proceeding and do not permit parties to take depositions solely for the purpose of discovery. Rules governing the testimony of expert witnesses have not been formalized, but the administrative law judges already have required expert reports in proceedings before them.
The scope of the benefits and costs of the proposed rules depends on the expected volume of administrative proceedings. In fiscal year 2014, 230 new administrative proceedings were initiated and not settled immediately. New proceedings initiated and not immediately settled in fiscal years 2013 and 2012 totaled 202 and 207 respectively.
The amendments to Rule 233 and Rule 360, as well as the supporting amendments, may benefit respondents and the Division of Enforcement by providing them with additional time and tools to discover relevant facts and information. The proposed amendment to Rule 233 and supporting amendments would permit respondents and the Division of Enforcement to take depositions by oral examination, permitting a more efficient discovery period. We preliminarily believe that the proposed amendments regarding depositions will provide parties with an opportunity to further develop arguments and defenses, which may narrow the facts and issues to be explored during the hearing. The proposed amendments to Rule 360 would alter the timeline to allow for expanded discovery. We anticipate that the potential for a longer discovery period would allow respondents additional time to review investigative records and to load and then review electronic productions. Together, allowing depositions and providing time for additional discovery should facilitate the information acquisition during the prehearing stage, and may ultimately result in more focused hearings. Furthermore, we preliminarily believe that more information acquisition at the prehearing stage may lead to cost savings to respondents and the Division of Enforcement stemming from the earlier resolution of cases through settlement or shorter, more focused, hearings. We are unable to quantify these benefits, however, as the potential savings would depend on multiple factors, including the complexity of actions brought to administrative proceedings and the impact that the change to discovery may have on settlement terms, which are unknown.
We preliminarily believe that the costs of the proposed amendments will be borne by the Commission as well as respondents in administrative proceedings and witnesses who provide deposition testimony. These costs will primarily stem from the cost of depositions and the additional length of administrative proceedings.
Costs stemming from depositions depend on whether respondents and the Division of Enforcement take depositions for the purpose of discovery and how they choose to participate in these depositions. Costs of depositions include the expenses of travel, attorney's fees, and reporter and transcription expenses. Based on staff experience, we preliminarily estimate the cost to a respondent of conducting one deposition could be approximately $36,840.
The longer potential discovery period permitted by the proposed amendment to Rule 360, while intended to provide sufficient time for parties to engage in discovery, may impose costs on respondents and the Commission. We preliminarily estimate that potentially lengthening the overall administrative proceedings timeline by up to four months to allow more time for discovery may result in additional costs to respondents in a single matter of up to $462,400.
The proposed amendments related to discovery may also affect efficiency in certain cases. To the extent that the proposed amendments facilitate the discovery of relevant facts and information through depositions and extending the time for discovery, they may lead to more expeditious resolution of administrative proceedings, which could enhance the overall efficiency of the Commission's processes. For example, for complex cases that may benefit significantly from the additional information there could be efficiency gains from the proposed rules if the costs associated with the use of depositions are smaller than the value of the information gained from depositions. However, we note that because parties may not take into account the costs that depositions may impose on other entities, a potential consequence of the proposed amendments to Rule 233 and Rule 360 is that parties may engage in more discovery than is efficient. For example, for simple cases which may not benefit significantly from the additional information gained from a deposition, requesting depositions may result in inefficiency by imposing costs on all parties and witnesses involved without any significant informational benefit. However, we preliminarily believe that the supporting proposed amendments to Rule 232 and 233 may mitigate the risk of this efficiency loss by setting forth standards for the issuance of subpoenas and motions to quash depositions and setting a limit on the maximum number of depositions each side may request.
As an alternative to the proposed rules, we could continue to permit depositions only when a witness is unable to testify at a hearing, or propose other limited discovery tools, such as the use of interrogatories or requests for admissions in lieu of depositions. Although alternatives such as interrogatories or admissions may reduce some of the costs of the discovery process (
The proposed amendments to Rule 222 specify the requirements for parties requesting to call expert witnesses. To the extent that the requirements specified in Rule 222 are identical to the current practices of administrative law judges, we do not anticipate any significant economic effects. However, the proposed amendments to Rule 222 may impose costs on parties involved in proceedings before administrative law judges whose current practices differ in any way from the requirements specified in Rule 222.
We preliminarily do not expect any significant economic consequences to stem from proposed amendments to Rules 141, 161, 220, 230, 235, 320, 410, 411, 420, 440, 450, and 900. For Rule 233 and its supporting amendments and Rule 360, we expect that these proposed amendments will have an impact on the efficiency of administrative proceedings but do not expect them to significantly affect the efficiency, competition, or capital formation of securities markets. We also do not expect the proposed amendments to impose a significant burden on competition.
We request comment on all aspects of the economic effects of the proposal, including any anticipated impacts that are not mentioned here. We are particularly interested in comments regarding the expected benefits and costs of the proposed rules, including the specific benefits and costs parties expect to result from the proposed amendments. We are also interested in comments regarding how the amendments may affect the overall length and outcomes of administrative proceedings, and how parties approach administrative proceedings. Additionally, we request quantitative estimates of the benefits and costs on respondents in administrative proceedings and witnesses who provide deposition testimony, in general or for particular types of proceedings. We also request comment on reasonable alternatives to the proposed rules and on any effect the proposed rules may have on efficiency, competition, and capital formation.
These amendments to the Rules of Practice are being proposed pursuant to statutory authority granted to the Commission, including section 3 of the Sarbanes-Oxley Act of 2002, 15 U.S.C. 7202; section 19 of the Securities Act, 15 U.S.C. 77s; sections 4A, 19, and 23 of the Exchange Act, 15 U.S.C. 78d-1, 78s, and 78w; section 319 of the Trust Indenture Act of 1939, 15 U.S.C. 77sss; sections 38 and 40 of the Investment Company Act, 15 U.S.C. 80a-37 and 80a-39; and section 211 of the Investment Advisers Act, 15 U.S.C. 80b-11.
Administrative practice and procedure.
For the reasons set out in the preamble, 17 CFR part 201 is proposed to be amended as follows:
15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 77sss, 77ttt, 78c(b), 78d-1, 78d-2, 78
(a) * * *
(2) * * *
(iv)
(A) Any method specified in paragraph (a)(2) of this section that is not prohibited by the law of the foreign country; or
(B) By any internationally agreed means of service that is reasonably calculated to give notice, such as those authorized by the Hague Convention on the Service Abroad of Judicial and Extrajudicial Documents; or
(C) Any method that is reasonably calculated to give notice
(D) By any other means not prohibited by international agreement, as the Commission or hearing officer orders.
(v)
(3)
(c) * * *
(2) * * *
(iii) The granting of any stay pursuant to this paragraph (c) shall stay the timeline pursuant to § 201.360(a).
(a) * * *
(1)
(i) Exclude that person from such deposition, hearing or conference, or any portion thereof; and/or
(2)
(a)
(b)
(c)
(d)
(e)
(f)
(c)
(1) Simplification and clarification of the issues;
(2) Exchange of witness and exhibit lists and copies of exhibits;
(3) Timing of disclosure of expert witness disclosures and reports, if any;
(4) Stipulations, admissions of fact, and stipulations concerning the contents, authenticity, or admissibility into evidence of documents;
(5) Matters of which official notice may be taken;
(6) The schedule for exchanging prehearing motions or briefs, if any;
(7) The method of service for papers other than Commission orders;
(8) Summary disposition of any or all issues;
(9) Settlement of any or all issues;
(10) Determination of hearing dates;
(11) Amendments to the order instituting proceedings or answers thereto;
(12) Production of documents as set forth in § 201.230, and prehearing
(13) Specification of procedures as set forth in § 201.202;
(14) Depositions to be conducted, if any, and date by which depositions shall be completed; and
(15) Such other matters as may aid in the orderly and expeditious disposition of the proceeding.
(b)
(i) A complete statement of all opinions the witness will express and the basis and reasons for them;
(ii) The facts or data considered by the witness in forming them;
(iii) Any exhibits that will be used to summarize or support them; and
(iv) A statement of the compensation to be paid for the study and testimony in the case.
(2)
(ii) Communications between a party's attorney and the party's expert witness who is identified under this section need not be furnished regardless of the form of the communications, except if the communications relate to compensation for the expert's study or testimony, identify facts or data that the party's attorney provided and that the expert considered in forming the opinions to be expressed, or identify assumptions that the party's attorney provided and that the expert relied on in forming the opinions to be expressed.
The revision and additions read as follows:
(b)
(1) * * *
(iv) The document reflects only settlement negotiations between the Division of Enforcement and a person or entity who is not a respondent in the proceeding; or
(2) Unless the hearing officer orders otherwise upon motion, the Division of Enforcement may redact information from a document if:
(i) The information is among the categories set forth in paragraphs (b)(1)(i) through (v) of this section; or
(ii) The information consists of the following with regard to a person other than the respondent to whom the information is being produced:
(A) An individual's social-security number;
(B) An individual's birth date;
(C) The name of an individual known to be a minor; or
(D) A financial account number, taxpayer-identification number, credit card or debit card number, passport number, driver's license number, or state-issued identification number other than the last four digits of the number.
(a)
(c)
(d)
(e)
(2)
(3)
(i) The proposed deponent was a witness of or participant in any event, transaction, occurrence, act, or omission that forms the basis for any claim asserted by the Division of Enforcement, or any defense asserted by any respondent in the proceeding (this excludes a proposed deponent whose only knowledge of relevant facts about claims or defenses of any party arises from the Division of Enforcement's investigation or the proceeding);
(ii) The proposed deponent is a designated as an “expert witness” under § 201.222(b); provided, however, that the deposition of an expert who is required to submit a written report under § 201.222(b) may only occur after such report is served; or
(iii) The proposed deponent has custody of documents or electronic data relevant to the claims or defenses of any party (this excludes Division of Enforcement or other Commission officers or personnel who have custody of documents or data that was produced by the Division to the respondent).
(f)
(a)
(1) If the proceeding involves a single respondent, the respondent may file written notices to depose no more than three persons, and the Division of Enforcement may file written notices to depose no more than three persons. No other depositions shall be permitted, except as provided in paragraph (b) of this section;
(2) If the proceeding involves multiple respondents, the respondents collectively may file joint written notices to depose no more than five persons, and the Division of Enforcement may file written notices to depose no more than five persons. The depositions taken under this paragraph (a)(2) shall not exceed a total of five depositions for the Division of Enforcement, and five depositions for all respondents collectively. No other depositions shall be permitted except as provided in paragraph (b) of this section;
(3) A deponent's attendance may be ordered by subpoena issued pursuant to the procedures in § 201.232; and
(4) The Commission or hearing officer may rule on a motion by a party that a deposition shall not be taken upon a determination under § 201.232(e). The fact that a witness testified during an investigation does not preclude the deposition of that witness.
(b)
(c)
(1) The name and address of the witness whose deposition is to be taken;
(2) The scope of the testimony to be taken;
(3) The time and place of the deposition; provided that a subpoena for a deposition may command a person to attend a deposition only as follows:
(A) Within 100 miles of where the person resides, is employed, or regularly transacts business in person;
(B) Within the state where the person resides, is employed, or regularly transacts business in person, if the person is a party or a party's officer;
(C) At such other location that the parties and proposed deponent stipulate; or
(D) At such other location that the hearing officer or the Commission determines is appropriate; and
(4) The manner of recording and preserving the deposition.
(d)
(e)
(2)
(f)
(g)
(i) The deposition officer's name and business address;
(ii) The date, time, and place of the deposition;
(iii) The deponent's name;
(iv) The deposition officer's administration of the oath or affirmation to the deponent; and
(v) The identity of all persons present.
(2)
(3)
(h)
(2)
(i)
(2)
(i) Before the deposition begins; or
(ii) Promptly after the basis for disqualification becomes known or, with reasonable diligence, could have been known.
(3)
(ii)
(A) It relates to the manner of taking the deposition, the form of a question or answer, the oath or affirmation, a party's conduct, or other matters that might have been corrected at that time; and
(B) It is not timely made during the deposition.
(4)
(j)
(2)
(ii)
(k)
(i) To review the transcript or recording; and
(ii) If there are changes in form or substance, to sign a statement listing the changes and the reasons for making them.
(2)
(
(2)
(A) Offer copies to be marked, attached to the deposition, and then
(B) Give all parties a fair opportunity to inspect and copy the originals after they are marked—in which event the originals may be used as if attached to the deposition.
(ii)
(3)
(a)
(c)
(a) At a hearing, any person wishing to introduce a prior, sworn deposition taken pursuant to § 201.233 or § 201.234, investigative testimony, or other sworn statement or a declaration pursuant to 28 U.S.C. 1746, of a witness, not a party, otherwise admissible in the proceeding, may make a motion setting forth the reasons therefor. If only part of a statement or declaration is offered in evidence, the hearing officer may require that all relevant portions of the statement or declaration be introduced. If all of a statement or declaration is offered in evidence, the hearing officer may require that portions not relevant to the proceeding be excluded. A motion to introduce a prior sworn statement or declaration may be granted if:
(2) The witness is out of the United States, unless it appears that the absence of the witness was procured by the party offering the prior sworn statement or declaration;
(5) In the discretion of the Commission or the hearing officer, it would be desirable, in the interests of justice, to allow the prior sworn statement or declaration to be used. In making this determination, due regard shall be given to the presumption that witnesses will testify orally in an open hearing. If the parties have stipulated to accept a prior sworn statement or declaration in lieu of live testimony, consideration shall also be given to the convenience of the parties in avoiding unnecessary expense.
(b)
(a) Except as otherwise provided in this section, the Commission or the hearing officer may receive relevant evidence and shall exclude all evidence that is irrelevant, immaterial, unduly repetitious, or unreliable.
(b) Subject to § 201.235, evidence that constitutes hearsay may be admitted if it is relevant, material, and bears satisfactory indicia of reliability so that its use is fair.
(a) * * *
(2)
(ii)
(3)
(ii) Either in addition to a certification of extension, or instead of a certification of extension, the Chief Administrative Law Judge may submit a motion to the Commission requesting an extension of the time period for filing the initial decision. First, the hearing officer presiding over the proceeding must consult with the Chief Administrative Law Judge. Following such consultation, the Chief Administrative Law Judge may determine, in his or her discretion, to submit a motion to the Commission requesting an extension of the time period for filing the initial decision. This motion may request an extension of any length but must be filed no later than 15 days prior to the expiration of the time specified in the certification of extension, or if there is no certification of extension, 30 days prior to the expiration of the time specified in the order instituting proceedings. The motion will be served upon all parties in the proceeding, who may file with the Commission statements in support of or in opposition to the motion. If the Commission determines that additional time is necessary or appropriate in the public interest, the Commission shall issue an order extending the time period for filing the initial decision.
(iii) The provisions of this paragraph (a)(3) confer no rights on respondents.
(b)
(b)
(c)
(d)
(c) * * * Any exception to a determination not supported in an opening brief that complies with § 201.450(b) may, at the discretion of the Commission, be deemed to have been waived by the applicant.
(b)
(b)
(c)
(d)
(a)
(i) To the extent possible, a decision by the Commission on review of an interlocutory matter should be completed within 45 days of the date set for filing the final brief on the matter submitted for review.
(ii) To the extent possible, a decision by the Commission on a motion to stay a decision that has already taken effect or that will take effect within five days of the filing of the motion, should be issued within five days of the date set for filing of the opposition to the motion for a stay. If the decision complained of has not taken effect, the Commission's decision should be issued within 45 days of the date set for filing of the opposition to the motion for a stay.
(iii) Ordinarily, a decision by the Commission with respect to an appeal from the initial decision of a hearing officer, a review of a determination by a self-regulatory organization or the Public Company Accounting Oversight Board, or a remand of a prior Commission decision by a court of appeals will be issued within eight months from the completion of briefing on the petition for review, application for review, or remand order. If the Commission determines that the complexity of the issues presented in a petition for review, application for review, or remand order warrants additional time, the decision of the Commission in that matter may be issued within 10 months of the completion of briefing.
(iv) If the Commission determines that a decision by the Commission cannot be issued within the period specified in paragraph (a)(1)(iii), the Commission may extend that period by orders as it deems appropriate in its discretion. The guidelines in this paragraph (a) confer no rights or entitlements on parties or other persons.
(2) The guidelines in this paragraph (a) do not create a requirement that each portion of a proceeding or the entire proceeding be completed within the periods described. Among other reasons, Commission review may require additional time because a matter is unusually complex or because the record is exceptionally long. In addition, fairness is enhanced if the Commission's deliberative process is not constrained by an inflexible schedule. In some proceedings, deliberation may be delayed by the need to consider more urgent matters, to permit the preparation of dissenting opinions, or for other good cause. The guidelines will be used by the Commission as one of several criteria in monitoring and evaluating its adjudicatory program. The guidelines will be examined periodically, and, if necessary, readjusted in light of changes in the pending caseload and the available level of staff resources.
(b)
(c)
By the Commission.
Office of Surface Mining Reclamation and Enforcement, Interior.
Proposed rule; public comment period and opportunity for public hearing on proposed amendment.
We, the Office of Surface Mining Reclamation and Enforcement (OSMRE), are announcing receipt of a proposed amendment to the Alabama regulatory program (Alabama program) under the Surface Mining Control and Reclamation Act of 1977 (SMCRA or the Act). Alabama proposes revisions to its Program by clarifying that the venue for appeals of Alabama Surface Mining Commission decisions resides in the Circuit Court of the county in which the agency maintains its principal office.
This document gives the times and locations that the Alabama program and proposed amendment to that program are available for your inspection, the comment period during which you may submit written comments on the amendment, and the procedures that we will follow for the public hearing, if one is requested.
We will accept written comments on this amendment until 4:00 p.m., c.d.t., November 4, 2015. If requested, we will hold a public hearing on the amendment on October 30, 2015. We will accept requests to speak at a hearing until 4:00 p.m., c.d.t. on October 20, 2015.
You may submit comments, identified by SATS No. AL-078-FOR by any of the following methods:
•
•
•
Sherry Wilson, Director, Birmingham Field Office, Office of Surface Mining Reclamation and Enforcement, 135 Gemini Circle, Suite 215, Homewood, Alabama 35209, Telephone: (205) 290-7282, Email:
In addition, you may review a copy of the amendment during regular business hours at the following location: Alabama Surface Mining Commission, 1811 Second Ave., P.O. Box 2390, Jasper, Alabama 35502-2390, Telephone: (205) 221-4130.
Sherry Wilson, Director, Birmingham Field Office. Telephone: (205) 290-7282. Email:
Section 503(a) of the Act permits a State to assume primacy for the regulation of surface coal mining and reclamation operations on non-Federal and non-Indian lands within its borders by demonstrating that its program includes, among other things, “a State law which provides for the regulation of surface coal mining and reclamation operations in accordance with the requirements of this Act . . . ; and rules and regulations consistent with regulations issued by the Secretary pursuant to this Act.” See 30 U.S.C. 1253(a)(1) and (7). On the basis of these criteria, the Secretary of the Interior conditionally approved the Alabama program effective May 20, 1982. You can find background information on the Alabama program, including the Secretary's findings, the disposition of comments, and the conditions of approval of the Alabama program in the May 20, 1982,
By letter dated June 12, 2015 (Administrative Record No. AL-0666), Alabama sent us an amendment to its program under SMCRA (30 U.S.C. 1201
Alabama proposes to add new language to clarify that procedures under this section shall take precedence over the Alabama Administrative Procedure Act, which shall in no respect apply to proceedings arising under this article.
Alabama, at Section 9-16-79(4)b., proposes to make edits and add new language, clarifying that the venue for appeals of Alabama Surface Mining Commission decisions resides in the Circuit Court of the county in which the agency maintains its principal office.
Under the provisions of 30 CFR 732.17(h), we are seeking your comments on whether the amendment
If you submit written comments, they should be specific, confined to issues pertinent to the proposed regulations, and explain the reason for any recommended change(s). We appreciate any and all comments, but those most useful and likely to influence decisions on the final regulations will be those that either involve personal experience or include citations to and analyses of SMCRA, its legislative history, its implementing regulations, case law, other pertinent State or Federal laws or regulations, technical literature, or other relevant publications.
We cannot ensure that comments received after the close of the comment period (see
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.
If you wish to speak at the public hearing, contact the person listed under
To assist the transcriber and ensure an accurate record, we request, if possible, that each person who speaks at the public hearing provide us with a written copy of his or her comments. The public hearing will continue on the specified date until everyone scheduled to speak has been given an opportunity to be heard. If you are in the audience and have not been scheduled to speak and wish to do so, you will be allowed to speak after those who have been scheduled. We will end the hearing after everyone scheduled to speak and others present in the audience who wish to speak, have been heard.
If only one person requests an opportunity to speak, we may hold a public meeting rather than a public hearing. If you wish to meet with us to discuss the amendment, please request a meeting by contacting the person listed under
This rule is exempted from review by the Office of Management and Budget (OMB) under Executive Order 12866.
When a State submits a program amendment to OSMRE for review, our regulations at 30 CFR 732.17(h) require us to publish a notice in the
Intergovernmental relations, Surface mining, Underground mining.
Environmental Protection Agency (EPA).
Proposed rule.
The Environmental Protection Agency (EPA) is proposing to approve revisions to the Antelope Valley Air Quality Management District (AVAQMD) portion of the California State Implementation Plan (SIP). These revisions concern volatile organic compound (VOC) emissions from graphic arts facilities and aerospace assembly and component manufacturing operations. The EPA is proposing to approve local rules to regulate these emission sources under the Clean Air Act (CAA or the Act). These revisions also address rescission of two rules no longer required, and approval of administrative revisions to the emergency episode plan requirements.
Any comments on this proposal must arrive by November 4, 2015.
Submit comments, identified by docket number [EPA-R09-OAR-2015-0510, by one of the following methods:
1.
2.
3.
Vanessa Graham, EPA Region IX, (415) 947-4120,
This proposal addresses the following local rules: AVAQMD 701—Air Pollution Emergency Contingency Actions, rescission of AVAQMD 1110—Emissions from Stationary Internal Combustion Engines (Demonstration), AVAQMD 1124—Aerospace Assembly and Component Manufacturing Operations, rescission of AVAQMD 1128—Paper, Fabric and Film Coating Operations, and AVAQMD 1130—Graphic Arts. In the Rules and Regulations section of this
The EPA does not plan to open a second comment period, so anyone interested in commenting should do so at this time. If the EPA does not receive adverse comments, no further activity is planned. For further information, please see the direct final action.
Environmental Protection Agency (EPA).
Proposed rule.
EPA is proposing to approve a revision to the Feather River Air Quality Management District (FRAQMD) portion of the California State Implementation Plan (SIP). This revision concerns a permitting rule that regulates construction and modifications of major stationary sources of air pollution. The revisions correct deficiencies in FRAQMD Rule 10.1, New Source Review, previously identified by EPA in a final rule dated September 24, 2013. We are proposing to approve revisions that correct the identified deficiencies.
Any comments must arrive by November 4, 2015.
Submit comments, identified by docket number EPA-R09-OAR-2015-0542, by one of the following methods:
1.
2.
3.
Lornette Harvey, EPA Region IX, (415) 972-3498,
This proposal addresses FRAQMD Rule 10.1, New Source Review. In the Rules and Regulations section of this
We do not plan to open a second comment period, so anyone interested in commenting should do so at this time. If we do not receive adverse comments, no further activity is planned. For further information, please see the direct final action.
Environmental Protection Agency (EPA).
Proposed rule.
Under the Clean Air Act, the Environmental Protection Agency (EPA) is proposing to approve a revision to the Illinois State Implementation Plan. The revision amends the Illinois Administrative Code by updating the definition of volatile organic material or volatile organic compounds to exclude 2,3,3,3-tetrafluoropropene. This revision is in response to an EPA rulemaking in 2013 which exempted this compound from the Federal definition of volatile organic compounds on the basis that the compound makes a negligible contribution to tropospheric ozone formation.
Comments must be received on or before November 4, 2015.
Submit your comments, identified by Docket ID No. EPA-R05-OAR-2015-0008, by one of the following methods:
1.
2.
3.
4.
5.
Please see the direct final rule which is located in the Rules section of this
Anthony Maietta, Environmental Protection Specialist, Control Strategies Section, Air Programs Branch (AR-18J), Environmental Protection Agency, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604, (312) 353-8777
In the Final Rules section of this
Environmental Protection Agency (EPA).
Proposed rule.
The Environmental Protection Agency (EPA) is proposing to approve a revision to the West Virginia Title V Operating Permit Program submitted by the State of West Virginia on June 17, 2015. The West Virginia Title V Operating Permit Program is implemented through its “Requirement for Operating Permits” rule, codified at Title 45, Series 30 of the West Virginia Code of State Regulations (45CSR30). The June 17, 2015 revision amends West Virginia 45CSR30 to increase the annual Title V operating permit fees collected by the West Virginia Department of Environmental Protection (WVDEP). The Title V Operating Permit fees paid annually by individual Title V operating permit holders are used by the WVDEP to implement and oversee the West Virginia Title V Operating Permit Program. This action is being taken under section 502 of the Clean Air Act (CAA).
Written comments must be received on or before November 4, 2015.
Submit your comments, identified by Docket ID Number EPA-R03-OAR-2015-0594 by one of the following methods:
A.
B.
C.
D.
Paul Wentworth, (215) 814-2183, or by email at
EPA granted full approval of the West Virginia Title V Operating Permit Program effective November 19, 2001.
West Virginia's initial Title V permit emission fee, established in 1994 at 45CSR30.8, was $18 per ton of regulated pollutant as emitted by individual sources subject to the West Virginia Title V Operating Permit Program. Subject sources are not required to pay annual fees for emissions in excess of 4,000 tons per year. West Virginia's fee has been not been increased or adjusted since 1994.
West Virginia has determined that its Title V annual emission fee revenues collected are no longer sufficient to cover the cost of implementing and overseeing the West Virginia Title V Operating Permit Program. Installation of air pollution control technology over the past two decades on major stationary sources, the retirement or curtailment of operations by major sources, and the conversion at many major facilities from burning coal or oil to burning natural gas have resulted in significant reductions in the emission of regulated pollutants that are subject to annual emission fees. Thus, the amount of annual Title V Operating Permit fees West Virginia has collected has decreased dramatically.
Therefore, West Virginia amended its fee provisions at 45CSR30.8 to increase the annual emission fee from $18 per ton to $25 per ton of regulated pollutant as emitted by individual sources subject to the West Virginia Title V Operating Permit Program. Fees remain capped at 4,000 tons per year from an individual source. West Virginia has submitted this program revision for review and action by EPA.
In the June 17, 2015 program revision submittal, West Virginia included revisions to 45CSR30.8 which was amended to increase West Virginia's annual emission fees for its Title V Operating Permit Program. Annual fees are increased to $25 per ton of emissions of a regulated pollutant from an individual source subject to the West Virginia Title V Operating Permit Program. The previous rate was $18 per ton of regulated pollutant. Fees are capped at 4,000 tons per year from an individual source. The revised fee rate is designed to cover all reasonable costs required to implement and administer the West Virginia Title V Operating Permit Program as required by 40 CFR 70.9(a) and (b). These costs include those for activities such as: Reviewing and processing preconstruction and operating permits, conducting inspections, responding to complaints and pursuing enforcement actions, emissions and ambient air monitoring, preparing applicable regulations and guidance, modeling, analyses, demonstrations, emission inventories, and tracking emissions.
Without this fee increase, West Virginia anticipates funds will not be sufficient to adequately sustain its Title V Operating Permit Program in a manner that is consistent with state and Federal requirements. If funds were to become insufficient to sustain an adequate Title V program in West Virginia, EPA may determine that West Virginia has not taken “significant action to assure adequate administration and enforcement of the Program” and take subsequent action as required under 40 CFR 70.10(b) and (c) which could lead to EPA withdrawal of approval of the West Virginia Title V Operating Permit Program. Were that to occur, EPA would have the authority and obligation to implement a Federal Title V operating permit program in West Virginia pursuant to 40 CFR part 71. The withdrawal of program approval could also lead to the imposition of mandatory and discretionary sanctions under the CAA.
The June 17, 2015 Title V Operating Permit Program revision consists of amendments to West Virginia's rules which establish annual emission fees under Title V of the CAA. This rulemaking proposes approval of West Virginia's increase of the annual Title V fees paid by the owner or operator of a Title V facility in West Virginia from $18 per ton of regulated air pollutant to $25 per ton because the revision meets requirements in section 502 of the CAA and 40 CFR 70.9 for the collection of sufficient Title V fees to cover permit program implementation and oversight costs. The emission fees apply to emissions up to 4,000 tons of any regulated pollutant. The proposed revision does not establish a fee structure for carbon dioxide or other greenhouse gases (GHGs). EPA's rules do not mandate revisions to state Title V programs to account for GHG emissions.
Pursuant to 40 CFR 70.4(i)(2), EPA is proposing to approve a revision to the West Virginia Title V Operating Permit Program submitted on June 17, 2015 to increase the annual Title V fees paid by the owners or operators of all facilities required to obtain an operating permit under the West Virginia Title V Operating Permit Program. The revision meets the relevant requirements of section 502 of the CAA and 40 CFR 70.9. EPA is soliciting public comments on the issues discussed in this document. These comments will be considered before taking final action.
This proposed action merely proposes to approve state law as meeting Federal requirements and imposes no additional requirements beyond those imposed by state law. For that reason, this proposed action:
• Is not a “significant regulatory action” subject to review by the Office
• Does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501
• Is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
• Does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);
• Does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);
• Is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);
• Is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);
• Is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the CAA; and
• Does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).
In addition, this proposed approval of the revision to West Virginia's Title V Operating Permit Program which increases permit fees does not have tribal implications as specified by Executive Order 13175 (65 FR 67249, November 9, 2000), because the program is not approved to apply in Indian country located in the state, and EPA notes that it will not impose substantial direct costs on tribal governments or preempt tribal law.
Environmental protection, Administrative practice and procedure, Air pollution control, Carbon monoxide, Incorporation by reference, Intergovernmental relations, Lead, Nitrogen dioxide, Ozone, Particulate matter, Reporting and recordkeeping requirements, Sulfur oxides, Volatile organic compounds.
42 U.S.C. 7401
Federal Communications Commission.
Petition for reconsideration; reopening of comment periods.
In this document, the Federal Communications Commission (Commission) reopens the comment periods for oppositions and replies to oppositions to CTIA—The Wireless Association (CTIA)'s Petition for Partial Reconsideration of the Commission's Order on Reconsideration requiring Eligible Telecommunications Carriers (ETCs) to retain documentation demonstrating subscriber eligibility for the Lifeline Program.
The comment periods for the petition for reconsideration published on September 2, 2015 (80 FR 53088), are reopened. Opposition Filing Deadline is October 8, 2015. Replies to Opposition Filing Deadline is October 19, 2015.
You may submit oppositions, identified by WC Docket Nos. 11-42, 09-197 or 10-90, by any of the following methods:
•
•
Christopher Cook, Wireline Competition Bureau at (202) 418-7400 or TTY (202) 418-0484.
This is a synopsis of the Wireline Competition Bureau's document in WC Docket Nos. 11-42, 09-197 and 10-90; DA 15-1036, released September 16, 2015. The complete text of these documents are available for inspection and copying during normal business hours in the FCC Reference Information Center, Portals II, 445 12th Street SW., Room CY-A257, Washington, DC 20554 or at the following Internet address:
1. On June 18, 2015, the Federal Communications Commission adopted an Order on Reconsideration (Order on Reconsideration) in which, among other matters, the Commission required eligible telecommunications carriers (ETCs) to retain documentation demonstrating subscriber eligibility for the Lifeline Program. On August 13, 2015, CTIA—The Wireless Association (CTIA) filed a Petition for Partial Reconsideration of the Commission's Order on Reconsideration.
2. On August 26, 2015, a Public Notice was issued announcing that any oppositions to the CTIA Petition must be filed within 15 days of public notice of the CTIA Petition in the
3. On September 9, 2015, the Center for Democracy & Technology, Free Press, New America Foundation's Open Technology Institute, and Public Knowledge (Requestors) jointly filed a motion to extend the established opposition filing deadline for the CTIA Petition by 30 days. In support of their motion, the Requestors point out that certain of the comments that were recently filed pursuant to the Commission's Second Further Notice of Proposed Rulemaking (Second FNPRM) in the above captioned proceeding specifically raise issues that are relevant to the CTIA Petition. The Requestors also argue that a 30-day extension is in the public interest because a number of reply comments may be filed on issues relevant to the CTIA Petition by the September 30th deadline. The Requestors also cite the Commission's recent IT-modernization efforts, which made some already-filed comments inaccessible to the public for several days, and intervening holidays as circumstances that help to justify an extension in this case.
4. The Commission does not routinely grant extensions of time. Here, however, the Requestors have pointed to a potential relationship between issues addressed in the CTIA Petition and
5. Accordingly,
Foreign Agricultural Service, USDA.
Notification of invocation of special agricultural safeguard duty on imports of butter and fresh or sour cream containing over 45 percent by weight of butterfat.
After reviewing the volume of butter imports (including fresh or sour cream containing over 45 percent by weight of butterfat), the Administrator of the Foreign Agricultural Service has determined that the yearly special safeguard trigger level has been met and a special safeguard duty on certain imports of butter and fresh or sour cream will be imposed effective from the date of this notification through December 31, 2015. This additional duty, as described in subheadings 9904.04.20 and 9904.04.21 of the Harmonized Tariff Schedule of the United States (HTS), will be applicable to butter and fresh or sour cream imported under HTS subheadings 0401.50.75, 0403.90.78, and 0405.10.20.
Effective October 5, 2015 through December 31, 2015.
Ron Lord, Import Policies and Export Reporting Division, Stop 1021, Foreign Agricultural Service, U.S. Department of Agriculture, 1400 Independence Avenue SW., Washington, DC 20250-1022, or telephone (202) 720-6939.
U.S. Notes 1 and 2 to Subchapter IV, Chapter 99, of the Harmonized Tariff Schedule of the United States (HTS) contain safeguard measures established pursuant to Article 5 of the World Trade Organization (WTO) Agreement on Agriculture, as approved pursuant to Section 101 of the Uruguay Round Agreements Act (Pub. L. 103-465). These safeguard measures include the imposition of additional duties based upon the volume of butter and fresh or sour cream imports into the United States. Subheadings 9904.04.20 and 9904.04.21 of the HTS provide for the imposition of additional safeguard duties for butter and fresh or sour cream upon notification in the
Section 405(a) of the Uruguay Round Agreements Act requires, among other things, that the President shall determine and cause to be published in the
Further to the application of such special agricultural safeguard duties, the President proclaimed on December 23, 1994 (Presidential Proclamation No. 6763) the provisions of U.S. Notes 1 and 2 to Subchapter IV, Chapter 99, of the HTS as well as the automatically applicable safeguard duties set forth in such subchapter upon satisfaction of the requisite conditions. Such U.S. Notes 1 and 2 set forth the other terms and conditions for application of any such duty.
As also provided in Presidential Proclamation 6763, the President delegated to the Secretary of Agriculture the authority to make the determinations and effect the publications described in section 405(a) of the Uruguay Round Agreements Act. The Secretary of Agriculture has further delegated this authority to the Under Secretary for Farm and Foreign Agricultural Services (7 CFR 2.16(a)(3)(x1ii)), who has in turn further delegated the authority to determine the quantity trigger levels to the Administrator of the Foreign Agricultural Service (7 CFR 2.43(a)(42)). The Administrator determined that the 2015 trigger level for butter and fresh or sour cream is 9,414,976 kilograms (80 FR 36962, June 29, 2015).
The Administrator has determined that the amount of butter and fresh or sour cream imported during 2015 has exceeded the trigger level of 9,414,976 kilograms. In accordance with U.S. Notes 1 and 2, Subchapter IV, Chapter 99 of the HTS and HTS subheadings 9904.04.20 and 9904.04.21, an additional duty of 54.9 cents per kilogram shall apply to HTS subheadings 0401.50.75 and 0403.90.78, and an additional duty of 51.4 cents per kilogram shall apply to HTS subheading 0405.10.20, from the date of publication of this notice through December 31, 2015.
As provided in U.S. Note 1, goods of Canada, Mexico, Jordan, Singapore, Chile, Australia, Morocco, El Salvador, Honduras, Nicaragua, Guatemala, Bahrain, Dominican Republic, Costa Rica, Peru, Oman, Korea, Colombia, and Panama imported into the United States are not subject to such duty. As provided in U.S. Note 2, this duty shall not apply to any goods en route on the basis of a contract settled before the date of publication of this notice.
Forest Service, USDA.
Notice of meeting.
The Pike & San Isabel Resource Advisory Committee (RAC) will meet in Pueblo, Colorado. 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 at 9:00 a.m. (MST) on November 12, 2015.
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 Pike & San Isabel National Forests, Cimarron & Comanche National Grasslands (PSICC) Supervisor's Office, 2840 Kachina Drive, Pueblo, Colorado. The public may access the meeting by attending a Video Teleconference (VTC) at the following U.S. Forest Service facilities in Colorado: Leadville, Salida, Fairplay and Ft. Collins.
Written comments may be submitted as described under
Barbara Timock, RAC Coordinator, by phone at 719-553-1415 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. Review project proposals;
2. Vote and recommend projects;
3. Public comment; and
4. Elect Chairman and Vice Chairman
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 in writing by November 2, 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 to make oral comments must be sent to Barbara Timock, RAC Coordinator, 2840 Kachina Drive, Pueblo, Colorado; by email to
Rural Utilities Service, USDA.
Notice and request for comments.
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended), the Rural Utilities Service (RUS) invites comments on this information collection for which approval from the Office of Management and Budget (OMB) will be requested.
Comments on this notice must be received by December 4, 2015.
Thomas P. Dickson, Acting Director, Program Development and Regulatory Analysis, USDA-RUS, 1400 Independence Ave. SW., STOP 1522, Room 5164 South Building, Washington, DC 20250-1522. Telephone: (202) 690-4492. Fax: (202) 720-8435.
The Office of Management and Budget's (OMB) regulation (5 CFR 1320) implementing provisions of the Paperwork Reduction Act of 1995 (Pub. L. 104-13) requires that interested members of the public and affected agencies have an opportunity to comment on information collection and recordkeeping activities (see 5 CFR 1320.8(d)). This notice identifies an information collection that RUS is submitting to OMB for extension. 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 of the proposed collection of information including the validity of the methodology and assumptions used; (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 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. Comments may be sent to: Thomas P. Dickson, Acting Director, Program Development and Regulatory Analysis, USDA-RUS, STOP 1522, 1400 Independence Ave. SW., Washington, DC 20250-1522. Fax: (202) 720-8435.
Rural Utilities Service, USDA.
Notice and request for comments.
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended), the United States Department of Agriculture (USDA) Rural Development administers rural utilities programs through the Rural Utilities Service (RUS). The USDA Rural Development invites comments on the following information collections for which the Agency intends to request approval from the Office of Management and Budget (OMB).
Comments on this notice must be received by December 4, 2015.
Thomas P. Dickson, Acting Director, Program Development and Regulatory Analysis, USDA Rural Development, 1400 Independence Ave. SW., STOP 1522, Room 5164, South Building, Washington, DC 20250-1522. Telephone: (202) 690-4492. Fax: (202) 720-8435.
The Office of Management and Budget's (OMB) regulation (5 CFR 1320) implementing provisions of the Paperwork Reduction Act of 1995 (Pub. L. 104-13) requires that interested members of the public and affected agencies have an opportunity to comment on information collection and recordkeeping activities [see 5 CFR 1320.8(d)]. This notice identifies information collections that RUS is submitting to OMB for extension. Comments are invited on: (a) Whether this 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 of the proposed collection of information including the validity of the methodology and assumptions used; (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 appropriate automated, electronic, mechanical or other technological collection techniques or other forms of information technology. Comments may be sent to: Michele Brooks, Director, Program Development and Regulatory Analysis, USDA Rural Development, STOP 1522, 1400 Independence Ave. SW., Washington, DC 20250-1522. Fax: (202) 720-8435.
Thursday, October 8, 2015, 8:30 a.m.-11:15 a.m. EDT.
Middle East Broadcasting Networks, Suite D, 7600 Boston Blvd., Springfield, VA 22153.
Notice of Meeting of the Broadcasting Board of Governors.
The Broadcasting Board of Governors (Board) will be meeting at the time and location listed above. The Board will vote on a consent agenda consisting of the minutes of its July 1, 2015 meeting, a resolution honoring the 65th anniversary of Radio Free Europe/Radio Liberty broadcasting in the Romanian language to Romania and Moldova, a resolution honoring the 60th anniversary of Voice of America's Khmer Service, a resolution on 2015 David Burke Distinguished Journalism Awards, and a resolution on BBG meeting dates in 2016. The Board will receive a report from Governor Matt Armstrong on his recent trip and a report from the Chief Executive Officer and Director of BBG. The Board will also receive a review of the Middle East Broadcasting Networks. The Board will convene a panel discussion featuring Under Secretary Richard Stengel and BBG Chief Executive Officer and Director John Lansing.
This meeting will be available for public observation via streamed webcast, both live and on-demand, on the agency's public Web site at
The public may also attend this meeting in person at the address listed above as seating capacity permits. Members of the public seeking to attend the meeting in person must register at
Persons interested in obtaining more information should contact Oanh Tran at (202) 203-4545.
United States Commission on Civil Rights.
Solicitation of applications.
Because the terms of the members of the Mississippi Advisory Committee are expiring on January 23, 2016, the United States Commission on Civil Rights hereby invites any individual who is eligible to be appointed to apply. The memberships are exclusively for the Mississippi Advisory Committee, and applicants must be residents of Mississippi to be considered. Letters of interest must be received by the Midwestern Regional Office of the U.S. Commission on Civil Rights no later than November 29, 2015. Letters of interest must be sent to the address listed below.
Letters of interest for membership on the Mississippi Advisory Committee should be received no later than November 29, 2015.
Send letters of interest for the Mississippi Advisory Committee to: U.S. Commission on Civil Rights, Midwestern Regional Office, 55 W. Monroe Street, Suite 410, Chicago, IL 60603. Letters can also be sent via email to
David Mussatt, Chief, Regional Programs Unit, 55 W. Monroe St., Suite 410, Chicago, IL 60603, (312) 353-8311. Questions can also be directed via email to
The Mississippi Advisory Committee is a statutorily mandated federal advisory committee of the U.S. Commission on Civil Rights pursuant to 42 U.S.C. 1975a. Under the charter for the advisory committees the purpose is to provide advice and recommendations to the U.S. Commission on Civil Rights (Commission) on a broad range of civil rights matters in its respective state that pertain to alleged deprivations of voting rights or discrimination or denials of equal protection of the laws because of race, color, religion, sex, age, disability, or national origin, or the administration of justice. Advisory committees also provide assistance to the Commission in its statutory obligation to serve as a national clearinghouse for civil rights information.
Each advisory committee consists of not more than 19 members, each of whom will serve a four-year term. Members serve as unpaid Special Government Employees who are reimbursed for travel and expenses. To be eligible to be on an advisory committee, applicants must be residents of the respective state or district, and have demonstrated expertise or interest in civil rights issues.
The Commission is an independent, bipartisan agency established by Congress in 1957 to focus on matters of race, color, religion, sex, age, disability, or national origin. Its mandate is to:
• Investigate complaints from citizens that their voting rights are being deprived,
• study and collect information about discrimination or denials of equal protection under the law,
• appraise federal civil rights laws and policies,
• serve as a national clearinghouse on discrimination laws,
• submit reports and findings and recommendations to the President and the Congress, and
• issue public service announcements to discourage discrimination.
The Commission invites any individual who is eligible to be appointed a member of the Mississippi Advisory Committee covered by this notice to send a letter of interest and a resume to the respective address above.
U.S. Commission on Civil Rights.
Notice of meeting; correction.
The U.S. Commission on Civil Rights published a document in the
Melissa Wojnaroski, 312-353-8311.
In the
Friday October 30th at 10 a.m. Eastern time.
In the
Friday October 30, 2015 at 10 a.m. Eastern time.
Department of Commerce.
Notice of Membership on the Departmental Performance Review Board.
In accordance with 5 U.S.C., 4314(c)(4), Department of Commerce (DOC) announces the appointment of persons to serve as members of the Departmental Performance Review Board (DPRB). The DPRB provides an objective peer review of the initial performance ratings, performance-based pay adjustments and bonus recommendations, higher-level review requests and other performance-related actions submitted by appointing authorities for Senior Executive Service (SES) members whom they directly supervise, and makes recommendations based upon its review. The term of the new members of the DPRB will expire December 31, 2017.
Denise A. Yaag, Director, Office of Executive Resources, Office of Human Resources Management, Office of the Director, 14th and Constitution Avenue NW., Washington, DC 20230, (202) 482-3600.
The names and position titles of the members of the DPRB are set forth below by organization:
Department of Commerce.
Notice of Membership on the Office of the Secretary Performance Review Board.
In accordance with 5.U.S.C., 4314(c)(4), Department of Commerce (DOC) announces the appointment of persons to serve as members of the Office of the Secretary (OS) Performance Review Board (PRB). The OS PRB is responsible for reviewing performance ratings, pay adjustments and bonuses of Senior Executive Service (SES) members. The term of the new members of the OS PRB will expire December 31, 2017.
Denise A. Yaag, Director, Office of Executive Resources, Office of Human Resources Management, Office of the Director, 14th and Constitution Avenue NW., Washington, DC 20230, (202) 482-3600.
The names, position titles, and type of appointment of the members of the OS/PRB are set forth below by organization:
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 Census Bureau is considering an option to include an experiment whereby a portion of the March ASEC sample would receive different income and health insurance coverage questions than the remaining sample in March. The questions will differ in that they will consist of the 2013 version of income and health insurance coverage questions, rather than the redesigned questions that began in 2014. To minimize the risk with implementation, we are choosing only one of the five data collection instruments that make up the ASEC collection (March) to include these questions. A final decision to exercise this option may come as late as January 2016, whereupon the Census Bureau may elect not to do so.
Title 13, United States Code, Sections 8(b), 141, 182; and Title 29, United States Code, Sections 1-9.
This information collection request may be viewed at
Written comments and recommendations for the proposed
International Trade Administration, U.S. Department of Commerce
Notice of an open conference call.
The Renewable Energy and Energy Efficiency Advisory Committee (RE&EEAC) will hold a conference call on Thursday, October 15, 2015 at 2 p.m. The call is open to the public and interested parties are requested to contact the U.S. Department of Commerce in advance to receive dial-in instructions.
October 15, 2015, from approximately 2:00 p.m. to 3:00 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 Wednesday, October 14, 2015, in order to pre-register.
During the October 15th conference call, committee members will consider and potentially approve recommendations and/or input for the Secretary of Commerce.
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 the number of public participants). Individuals wishing to reserve additional speaking time during the meeting must contact Mr. Bennett and submit a brief statement of the general nature of the comments, as well as the name and address of the proposed participant by 5:00 p.m. DST on Monday, October 12, 2015. If the number of registrants requesting to make statements is greater than can be reasonably accommodated during the teleconference, the International Trade Administration may conduct a lottery to determine the speakers. Speakers are requested to submit a copy of their oral comments by email to Mr. Bennett for distribution to the participants in advance of the teleconference.
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. All public comments made at REEEAC meetings or submitted to the REEEAC at any time will be distributed to all Committee members and posted on the Committee Web site.
Copies of RE&EEAC meeting minutes will be available within 30 days following the meeting.
Enforcement and Compliance, International Trade Administration, Department of Commerce.
As a result of this sunset review, the Department of Commerce (“the Department”) finds that revocation of the antidumping duty order on certain steel grating (“steel grating”) from the People's Republic of China (“PRC”) would likely lead to continuation or recurrence of dumping, at the levels indicated in the “Final Results of Sunset Review” section of this notice.
Erin Kearney, AD/CVD Operations, Office IV, Enforcement and Compliance, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue NW., Washington, DC 20230; telephone: (202) 482-0167.
On July 23, 2010, the Department published the antidumping duty order on steel grating from the PRC.
The merchandise subject to this
The Decision Memorandum is a public document and is on file electronically
All issues raised in this sunset review are addressed in the Decision Memorandum. The issues discussed in the Decision Memorandum include the likelihood of continuation or recurrence of dumping and the magnitude of the margins likely to prevail if the
Pursuant to Section 752(c)(3) of the Act, the Department determines that revocation of the
This notice also serves as the only reminder to parties subject to administrative protective order (“APO”) of their responsibility concerning the return or destruction of proprietary information disclosed under APO in accordance with 19 CFR 351.305. Timely notification of the return or destruction of APO materials or conversion to judicial protective order is hereby requested. Failure to comply with the regulations and terms of an APO is a violation which is subject to sanction.
We are issuing and publishing these results and notice in accordance with sections 751(c), 752, and 777(i)(1) of the Act and 19 CFR 351.218.
Enforcement and Compliance, International Trade Administration, Department of Commerce.
The Department of Commerce (Department) finds that revocation of the countervailing duty (CVD) order on certain steel grating (steel grating) from the People's Republic of China (PRC) would be likely to lead to continuation or recurrence of a countervailable subsidy at the levels indicated in the “Final Results of Sunset Review” section of this notice.
Toni Page, Office VII, AD/CVD Operations, Enforcement and Compliance, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue NW., Washington, DC 20230; telephone (202) 482-1398.
On July 23, 2010, the Department published the
The Department received an adequate substantive response from the domestic industry within the 30-day deadline specified in 19 CFR 351.218(d)(3)(i). The Department did not receive a response from the Government of the PRC (GOC) or any respondent interested party to the proceeding. As a result, pursuant to section 751(c)(3)(B) of the Act and 19 CFR 351.218(e)(l)(ii)(B)(2) and (C)(2), the Department conducted an expedited review of this
The merchandise subject to this
The Issues and Decision Memorandum is a public document and is on file electronically
All issues raised in this review are addressed in the Issues and Decision Memorandum. The issues discussed include the likelihood of continuation
Pursuant to sections 752(b)(1) and (3) of the Act, we determine that revocation of the
This notice also serves as the only reminder to parties subject to administrative protective order (APO) of their responsibility concerning the return or destruction of proprietary information disclosed under APO in accordance with 19 CFR 351.305. Timely notification of the return or destruction of APO materials or conversion to judicial protective orders is hereby requested. Failure to comply with the regulations and terms of an APO is a violation which is subject to sanction.
The Department is issuing and publishing these final results and this notice in accordance with sections 751(c), 752(b), and 777(i)(1) of the Act and 19 CFR 351.218.
Enforcement and Compliance, International Trade Administration, Department of Commerce.
The Department of Commerce (the Department) finds that revocation of the countervailing duty (CVD) order on potassium phosphate salts (Salts) from the People's Republic of China (PRC) would be likely to lead to continuation or recurrence of a countervailable subsidy at the levels indicated in the “Final Results of Sunset Review” section of this notice.
Jacqueline Arrowsmith, Office VII, AD/CVD Operations, Enforcement and Compliance, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue NW., Washington, DC 20230; telephone (202) 482-5255.
On July 22, 2010, the Department published the CVD order on Salts from the PRC.
The Department received an adequate substantive response from the domestic industry within the 30-day deadline specified in 19 CFR 351.218(d)(3)(i). The Department did not receive a response from the Government of the People's Republic of China (GOC) or any respondent interested party to the proceeding. As a result, pursuant to section 751(c)(3)(B) of the Act and 19 CFR 351.218(e)(l)(ii)(B)(2) and (C)(2), the Department conducted an expedited sunset review of this
The merchandise subject to this
The Issues and Decision Memorandum is a public document and is on file electronically
All issues raised in this review are addressed in the Issues and Decision Memorandum. The issues discussed include the likelihood of continuation or recurrence of a countervailable subsidy and the net countervailable subsidy rate likely to prevail if the
Pursuant to sections 752(b)(1) and (3) of the Act, we determine that revocation of the
This notice also serves as the only reminder to parties subject to administrative protective order (APO) of their responsibility concerning the return or destruction of proprietary information disclosed under APO in accordance with 19 CFR 351.305. Timely notification of the return or destruction of APO materials or conversion to judicial protective orders is hereby requested. Failure to comply with the regulations and terms of an APO is a violation which is subject to sanction.
The Department is issuing and publishing these final results and this notice in accordance with sections 751(c), 752(b), and 777(i)(1) of the Act.
Enforcement and Compliance, International Trade Administration, Department of Commerce.
On June 1, 2015, the Department of Commerce (“Department”) published the notice of initiation of the first five-year (“sunset”) review of the antidumping duty order on certain potassium phosphate salts (“salts”) from the People's Republic of China (“PRC”) pursuant to section 751(c) of the Tariff Act of 1930, as amended (the “Act”).
Katie Marksberry or Ryan Mullen, AD/CVD Operations, Enforcement and Compliance, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue NW., Washington, DC 20230; telephone: (202) 482-7906 or (202) 482-5260, respectively.
As noted above, on June 1, 2015, the Department published the initiation of the first sunset review of salts from the PRC.
The phosphate salts covered by the scope of the order include anhydrous Dipotassium Phosphate (DKP) and Tetrapotassium Pyrophosphate (TKPP), whether anhydrous or in solution (collectively “phosphate salts”).
TKPP, also known as normal potassium pyrophosphate, Diphosphoric acid or Tetrapotassium salt, is a potassium salt with the formula K
DKP, also known as Dipotassium salt, Dipotassium hydrogen orthophosphate or Potassium phosphate, dibasic, has a chemical formula of K
The products covered by this order include the foregoing phosphate salts in all grades, whether food grade or technical grade. The products covered by this order also include anhydrous DKP without regard to the physical form, whether crushed, granule, powder or fines. Also covered are all forms of TKPP, whether crushed, granule, powder, fines or solution.
For purposes of the order, the narrative description is dispositive, and not the tariff heading, American Chemical Society, CAS registry number or CAS name, or the specific percentage chemical composition identified above.
All issues raised in this sunset review are addressed in the Issues and Decision Memorandum.
Pursuant to section 752(c) of the Act, the Department determines that revocation of the order would be likely to lead to continuation or recurrence of dumping at weighted-average margins up to 95.40 percent.
This notice also serves as the only reminder to parties subject to administrative protective order (“APO”) of their responsibility concerning the return or destruction of proprietary information disclosed under APO in accordance with 19 CFR 351.305. Timely notification of the return or destruction of APO materials or conversion to judicial protective order is hereby requested. Failure to comply with the regulations and terms of an
We are publishing these final results and notice in accordance with sections 751(c), 752(c), and 777(i)(1) of the Act.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; receipt of application.
Notice is hereby given that Mike Arendt, South Carolina Department of Natural Resources, Marine Resources Division, 217 Fort Johnson Road, Charleston, SC 29412, has applied in due form for a permit to take loggerhead (
Written, telefaxed, or email comments must be received on or before November 4, 2015.
The application and related documents are available for review by selecting “Records Open for Public Comment” from the “Features” box on the Applications and Permits for Protected Species (APPS) home page,
These documents are also available upon written request or by appointment in the Permits and Conservation Division, Office of Protected Resources, NMFS, 1315 East-West Highway, Room 13705, Silver Spring, MD 20910; phone (301) 427-8401; fax (301) 713-0376.
Written comments on this application should be submitted to the Chief, Permits and Conservation Division, at the address listed above. Comments may also be submitted by facsimile to (301) 713-0376, or by email to
Those individuals requesting a public hearing should submit a written request to the Chief, Permits and Conservation Division at the address listed above. The request should set forth the specific reasons why a hearing on this application would be appropriate.
Amy Hapeman or Malcolm Mohead, (301) 427-8401.
The subject permit is requested under the authority of the Endangered Species Act of 1973, as amended (ESA; 16 U.S.C. 1531
The applicant requests a five-year permit to assess the distribution, relative abundance, demographic structure, and health of foraging sea turtles in the waters of Florida, Georgia and South Carolina. Researchers would capture by trawl or tangle net; annual requested take numbers per species vary by year and project. Turtles would have the following procedures performed before release: Measure, flipper tag; passive integrated transponder tag; photograph/video; tumor, scute, blood, fecal, and tissue sampling; cloacal swab; ultrasound; weigh; carapace marking; and epibiota removal. A subset of animals would receive an epoxy-attached transmitter before release. A subset of 20 Kemp's ridleys annually would be temporarily transported to a facility for laparoscopy to validate testosterone radioimmunoassay thresholds for assigning sex. The applicant also requests a limited number of mortalities due to capture over the life of the permit: 5 loggerheads, 2 Kemp's ridley, 2 greens, and 2 leatherbacks.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public hearings.
The Gulf of Mexico Fishery Management Council (Council) will hold twelve public hearings/workshops and two webinars to solicit public comments on Amendment 39—Regional Management of Recreational Red Snapper, Amendment 41—Charter for-hire Red Snapper Management, and Amendment 42—Headboat Reef Fish Management.
The meetings will be held October 19-November 3, 2015. The meetings will begin at 6 p.m. and will conclude no later than 9 p.m. For specific dates and times see
The public documents can be obtained by contacting the Gulf of Mexico Fishery Management Council, 2203 N. Lois Avenue, Suite 1100, Tampa, FL 33607; (813) 348-1630 or on their Web site at
Douglas Gregory, Executive Director, Gulf of Mexico Fishery Management Council; telephone: (813) 348-1630.
The agenda for the following twelve hearings/workshops and two webinars are as follows: Council staff will brief the public on the respective amendment(s) for each meeting, including Amendment 39—Regional Management of Recreational Red Snapper, Amendment 41—Charter for-hire Red Snapper Management, and Amendment 42—Headboat Reef Fish Management. Staff will then open the meeting for questions and public comments. The schedule is as follows:
These meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Kathy Pereira (see
16 U.S.C. 1801
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; nominations for Advisory Panel.
NMFS solicits nominations for the “SEDAR Pool,” also known as the Advisory Panel for Atlantic Highly Migratory Species (HMS) Southeast Data, Assessment, and Review (SEDAR) Workshops. The SEDAR Pool is comprised of a group of individuals who may be selected to consider data and advise NMFS regarding the scientific information, including but not limited to data and models, used in stock assessments for oceanic sharks in the Atlantic Ocean, Gulf of Mexico, and Caribbean Sea. Nominations are being sought for a 5-year appointment (2016-2021). Individuals with definable interests in the recreational and commercial fishing and related industries, environmental community, academia, and non-governmental organizations will be considered for membership on the SEDAR Pool.
Nominations must be received on or before November 4, 2015.
You may submit nominations and request the SEDAR Pool Statement of Organization, Practices, and Procedures by any of the following methods:
•
•
•
Additional information on SEDAR and the SEDAR guidelines can be found at
Delisse Ortiz or Karyl Brewster-Geisz, (301) 425-8503.
Section 302(g)(2) of the Magnuson-Stevens Fishery Conservation and Management Act (Magnuson-Stevens Act), 16 U.S.C. 1801
The primary purpose of the individuals in the SEDAR Pool is to review, at SEDAR workshops, the scientific information (including but not limited to data and models) used in stock assessments that are used to advise NMFS, as a delegate to the Secretary of Commerce (Secretary), about the conservation and management of the Atlantic HMS, specifically but not limited to, Atlantic sharks. Individuals in the SEDAR Pool, if selected, may participate in the various data, assessment, and review workshops during the SEDAR process of any HMS stock assessment. In order to ensure that the peer review is unbiased, individuals who participated in a data and/or assessment workshop for a particular stock assessment will not be allowed to serve as reviewers for the same stock assessment. However, these individuals may be asked to attend the review workshop to answer specific questions from the reviewers concerning the data and/or assessment workshops. Members of the SEDAR Pool may serve as members of other Advisory Panels concurrent with, or following, their service on the SEDAR Pool.
The SEDAR Pool is comprised of individuals representing the commercial and recreational fishing communities for Atlantic sharks, the environmental community active in the conservation and management of Atlantic sharks, and the academic community that have relevant expertise either with sharks and/or stock assessment methodologies for marine fish species. Also, individuals who may not necessarily work directly with sharks, but who are involved in fisheries with similar life history, biology and fishery issues may be part of the SEDAR panel. Members of the SEDAR Pool must have demonstrated experience in the fisheries, related industries, research, teaching, writing, conservation, or management of marine organisms. The distribution of representation among the interested parties is not defined or limited.
Additional members of the SEDAR Pool may also include representatives from each of the five Atlantic Regional Fishery Management Councils, each of the 18 Atlantic states, both the U.S. Virgin Islands and Puerto Rico, and each of the interstate commissions: The Atlantic States Marine Fisheries Commission and the Gulf States Marine Fisheries Commission.
If NMFS requires additional members to ensure a diverse pool of individuals for data or assessment workshops, NMFS may request individuals to become members of the SEDAR Pool outside of the annual nomination period.
Panel members serve at the discretion of the Secretary. Not all members will attend each SEDAR workshop. Rather, NMFS will invite certain members to participate at specific stock assessment workshops dependent on their ability to participate, discuss, and recommend scientific decisions regarding the species being assessed.
NMFS is not obligated to fulfill any requests (
Member tenure will be for 5 years. Nominations are sought for terms beginning early in 2016 and expiring in 2021. Nomination packages should include:
1. The name, address, phone number, and email of the applicant or nominee;
2. A description of his/her interest in Atlantic shark stock assessments or the Atlantic shark fishery;
3. A statement of background and/or qualifications; and
4. A written commitment that the applicant or nominee shall participate actively and in good faith in the tasks of the SEDAR Pool, as requested.
Individual members of the SEDAR Pool meet to participate in stock assessments at the discretion of the Office of Sustainable Fisheries, NMFS. Stock assessment timing, frequency, and relevant species will vary depending on the needs determined by NMFS and SEDAR staff. In 2016, NMFS intends to update the dusky shark stock assessment. In 2017, NMFS anticipates updating the Gulf of Mexico blacktip shark stock assessment. During an assessment year, meetings and meeting logistics will be determined according to the SEDAR Guidelines. All meetings are open for observation by the public.
National Marine Fisheries Service, National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of availability; request for comments.
NOAA's National Marine Fisheries Service (NMFS) announces the availability of a public draft of the Endangered Species Act Coastal Multispecies Recovery Plan for the California Coastal Chinook salmon (
Comments on the Public Draft Recovery Plan must be received by close of business on December 4, 2015.
You may submit comments on the Public Draft Recovery Plan by the following methods:
•
•
•
Electronic copies of the Public Draft Recovery Plan are available online at:
Korie Schaeffer, (707) 575-6087,
The Endangered Species Act of 1973 (ESA), as amended (16 U.S.C. 1531
Our goal is to restore the threatened CC Chinook salmon, and NC and CCC steelhead to the point where they are self-sustaining populations within their ecosystems and no longer need the protections of the ESA.
A series of public workshops will be held to help inform interested parties on the Public Draft Recovery Plan. Written comments will be accepted at the workshops. These include:
• UKIAH—October 14, 2015, UC Cooperative Extension Mendocino, 890 N. Bush Street, Ukiah, CA 95482, from 6-8 p.m.
• ARCATA—October 15, 2015, Humboldt Area Foundation, 363 Indianola Road, Bayside, CA 95524, from 6-8 p.m.
• SANTA CRUZ—October 20, 2015, Southwest Fisheries Science Center, 110 Shaffer Road, Santa Cruz, CA 95060, from 3-5 p.m.
• OAKLAND—November 3, 2015 Elihu M Harris State Building, 1515 Clay St., Oakland, CA 94612, from 1-3 p.m.
• SANTA ROSA—November 5 2015, Sonoma County Water Agency, 404 Aviation Blvd., Santa Rosa, CA 95403 from 1-3 p.m.
The ESA requires recovery plans incorporate, to the maximum extent practicable: (1) Objective, measurable criteria which, when met, would result in a determination that the species is no longer threatened or endangered; (2) site-specific management actions necessary to achieve the plan's goal for the conservation and survival of the species; and (3) estimates of the time required and costs to implement recovery actions.
The Public Draft Recovery Plan provides background on the natural history, population trends and the potential threats to the viability of CC Chinook salmon, and NC and CCC steelhead. The Public Draft Recovery Plan lays out a recovery strategy to address conditions and threats based on the best available science and incorporates objective, measurable criteria for recovery. The Public Draft Recovery Plan is not regulatory, but presents guidance for use by agencies and interested parties to assist in the recovery of CC Chinook salmon, and NC and CCC steelhead. The Public Draft Recovery Plan identifies actions needed to achieve recovery by improving population and habitat conditions and addressing threats to the species; links management actions to a research and monitoring program intended to fill data gaps and assess effectiveness of actions; incorporates an adaptive management framework by which management actions and other elements may evolve as we gain information through research and monitoring; and describes agency guidance on time lines for reviews of the status of species and recovery plans. To address threats related to the species, the Public Draft Recovery Plan references many of the significant efforts already underway to restore salmon and steelhead access to high quality habitat and to improve habitat previously degraded.
Recovery of CC Chinook salmon, and NC and CCC steelhead will require a long-term effort in cooperation and coordination with Federal, state, tribal and local government agencies, and the community. Consistent with the Recovery Plan, we will implement relevant actions for which we have authority, work cooperatively on implementation of other actions, and encourage other Federal and state agencies to implement recovery actions for which they have responsibility and authority.
In compliance with the requirements of the ESA section 4(f), NMFS is providing public notice and an opportunity to review and comment on the Public Draft Recovery Plan for CC Chinook salmon, and NC and CCC steelhead prior to its final approval.
16 U.S.C. 1531
National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of availability of a Draft Programmatic Damage Assessment and Restoration Plan and Draft Programmatic Environmental Impact Statement; request for comments.
In accordance with the Oil Pollution Act of 1990 (OPA) and the National Environmental Policy Act (NEPA), the
The Trustees will consider public comments received on or before December 4, 2015.
• Via the Web:
• U.S. Mail: U.S. Fish and Wildlife Service, P.O. Box 49567, Atlanta, GA 30345. Please note that mailed comments must be received on or before the comment deadline of December 4, 2015 to be considered.
Courtney Groeneveld at
On April 20, 2010, the
Oil spread from the deep ocean to the surface and nearshore environment, from Texas to Florida. The oil came into contact with and injured natural resources as diverse as deep-sea coral, fish and shellfish, productive wetland habitats, sandy beaches, birds, endangered sea turtles, and protected marine life. The oil spill prevented people from fishing, going to the beach, and enjoying their typical recreational activities along the Gulf. Extensive response actions, including, use of dispersants, cleanup activities, and actions to try to prevent the oil from reaching sensitive resources, were undertaken to try to reduce harm to people and the environment. However, many of these response actions had collateral impacts on the environment. The oil and other substances released from the well in combination with the extensive response actions together make up the
The Trustees are conducting the natural resource damage assessment for the
The Trustees
• National Oceanic and Atmospheric Administration (NOAA), on behalf of the U.S. Department of Commerce;
• U.S. Department of the Interior (DOI), as represented by the National Park Service, U.S. Fish and Wildlife Service, and Bureau of Land Management;
• U.S. Department of Agriculture (USDA);
• U.S. Environmental Protection Agency (USEPA);
• State of Louisiana Coastal Protection and Restoration Authority, Oil Spill Coordinator's Office, Department of Environmental Quality, Department of Wildlife and Fisheries, and Department of Natural Resources;
• State of Mississippi Department of Environmental Quality;
• State of Alabama Department of Conservation and Natural Resources and Geological Survey of Alabama;
• State of Florida Department of Environmental Protection and Fish and Wildlife Conservation Commission; and
• For the State of Texas: Texas Parks and Wildlife Department, Texas General Land Office, and Texas Commission on Environmental Quality.
On February 17, 2011, the Trustees initiated a 90-day formal scoping and public comment period for this Draft PDARP/PEIS (76 FR 9327) through a Notice of Intent (NOI) to Begin Restoration Scoping and Prepare a Gulf Spill Restoration Planning PEIS. The Trustees conducted the scoping in accordance with OPA (15 CFR 990.14(d)), NEPA (40 CFR 1501.7), and State authorities. That NOI requested public input to identify and evaluate a range of restoration types that could be used to fully compensate the public for the environmental and recreational use damages caused by the spill, as well as develop procedures to select and implement restoration projects that will compensate the public for the natural resource damages caused by the spill. As part of the scoping process, the Trustees hosted public meetings across all the Gulf States during Spring 2011.
The Draft PDARP/PEIS is being released in accordance with the OPA, the Natural Resources Damage Assessment (NRDA) regulations found in the Code of Federal Regulations (CFR) at 15 CFR part 990, and the National Environmental Policy Act (NEPA) (42 U.S.C. 4321
In the Draft PDARP/PEIS, the Deepwater Horizon Trustees present to the public their findings on the extensive injuries to multiple habitats, biological species, ecological functions, and geographic regions across the northern Gulf of Mexico that occurred as a result of the Deepwater Horizon incident, as well as their programmatic plan for restoring those resources and the services they provide. The Draft PDARP/PEIS proposes four programmatic alternatives evaluated in accordance with OPA and NEPA. The
The four alternatives under the Draft PDARP/PEIS are as follows:
• Alternative A (Preferred Alternative): Comprehensive Integrated Ecosystem Restoration Plan based on the programmatic Trustee goals;
• Alternative B: Resource-Specific Restoration Plan based on the programmatic Trustee goals;
• Alternative C: Continued Injury Assessment and Defer Comprehensive Restoration Plan; and
• Alternative D: No Action/Natural Recovery.
The Trustees have jointly examined and assessed the extent of injury and the restoration alternatives. In the Draft PDARP/PEIS, the Trustees present to the public their findings on the extensive injuries to multiple habitats, biological species, ecological functions, and geographic regions across the northern Gulf of Mexico that occurred as a result of the
The Trustees' proposed decision is to select a comprehensive restoration plan to guide and direct subsequent restoration planning and implementation during the coming decades. The Draft PDARP/PEIS is programmatic; it describes the framework by which subsequent project specific restoration plans will be identified and developed, and sets forth the types of projects the Trustees will consider in each of several described restoration areas. The subsequent restoration plans would identify, evaluate, and select specific restoration projects for implementation that are consistent with the restoration framework laid out by the PDARP/PEIS. The Trustees are considering this programmatic restoration planning decision in light of the proposed settlement among BP, the United States and the States of Louisiana, Mississippi, Alabama, Florida, and Texas to resolve BP's liability for natural resource damages associated with the
The public is encouraged to review and comment on the Draft PDARP/PEIS. As described above, public meetings are scheduled to facilitate the public review and comment process. After the close of the public comment period, the Trustees will consider and address the comments received before issuing a Final PDARP/PEIS. A summary of comments received and the Trustees' responses will be included in the final document. After issuing the Final PDARP/PEIS, the Trustees will prepare a Record of Decision that formally selects an alternative.
The public is also encouraged to review and comment on the proposed Consent Decree through a separate process managed by the Department of Justice. A link for the proposed Consent Decree and directions for comment to the Department of Justice is available at
The Trustees seek public review and comment on the Draft PDARP/PEIS. 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 publicly available at any time.
The documents included in the Administrative Record can be viewed electronically at the following location:
The authority of this action is the Oil Pollution Act of 1990 (33 U.S.C. 2701
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public meeting.
The Mid-Atlantic Fishery Management Council's (Council) Summer Flounder, Scup, and Black Sea Bass Advisory Panel will hold a public meeting.
The meeting will be held on Thursday, October 22, 2015, from 2 p.m. until 5 p.m.
The meeting will be held via webinar with a telephone-only connection option. Details on webinar registration and telephone-only connection details will be available at:
Christopher M. Moore, Ph.D., Executive Director, Mid-Atlantic Fishery Management Council, telephone: (302) 526-5255.
The Council's Summer Flounder, Scup, and Black Sea Bass Advisory Panel (AP) will meet jointly with the Atlantic States Marine Fisheries Commission's (ASMFC's) Summer Flounder, Scup, and Black Sea Bass AP. The purpose of this meeting is to solicit advisor input on specific commercial management measures for summer flounder, scup, and black sea bass. These include, but are not limited to, the commercial minimum fish size, trawl mesh size requirements, seasonal possession limits triggering the minimum mesh size requirements (
The meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aid should be directed to M. Jan Saunders, (302) 526-5251, at least 5 days prior to the meeting date.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; receipt of application for a permit modification.
Notice is hereby given that Kristen Hart, Ph.D., U.S. Geological Survey, 3205 College Ave., Davie, FL 33314, has requested a modification to scientific research Permit No. 17304-01.
Written, telefaxed, or email comments must be received on or before November 4, 2015.
The modification request and related documents are available for review by selecting “Records Open for Public Comment” from the Features box on the Applications and Permits for Protected Species (APPS) home page,
Written comments on this application should be submitted to the Chief, Permits and Conservation Division, at the address listed above. Comments may also be submitted by facsimile to (301) 713-0376, or by email to
Those individuals requesting a public hearing should submit a written request to the Chief, Permits and Conservation Division at the address listed above. The request should set forth the specific reasons why a hearing on this application would be appropriate.
Amy Hapeman or Carrie Hubard, (301) 427-8401.
The subject modification to Permit No. 17304, issued on September 20, 2013 (78 FR 59657) is requested under the authority of the Endangered Species Act of 1973, as amended (16 U.S.C. 1531
Permit No. 17304-01 authorizes researchers to capture 100 green, 100 loggerhead, 90 Kemp's ridley, and 20 hawksbill sea turtles annually by hand or using nets in the northern Gulf of Mexico. Alternative to direct capture, researchers may obtain sea turtles for study that are legally captured during relocation trawling for the U.S. Army Corps of Engineers. Sea turtles may have the following types of procedures performed before release: Morphometrics, marking, photograph/video, tagging, biological sampling, and/or attachment of transmitters and subsequent tracking. The permit is valid through September 30, 2018. Dr. Hart is seeking to modify the permit to (1) authorize trawling as a capture method, and (2) increase the annual number of loggerhead and Kemp's ridley sea turtles taken by 200 and 210 turtles, respectively. This work would be used to (1) provide density and abundance data to managers for these species in Louisiana waters and associated federal waters, and (2) establish the feasibility of sea turtle monitoring in the Gulf of Mexico by trawl.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public meeting.
The New England Fishery Management Council (Council) is scheduling a public meeting of its Research Steering Committee (RSC) to consider actions affecting New England fisheries in the exclusive economic zone (EEZ). Recommendations from this group will be brought to the full Council for formal consideration and action, if appropriate.
This meeting will be held on Thursday October 22, 2015 at 9:30 a.m.
The meeting will be held at the Holiday Inn, 700 Myles Standish Boulevard, Taunton, MA 02780; telephone: (508) 823-0490; fax: (508) 880-6483.
Thomas A. Nies, Executive Director, New England Fishery Management Council; telephone: (978) 465-0492.
The Research Steering Committee will meet to review several cooperative research projects, which include Scallop RSA projects that address gray meats in the scallop fishery. The RSC may also review other cooperative research projects, which may include a 2012 Monkfish RSA project. In addition, the Research Steering Committee may discuss the outcome of the Cooperative Research & Cooperative Management Review White Paper. The Research Steering Committee may also discuss other topics at the meeting as it pertains to cooperative research. Other business may be discussed.
Although non-emergency issues not contained in this agenda may come before this group for discussion, those issues may not be the subject of formal action during this meeting. Action will be restricted to those issues specifically listed in this notice and any issues arising after publication of this notice that require emergency action under section 305(c) of the Magnuson-Stevens Act, provided the public has been notified of the Council's intent to take final action to address the emergency.
This meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Thomas A. Nies, Executive Director, at (978) 465-0492, at least 5 days prior to the meeting date.
16 U.S.C. 1801
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of telephonic meeting.
The North Pacific Fishery Management Council (Council) Charter Implementation Committee will meet by teleconference October 21, 2015.
The meeting will be held on Wednesday October 21, 2015, from 1 p.m. to 5 p.m.
The meeting will be held telephonically at the North Pacific Fishery Management Council, 605 W. 4th Ave., Suite 306, Anchorage, AK 99501-2252. Teleconference line is (907) 271-2896.
Steve MacLean, Council staff; telephone: (907) 271-2809.
The agenda is to identify a range of potential management measures for the Area 2C and Area 3A charter halibut fisheries in 2016, using the management measures in place for 2015 as a baseline. For Area 2C, the baseline management measure is a daily limit of one fish less than or equal to 42 inches or greater than or equal to 80 inches in length. For Area 3A, the baseline management measure is a daily limit of two fish, one fish of any size, and a second fish which must be 29 inches or less in length. Committee recommendations will be incorporated into an analysis for Council review in December 2015. The Council will recommend preferred management measures for consideration by the International Pacific Halibut Commission at its January 2016 meeting, for implementation in 2016.
The Agenda is subject to change, and the latest version will be posted at
The meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Shannon Gleason at (907) 271-2809 at least 7 working days prior to the meeting date.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public meeting.
The Pacific Fishery Management Council's (Council) Salmon Subcommittee of the Scientific and Statistical Committee will hold a joint methodology review meeting with the Salmon Technical Team and Model Evaluation Workgroup.
The joint methodology review meeting will be held Tuesday, October 20, 2015, from 1 p.m. to 5 p.m., Wednesday, October 21, 2015, from 9 a.m. to 5 p.m., and Thursday, October 22, 2015, from 9 a.m. to noon, or until business is completed.
The meetings will be held in the Concourse Room of the Radisson Hotel Portland Airport, 6233 NE 78th Ct., Portland, OR 97218; telephone: (503) 251-2000.
Mr. Mike Burner, Pacific Council; telephone: (503) 820-2414.
The purpose of the methodology review meeting is to discuss and review proposed changes to analytical methods used in salmon management. Methodology review topics were adopted by the Council at their September 9-16, 2015 meeting in Sacramento, CA and are posted on the Pacific Council's Web page (
Although non-emergency issues not contained in the meeting agenda may be discussed, those issues may not be the subject of formal action during these meetings. Action will be restricted to those issues specifically listed in this document and any issues arising after publication of this document that require emergency action under section 305(c) of the Magnuson-Stevens Fishery Conservation and Management Act, provided the public has been notified of the intent to take final action to address the emergency.
The meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Mr. Kris Kleinschmidt at (503) 820-2425 at least 5 days prior to the meeting date.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of a public meeting.
The Council will hold a meeting of its Scientific and Statistical Committee (SSC) in N. Charleston, SC. See
The SSC will meet 1 p.m.-5 p.m., Tuesday, October 20, 2015; 8:30 a.m.-5 p.m., Wednesday, October 21, 2015; and 8:30 a.m.-3 p.m., Thursday, October 22, 2015.
The meeting will be held at the Crowne Plaza Airport Hotel, 4831 Tanger Outlet Boulevard, North Charleston, SC 29418; phone: (800) 503-5762 or (843) 744-4422; fax: (843) 744-4472.
Kim Iverson, Public Information Officer, 4055 Faber Place Drive, Suite 201, North Charleston, SC 29405; phone: (843) 571-4366 or toll free (866) SAFMC-10; fax: (843) 769-4520; email:
The following items will be discussed and considered by the SSC during this meeting:
Although non-emergency issues not contained in this agenda may come before this group for discussion, those issues may not be the subject of formal action during this meeting. Action will be restricted to those issues specifically identified in this notice and any issues arising after publication of this notice that require emergency action under section 305(c) of the Magnuson-Stevens Fishery Conservation and Management Act, provided the public has been notified of the intent to take final action to address the emergency.
Written comment on SSC agenda topics is to be distributed to the Committee through the Council office, similar to all other briefing materials. Written comment to be considered by the SSC shall be provided to the Council office no later than one week prior to an SSC meeting. For this meeting, the deadline for submission of written comment is 12 p.m., Tuesday, April 21, 2015. Two opportunities for comment on agenda items will be provided during SSC meetings and noted on the agenda. The first will be at the beginning of the meeting, and the second near the conclusion, when the SSC reviews its recommendations.
This meeting is accessible to people with disabilities. Requests for auxiliary aids should be directed to the SAFMC office (see
The times and sequence specified in this agenda are subject to change.
16 U.S.C. 1801
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; issuance of permit amendment.
Notice is hereby given that Charles Mayo, Ph.D., Senior Scientist and Director, Right Whale Program—Center for Coastal Studies, 115 Bradford St., Provincetown, MA 02657 has been
The amendment and related documents are available for review upon written request or by appointment in the Permits and Conservation Division, Office of Protected Resources, NMFS, 1315 East-West Highway, Room 13705, Silver Spring, MD 20910; phone (301) 427-8401; fax (301) 713-0376.
Brendan Hurley or Amy Hapeman, (301) 427-8401.
The requested amendment has been granted under the authority of the Marine Mammal Protection Act of 1972, as amended (16 U.S.C. 1361
The original permit (No. 14603), issued on September 9, 2010 (75 FR 61135) authorizes Dr. Mayo to study North Atlantic right whales (
Office of National Marine Sanctuaries (ONMS), National Ocean Service (NOS), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce (DOC).
Notice of intent to conduct scoping, hold public scoping meetings and to prepare a draft environmental impact statement and management plan.
In accordance with section 304(a) of the National Marine Sanctuaries Act, as amended, (NMSA) (16 U.S.C. 1431
Comments must be received by January 15, 2016. Public scoping meetings will be held as detailed below:
Comments may be submitted by any one of the following methods:
•
•
Ellen Brody, Great Lakes Regional Coordinator, 734-741-2270,
The NMSA authorizes the Secretary of Commerce (Secretary) to designate and protect as national marine sanctuaries areas of the marine environment that are of special national significance due to their conservation, recreational,
The area being considered for designation as a national marine sanctuary is a region that includes 875 square miles of Lake Michigan waters and bottomlands adjacent to Manitowoc, Sheboygan, and Ozaukee counties and the cities of Port Washington, Sheboygan, Manitowoc, and Two Rivers. It includes 80 miles of shoreline and extends 9 to 14 miles from the shoreline. The area contains an extraordinary collection of submerged maritime heritage resources as demonstrated by the listing of 15 shipwrecks on the National Register of Historic Places. The area includes 39 known shipwrecks, 123 reported vessel losses, numerous other historic maritime-related features, and is adjacent to communities that have embraced their centuries-long relationship with Lake Michigan.
This collection of shipwrecks is nationally significant because of the architectural and archaeological integrity of the shipwrecks, the representative nature of the sample of vessels, their location on one of the nation's most important transportation corridors, and the potential for the discovery of other shipwrecks and submerged pre-contact cultural sites. The historic shipwrecks are representative of the vessels that sailed and steamed this corridor, carrying grain and raw materials east as other vessels came west loaded with coal. Many of the shipwrecks retain an unusual degree of architectural integrity, with 15 vessels that are intact. NOAA encourages the public to review the full nomination at
Wisconsin Governor Scott Walker, on behalf of the State of Wisconsin; the Cities of Two Rivers, Manitowoc, Sheboygan, and Port Washington; the Counties of Manitowoc, Sheboygan, and Ozaukee submitted a nomination to NOAA on December 2, 2014 through the Sanctuary Nomination Process (SNP) (79 FR 33851) asking NOAA to consider designating this area of Wisconsin's Lake Michigan waters as a national marine sanctuary. The State of Wisconsin's selection of this geographic area for the nomination drew heavily from a 2008 report conducted by the Wisconsin History Society and funded by the Wisconsin Coastal Management Program (
NOAA is initiating the process to designate this area as a national marine sanctuary based on the nomination submitted to the agency as part of the SNP. NOAA's review of the nomination against the criteria and considerations of the SNP, including the requirement for broad-based community support indicated strong merit in proposing this area as a national marine sanctuary. NOAA completed its review of the nomination on February 5, 2015, and added the area to the inventory of nominations that are eligible for designation. Designation under the NMSA would allow NOAA to supplement and complement work by the State of Wisconsin and other federal agencies to protect this collection of nationally significant shipwrecks.
The process for designating the Wisconsin—Lake Michigan area as a national marine sanctuary includes the following stages:
1. Public Scoping Process—Information collection and characterization, including the consideration of public comments received during scoping;
2. Preparation and release of draft designation documents including a draft environmental impact statement (DEIS) that identifies boundary alternatives, a draft management plan (DMP), as well as a notice of proposed rulemaking (NPRM) to define proposed sanctuary regulations. Draft documents would be used to initiate consultations with federal, state, or local agencies and other interested parties, as appropriate;
3. Public review and comment on the DEIS, DMP and NPRM;
4. Preparation and release of a final environmental impact statement, final management plan, including a response to public comments, with a final rule and regulations, if appropriate.
With this notice, NOAA is initiating a public scoping process to:
1. Gather information and public comments from individuals, organizations, and government agencies on the designation of the Wisconsin—Lake Michigan area as a national marine sanctuary based on the community-based nomination of December 2014, especially: (a) The spatial extent of the proposed boundary; and (b) the resources that would be protected;
2. Help determine the scope and significance of issues to be addressed in the preparation of an environmental analysis under NEPA including socioeconomic impacts of designation, effects of designation on cultural and biological resources, and threats to resources within the proposed area;
3. Help determine the proposed action and possible alternatives pursuant to NEPA and to conduct any appropriate consultations.
This notice confirms that NOAA will fulfill its responsibility under section 106 of the National Historic Preservation Act (NHPA) through the ongoing NEPA process, pursuant to 36 CFR 800.8(a) including the use of NEPA documents and public and stakeholder meetings to meet the section 106 requirements. The NHPA specifically applies to any agency undertaking that may affect historic properties. Pursuant to 36 CFR 800.16(1)(1), historic properties includes: “any prehistoric or historic district, site, building, structure or object included in, or eligible for inclusion in, the National Register of Historic Places maintained by the Secretary of the Interior. The term includes artifacts, records, and remains that are related to and located within such properties. The term includes properties of traditional religious and cultural importance to an Indian tribe or Native Hawaiian organization and that meet the National Register criteria.” In fulfilling its responsibility under the NHPA and NEPA, NOAA intends to identify consulting parties; identify historic properties and assess the effects of the undertaking on such properties; initiate formal consultation with the State Historic Preservation Officer, the Advisory Council of Historic Preservation, and other consulting parties; involve the public in accordance with NOAA's NEPA procedures, and develop in consultation
16 U.S.C. 1431
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public meeting.
The New England Fishery Management Council (Council) is scheduling a public meeting of its Joint Skate Advisory Panel and Committee Meeting to consider actions affecting New England fisheries in the exclusive economic zone (EEZ). Recommendations from this group will be brought to the full Council for formal consideration and action, if appropriate.
This meeting will be held on Wednesday, October 21, 2015 at 9:30 a.m.
The meeting will be held at the Radisson Airport Hotel, 2081 Post Road, Warwick, RI 02886; telephone: (401) 739-3000; fax: (401) 732-9309.
Thomas A. Nies, Executive Director, New England Fishery Management Council; telephone: (978) 465-0492.
The Skate Committee and Advisory Panel will begin work on a framework adjustment. The Committee and Advisory Panel will consider updated status determinations for the Northeast Skate Complex, recommendations for the Skate Allowable Biological Catch (ABC), and associated possession limits. The Committee and Advisory Panel will review PDT discussion of potential restructuring of the Northeast Skate Complex FMP. They will also discuss priorities for 2016 and any other business. Other business may be discussed as necessary.
Although non-emergency issues not contained in this agenda may come before this group for discussion, those issues may not be the subject of formal action during this meeting. Action will be restricted to those issues specifically listed in this notice and any issues arising after publication of this notice that require emergency action under section 305(c) of the Magnuson-Stevens Act, provided the public has been notified of the Council's intent to take final action to address the emergency.
This meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Thomas A. Nies, Executive Director, at (978) 465-0492, at least 5 days prior to the meeting date.
16 U.S.C. 1801
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public meeting.
The Mid-Atlantic Fishery Management Council's (MAFMC) Summer Flounder, Scup, and Black Sea Bass Monitoring Committee will hold a public meeting.
The meeting will be held on Tuesday, October 27, 2015, from 10 a.m. to 5 p.m., and on Wednesday, October 28, 2015, from 8:30 a.m. to 1 p.m.
The meeting will be held at the Courtyard by Marriott Baltimore BWI Airport, 1671 West Nursery Road, Linthicum, MD 21090; telephone: (410) 859-8855.
Christopher M. Moore, Ph.D., Executive Director, Mid-Atlantic Fishery Management Council, telephone: (302) 526-5255.
The MAFMC's Summer Flounder, Scup, and Black Sea Bass Monitoring Committee, with the Atlantic States Marine Fisheries Commission's Summer Flounder, Scup, and Black Sea Bass Technical Committee, will hold a workshop to review methods, datasets, and considerations for recommending and evaluating recreational management measures for these three species. The meeting will focus on specific technical methods for calculating adjustments to bag limits, size limits, and seasonal limits, as well as current and potential supporting recreational datasets, tools, and models. The objective of the meeting is for the Committees to identify potential improvements to the current processes and methods for recommending and evaluating recreational measures. A detailed agenda will be posted at
The meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aid should be directed to M. Jan Saunders, (302) 526-5251, at least 5 days prior to the meeting date.
Commodity Futures Trading Commission.
Notice of meeting.
The Commodity Futures Trading Commission (CFTC) announces that on November 2, 2015, from 10:00 a.m. to 1:30 p.m., the Market Risk Advisory Committee (MRAC) will hold a public meeting at the CFTC's Washington, DC, headquarters. The MRAC will be presented with and discuss the CCP Risk Management Subcommittee's recommendations to the MRAC regarding how the CCP default plans presented at the April 2,
The meeting will be held on November 2, 2015 from 10:00 a.m. to 1:30 p.m. Members of the public who wish to submit written statements in connection with the meeting should submit them by November 16, 2015.
The meeting will take place in the Conference Center at the CFTC's headquarters, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581. Written statements should be submitted by mail to: Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581, attention: Office of the Secretary; or by electronic mail to:
Petal Walker, MRAC Designated Federal Officer, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581; (202) 418-5794.
The meeting will be open to the public with seating on a first-come, first-served basis. Members of the public may also listen to the meeting by telephone by calling a domestic toll-free telephone or international toll or toll-free number to connect to a live, listen-only audio feed. Call-in participants should be prepared to provide their first name, last name, and affiliation.
After the meeting, a transcript of the meeting will be published through a link on the CFTC's Web site,
United States Army Corps of Engineers, Department of Defense.
Notice; extension of comment period.
The U.S. Army Corps of Engineers (Corps) has updated the existing guidance for providing in-kind credit under Section 221(a)(4) of the Flood Control Act of 1970, as further amended by Section 1018 of the Water Resources Reform and Development Act of 2014. In response to requests to extend the comment period, we are extending the comment period by 30 days.
Written comments must be submitted on or before October 28, 2015.
You may submit comments, identified by docket number COE-2015-0013 by any of the following methods:
Janice E. Rasgus, Planning and Policy Division, Washington, DC at 202-761-7674.
None.
Federal Student Aid (FSA), 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 December 4, 2015.
To access and review all the documents related to the information collection listed in this notice, please
For specific questions related to collection activities, please contact Beth Grebeldinger, 202-377-4018.
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 Fossil Energy, Department of Energy (DOE).
Notice of orders.
The Office of Fossil Energy (FE) of the Department of Energy gives notice that during March 2015, it issued orders granting authority to import and export natural gas, to import and export liquefied natural gas (LNG), amending authority, vacating prior authority and errata. These orders are summarized in the attached appendix and may be found on the FE Web site at
Office of Fossil Energy, Department of Energy.
Notice of orders.
The Office of Fossil Energy (FE) of the Department of Energy gives notice that during February 2015, it issued orders granting authority to import and export natural gas, to import and export liquefied natural gas (LNG), vacating prior authorization, and errata. These orders are summarized in the attached appendix and may be found on the FE Web site at
They are also available for inspection and copying in the Office of Fossil Energy, Office of Oil and Gas Global Security and Supply, Docket Room 3E-033, Forrestal Building, 1000 Independence Avenue SW., Washington, DC 20585, (202) 586-9478. The Docket Room is open between the hours of 8:00 a.m. and 4:30 p.m., Monday through Friday, except Federal holidays.
U.S. Department of Energy.
Notice and Request for Comments.
The Department of Energy (DOE), pursuant to the Paperwork Reduction Act of 1995, intends to extend for three years, an information collection request with the Office of Management and Budget (OMB). The information collection request, Historic Preservation for Energy Efficiency Programs, was initially approved on December 1, 2010 under OMB Control No. 1910-5155 and will expire on September 30, 2015. The extension will allow DOE to continue data collection on the status of Weatherization Assistance Program (WAP), State Energy Program (SEP) and Energy Efficiency and Conservation Block Grant (EECBG)
Comments regarding this proposed information collection must be received on or before December 4, 2015. If you anticipate difficulty in submitting comments within that period, contact the person listed below as soon as possible.
Written comments may be sent to: Christine Platt Patrick, EE-2K, U.S. Department of Energy, 1000 Independence Ave. SW., Washington, DC 20585, Email:
Christine Platt Patrick, EE-2K, U.S. Department of Energy, 1000 Independence Ave. SW., Washington, DC 20585, Email:
Additional information and reporting guidance concerning the Historic Preservation reporting requirement for the WAP, SEP and EECBG Program are available for review at the following Web site:
This information collection request contains: (1) OMB No. 1910-5155; (2) Information Collection Request Title: Historic Preservation for Energy Efficiency Programs; (3) Type of Review: Extension; (4) Purpose: To collect data on the status of the WAP, SEP, and EECBG Program activities to ensure compliance with Section 106 of the NHPA; (5) Annual Estimated Number of Respondents: 2,473; (6) Annual Estimated Number of Total Responses: 2,473; (7) Annual Estimated Number of Burden Hours: 5,264; (8) Annual Estimated Reporting and Recordkeeping Cost Burden: 0.
(Pub. L. 89-665)
Office of Fossil Energy, Department of Energy.
Notice of orders.
The Office of Fossil Energy (FE) of the Department of Energy gives notice that during January 2015, it issued orders granting authority to import and export natural gas (NG), to import and export liquefied natural gas (LNG), amending authorization, and errata. These orders are summarized in the attached appendix and may be found on the FE Web site at
Office of Fossil Energy, Department of Energy.
Notice of orders.
The Office of Fossil Energy (FE) of the Department of Energy gives notice that during December 2014, it issued orders granting authority to import and export natural gas (NG), to import and export liquefied natural gas (LNG) and to vacate prior authority. These orders are summarized in the attached appendix and may be found on the FE Web site at
They are also available for inspection and copying in the Office of Fossil Energy, Office of Oil and Gas Global Security and Supply, Docket Room 3E-033, Forrestal Building, 1000 Independence Avenue SW., Washington, DC 20585, (202) 586-9478. The Docket Room is open between the hours of 8:00 a.m. and 4:30 p.m., Monday through Friday, except Federal holidays.
Receipt of Environmental Impact Statements (EISs) Filed 09/28/2015 Pursuant to 40 CFR 1506.9.
Section 309(a) of the Clean Air Act requires that EPA make public its comments on EISs issued by other Federal agencies. EPA's comment letters on EISs are available at:
Environmental Protection Agency (EPA).
Notice.
The Environmental Protection Agency (EPA) is planning to submit three information collection requests (ICRs): “Information Collection Request for Cooling Water Intake Structures New Facility Final Rule (Renewal)” (EPA ICR No. 1973.06, OMB Control No. 2040-0241); “ICR Supporting Statement Information Collection Request: National Pretreatment Program” (EPA ICR No. 0002.15, OMB Control No. 2040-0009); and “ICR Supporting Statement Information Collection Request for National Pollutant Discharge Elimination System (NPDES) Program (Renewal)” (EPA ICR No. 0229.21, OMB Control No. 2040-0004) 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 December 4, 2015.
Submit your comments, referencing the Docket ID numbers provided for each item in the text 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.
Amelia Letnes, State and Regional Branch, Water Permits Division, OWM Mail Code: 4203M, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460; telephone number: (202) 564-5627; fax number: (202) 564 9544; 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,
Applications for an NPDES permit may contain confidential business information. However, EPA does not consider the specific information being requested by the final rule to be typical of confidential business or personal information. If a respondent does consider this information to be of a confidential nature, the respondent may request that such information be treated as confidential. All confidential data will be handled in accordance with 40 CFR 122.7, 40 CFR part 2, and EPA's Security Manual part III, chapter 9, dated August 9, 1976.
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Reporting requirements may contain CBI, proprietary information, or information containing compromising trade secrets. In such cases, the respondent has the right to request that the information be treated as CBI. If a respondent does consider this information to be of a confidential nature, the respondent may request that such information be treated as confidential. All confidential data will be handled in accordance with 40 CFR 122.7, 40 CFR part 2, and EPA's Security Manual part III, chapter 9, dated August 9, 1976.
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(3) ICR Supporting Statement Information Collection Request for National Pollutant Discharge Elimination System (NPDES) Program (Renewal) (EPA ICR No. 0229.21, OMB Control No. 2040-0004), expiration date: December 31, 2015.
Permit applications and other respondent reports may contain confidential business information. If a respondent does consider this information to be of a confidential nature, the respondent may request that such information be treated as confidential. All confidential data will be handled in accordance with 40 CFR 122.7, 40 CFR part 2, and EPA's
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Environmental Protection Agency (EPA).
Notice.
In compliance with the Paperwork Reduction Act (PRA) (44 U.S.C. 3501
Comments must be submitted on or before December 4, 2015.
Submit your comments, identified by Docket ID No. EPA-HQ-SFUND-2005-0007 by one of the following methods:
•
•
•
EPA's policy is that all comments received will be included in the public docket without change and may be made available online at
Sella M. Burchette, U.S. Environmental Response Team, MS 101, Building 205, Edison, NJ 08837, telephone number: 732-321-6726; fax number: 732-321-6724; 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 specifically solicits 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,
NOTICE IS HEREBY GIVEN that the Federal Deposit Insurance Corporation (“FDIC”) as Receiver for Suburban Federal Savings Bank, Crofton, Maryland (“the Receiver”) intends to terminate its receivership for said institution. The FDIC was appointed receiver of Suburban Federal Savings Bank on January 30, 2009. The liquidation of the receivership assets has been completed. To the extent permitted by available funds and in accordance with law, the Receiver will be making a final dividend payment to proven creditors.
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.
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.
Federal Trade Commission (“FTC” or “Commission”).
Notice.
The FTC intends to ask the Office of Management and Budget (“OMB”) to extend for an additional three years the current Paperwork Reduction Act (“PRA”) clearance
Comments must be submitted by November 4, 2015.
Interested parties may file a comment online or on paper by following the instructions in the Request for Comment part of the
Requests for additional information should be addressed to Steven Toporoff, Attorney, Bureau of Consumer Protection, (202) 326-2252, Federal Trade Commission, 600 Pennsylvania Avenue, Washington, DC 20580.
The Rules implement sections 114 and 315 of the Fair Credit Reporting Act (“FCRA”), 15 U.S.C. 1681
The Commission received no relevant public comments on the Rules' information collection requirements and FTC staff's associated PRA burden analysis and estimates that appeared in the July 20, 2015
Pursuant to the OMB regulations, 5 CFR part 1320, that implement the PRA, 44 U.S.C. 3501
(2) Card Issuers Rule:
(a) Estimated Number of Respondents: 16,301
FTC staff believes that the Rules impose negligible capital or other non-labor costs, as the affected entities are likely to have the necessary supplies and/or equipment already (
You can file a comment online or on paper. For the FTC to consider your comment, we must receive it on or before November 4, 2015. Write “Red Flags Rule, PRA2, Project No. P095406” on your comment. Your comment—including your name and your state—will be placed on the public record of this proceeding, including, to the extent practicable, on the public Commission Web site, at
Because your comment will be made public, you are solely responsible for making sure that your comment doesn't include any sensitive personal information, like anyone's Social Security number, date of birth, driver's license number or other state identification number or foreign country equivalent, passport number, financial account number, or credit or debit card number. You are also solely responsible for making sure that your comment doesn't include any sensitive health information, like medical records or other individually identifiable health information. In addition, don't include any “[t]rade secret or any commercial or financial information which is . . . privileged or confidential,” as provided in Section 6(f) of the FTC Act, 15 U.S.C. 46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2). In particular, don't include competitively sensitive information such as costs, sales statistics, inventories, formulas, patterns, devices, manufacturing processes, or customer names.
If you want the Commission to give your comment confidential treatment, you must file it in paper form, with a request for confidential treatment, and you have to follow the procedure explained in FTC Rule 4.9(c), 16 CFR 4.9(c).
Postal mail addressed to the Commission is subject to delay due to heightened security screening. As a result, we encourage you to submit your comments online, or to send them to the Commission by courier or overnight service. To make sure that the Commission considers your online comment, you must file it at
If you file your comment on paper, write “Red Flags Rule, PRA Comment, Project No. P095406,” on your comment and on the envelope. You can mail your comment to the following address: Federal Trade Commission, Office of the Secretary, 600 Pennsylvania Avenue NW., Suite CC-5610 (Annex J), Washington, DC 20580, or deliver your comment to the following address: Federal Trade Commission, Office of the Secretary, Constitution Center, 400 7th Street SW., 5th Floor, Suite 5610 (Annex J), Washington, DC 20024.
The FTC Act and other laws that the Commission administers permit the collection of public comments to consider and use in this proceeding as appropriate. The Commission will consider all timely and responsive public comments that it receives on or before November 4, 2015. For information on the Commission's privacy policy, including routine uses permitted by the Privacy Act, see
Comments on the information collection requirements subject to review under the PRA should additionally be submitted to OMB. If sent by U.S. mail, they should be addressed to Office of Information and Regulatory Affairs, Office of Management and Budget, Attention: Desk Officer for the Federal Trade Commission, New Executive Office Building, Docket Library, Room 10102, 725 17th Street NW., Washington, DC 20503. Comments sent to OMB by U.S. postal mail, however, are subject to delays due to heightened security precautions. Thus, comments instead should be sent by facsimile to (202) 395-5806.
Office of Government-wide Policy (OGP), General Services Administration.
Notice of a bulletin.
The attached bulletin announces the redesignation of a Federal building.
This bulletin expires April 5, 2016. The building redesignation remains in effect until canceled or superseded by another bulletin.
General Services Administration, Office of Government-wide Policy (OGP), Attn: Carolyn Austin-Diggs, 1800 F Street NW., Washington, DC 20405, at 202-219-1800, or by email at
This bulletin announces the redesignation of a Federal building. Public Law 114-16, 129 STAT. 200, dated May 22, 2015, designated the United States Customs and Border Protection Port of Entry located at First Street and Pan American Avenue in Douglas, Arizona, as the “Raul Hector Castro Port of Entry.”
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In accordance with section 10(a)(2) of the Federal Advisory Committee Act (P.L. 92-463), the Centers for Disease Control and Prevention (CDC) announce the following meeting for the aforementioned committee:
Agenda items are subject to change as priorities dictate.
The Director, Management Analysis and Services Office, has been delegated the authority to sign
The Centers for Disease Control and Prevention (CDC) has submitted 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. The notice for the proposed information collection is published to obtain comments from the public and affected agencies.
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address any of the following: (a) 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; (b) Evaluate the accuracy of the agencies estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (c) Enhance the quality, utility, and clarity of the information to be collected; (d) 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,
To request additional information on the proposed project or to obtain a copy of the information collection plan and instruments, call (404) 639-7570 or send an email to
Occupational Safety and Health Program Elements in the Wholesale Retail Trade Sector—Extension—National Institute for Occupational Safety and Health (NIOSH), Centers for Disease Control and Prevention (CDC).
For the current study, the National Institute for Occupational Safety and Health (NIOSH) and the Ohio Bureau of Workers Compensation (OBWC) have been collaborating to examine the association between survey-assessed Occupational Safety and Health (OSH) program elements (organizational policies, procedures, practices) and workers compensation (WC) injury/illness outcomes in a stratified sample of OBWC-insured wholesale/retail trade (WRT) firms. Crucial OSH program elements with particularly high impact on WC losses will be identified in this study and disseminated to the WRT sector.
There are expected to be up to 4,404 participants per year. Surveys are being administered twice to the same firms in successive years (
In order to maximize efficiency and reduce burden, a Web-based survey is proposed for the majority (95%) of survey data collection. Collected information will be used to determine whether a significant relationship exists between self-reported firm OSH elements and firm WC outcomes while controlling for covariates. Once the study is completed, benchmarking reports about OSH elements that have the highest impact on WC losses in the WRT sector will be made available through the NIOSH-OBWC Internet sites and peer-reviewed publications.
In summary, this study will determine the effectiveness of OSH program elements in the WRT sector and enable evidence-based prevention practices to be shared with the greatest audience possible. NIOSH expects to complete data collection in 2018. There is no cost to respondents other than their time.
In accordance with Section 10(a)(2) of the Federal Advisory Committee Act (Pub. L. 92-463), the Centers for Disease Control and Prevention (CDC) announces a meeting for the initial review of applications in response to Funding Opportunity Announcement (FOA) PS16-001, Minority HIV/AIDS Research Initiative (MARI) to Build HIV Prevention Treatment and Research Capacity in Disproportionately Affected Black and Hispanic Communities and Among Historically Underrepresented Researchers.
10:00 a.m.-5:00 p.m., December 9-10, 2015 (Closed).
Teleconference.
Gregory Anderson, M.S., M.P.H., Scientific Review Officer, National Center for HIV/AIDS, Viral Hepatitis, STD, and TB Prevention (NCHHSTP), CDC, 1600 Clifton Road NE., Mailstop E60, Atlanta, Georgia 30333, Telephone: (404) 718-8833.
The Director, Management Analysis and Services Office, has been delegated the authority to sign
Centers for Disease Control and Prevention (CDC), Department of Health and Human Services (HHS).
Notice.
Under the National Childhood Vaccine Injury Act (NCVIA) (42 U.S.C. 300aa-26), the HHS/CDC must develop vaccine information materials that all health care providers are required to give to patients/parents prior to administration of specific vaccines. On May 20, 2015, CDC published a notice in the
Beginning no later than March 1, 2016, each health care provider who administers any seasonal influenza vaccine to any child or adult in the United States shall provide copies of the relevant revised vaccine information materials contained in this notice, in conformance with the August 7, 2015 CDC Instructions for the Use of Vaccine Information Statements prior to providing such vaccinations. These revised vaccine information materials may also be used earlier than that date. Prior to March 1, 2016, the previous edition of these two VISs can be used.
Suzanne Johnson-DeLeon (
The National Childhood Vaccine Injury Act of 1986 (Pub. L. 99-660), as amended by section 708 of Public Law 103-183, added section 2126 to the Public Health Service Act. Section 2126, codified at 42 U.S.C. 300aa-26, requires the Secretary of Health and Human Services to develop and disseminate vaccine information materials for distribution by all health care providers in the United States to any patient (or to the parent or legal representative in the case of a child) receiving vaccines covered under the National Vaccine Injury Compensation Program (VICP).
Development and revision of the vaccine information materials, also known as Vaccine Information Statements (VIS), have been delegated by the Secretary to the Centers for Disease Control and Prevention (CDC). Section 2126 requires that the materials be developed, or revised, after notice to the public, with a 60-day comment
(1) A concise description of the benefits of the vaccine,
(2) A concise description of the risks associated with the vaccine,
(3) A statement of the availability of the National Vaccine Injury Compensation Program, and
(4) Such other relevant information as may be determined by the Secretary.
The vaccines initially covered under the National Vaccine Injury Compensation Program were diphtheria, tetanus, pertussis, measles, mumps, rubella and poliomyelitis vaccines. Since April 15, 1992, any health care provider in the United States who intends to administer one of these covered vaccines is required to provide copies of the relevant vaccine information materials prior to administration of any of these vaccines. Since then, the following vaccines have been added to the National Vaccine Injury Compensation Program, requiring use of vaccine information materials for them as well: Hepatitis B,
The revised inactivated and live attenuated influenza vaccine information materials referenced in this notice were developed in consultation with the Advisory Commission on Childhood Vaccines, the Food and Drug Administration, and parent and healthcare provider organizations. Following consultation and review of comments submitted, the vaccine information materials covering inactivated and live attenuated influenza vaccine have been finalized and are available to download from
With publication of this notice, as of March 1, 2016, all health care providers will be required to provide copies of these updated inactivated and live attenuated influenza vaccine information materials prior to immunization in conformance with HHS/CDC's August 7, 2015 Instructions for the Use of Vaccine Information Statements. Prior to that date, the previous edition of these two VISs can be used.
Notice.
The Centers for Medicare & Medicaid Services (CMS) is announcing an opportunity for the public to comment on CMS' intention to collect information from the public. Under the Paperwork Reduction Act of 1995 (PRA), federal agencies are required to publish notice in the
Comments on the collection(s) of information must be received by the OMB desk officer by
When commenting on the proposed information collections, please reference the document identifier or OMB control number. To be assured consideration, comments and recommendations must be received by the OMB desk officer via one of the following transmissions: OMB, Office of Information and Regulatory Affairs, Attention: CMS Desk Officer, Fax Number: (202) 395 -5806 or Email:
To obtain copies of a supporting statement and any related forms for the proposed collection(s) summarized in this notice, you may make your request using one of following:
1. Access CMS' Web site address at
2. Email your request, including your address, phone number, OMB number, and CMS document identifier, to
3. Call the Reports Clearance Office at (410) 786-1326.
Reports Clearance Office at (410) 786-1326.
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. The term “collection of information” is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) requires federal agencies to publish a 30-day notice in the
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Food and Drug Administration, HHS.
Notice.
The Food and Drug Administration (FDA) is requesting interested persons to submit comments concerning abuse potential, actual abuse, medical usefulness, trafficking, and impact of scheduling changes on availability for medical use of 10 drug substances. These comments will be considered in preparing a response from the United States to the World Health Organization (WHO) regarding the abuse liability and diversion of these drugs. WHO will use this information to consider whether to recommend that certain international restrictions be placed on these drugs. This notice requesting comments is required by the Controlled Substances Act (the CSA).
Submit either electronic or written comments by October 15, 2015.
You may submit comments as follows:
Submit electronic comments in the following way:
• Federal eRulemaking Portal:
• If you want to submit a comment with confidential information that you do not wish to be made available to the public, submit the comment as a written/paper submission and in the manner detailed (see “Written/Paper Submissions” and “Instructions”).
Submit written/paper submissions as follows:
• Mail/Hand delivery/Courier (for written/paper submissions): Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
• For written/paper comments submitted to the Division of Dockets Management, FDA will post your comment, as well as any attachments, except for information submitted, marked and identified, as confidential, if submitted as detailed in “Instructions.”
• Confidential Submissions—To submit a comment with confidential information that you do not wish to be made publicly available, submit your comments only as a written/paper submission. You should submit two copies total. One copy will include the information you claim to be confidential with a heading or cover note that states “THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION”. The Agency will review this copy, including the claimed confidential information, in its consideration of comments. The second copy, which will have the claimed confidential information redacted/blacked out, will be available for public viewing and posted on
James R. Hunter, Center for Drug Evaluation and Research, Controlled Substance Staff, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 51, Rm. 5150, Silver Spring, MD 20993-0002, 301-796-3156, email:
The United States is a party to the 1971 Convention on Psychotropic Substances (Psychotropic Convention). Article 2 of the Psychotropic Convention provides that if a party to the convention or WHO has information about a substance, which in its opinion may require international control or change in such control, it shall so notify the Secretary-General of the United Nations (the U.N. Secretary-General) and provide the U.N. Secretary-General with information in support of its opinion.
Section 201 of the CSA (21 U.S.C. 811) (Title II of the Comprehensive Drug Abuse Prevention and Control Act of 1970) provides that when WHO notifies the United States under Article 2 of the Psychotropic Convention that it has information that may justify adding a drug or other substances to one of the schedules of the Psychotropic Convention, transferring a drug or substance from one schedule to another, or deleting it from the schedules, the Secretary of State must transmit the notice to the Secretary of Health and Human Services (Secretary of HHS). The Secretary of HHS must then publish the notice in the
The Secretary of HHS received the following notice from WHO (emphasis removed):
Ref.: C.L.28.2015
The World Health Organization (WHO) presents its compliments to Member States and Associate Members and has the pleasure of informing that the Thirty-sixth Expert Committee on Drug Dependence (ECDD) will meet in Geneva from 16 to 20 November 2015 to review a number of substances with potential for dependence, abuse and harm to health, and will make recommendations to the U.N. Secretary-General, on the need for and level of international control of these substances.
At its 126th session in January 2010, the Executive Board approved the publication “Guidance on the WHO review of psychoactive substances for international control” (EB126/2010/REC1, Annex 6) which requires the Secretariat to request relevant information from Ministers of Health in Member States to prepare a report for submission to the ECDD. For this purpose, a questionnaire was designed to gather information on the legitimate use, harmful use, status of national control and potential impact of international control for each substance under evaluation. Member States are invited to collaborate, as in the past, in this process by providing pertinent information as requested in the questionnaire and concerning substances under review.
It would be appreciated if a person from the Ministry of Health could be designated as the focal point responsible for coordinating and answering the questionnaire. It is requested that the focal point's contact details (including email address) be emailed to:
Upon accessing the links the focal point will be prompted for a token (password) which is the country name in English, non-case sensitive and without spaces.
For ease of reference a PDF version of the questionnaire in English, French and Spanish may be downloaded from the link
Replies to the questionnaire must reach the Secretariat by 15 October 2015 in order to facilitate analyses and preparation of the report before the planned meeting. Where there is a competent National Authority under the International Drug Control Treaties, it is kindly requested that the questionnaire be completed in collaboration with such body.
The summary information from the questionnaire will be published online as part of the report on the Web site for the 37th ECDD linked to the Department of Essential Medicines and Health Products (EMP).
The World Health Organization takes this opportunity to renew to Member States and Associate Members the assurance of its highest consideration.
FDA has verified the Web site addresses contained in the WHO notice, as of the date this document publishes in the
Ketamine is classified as a rapid-acting general anesthetic agent used for short diagnostic and surgical procedures that do not require skeletal muscle relaxation. It is marketed in the United States as an injectable product for medical and veterinary use. Ketamine is controlled in Schedule III of the CSA in the United States. It is not controlled internationally under either the Psychotropic Convention or the Single Convention on Narcotic Drugs. The WHO Expert Committee on Drug Dependence reviewed ketamine at its 34th, 35th, and 36th meetings. On March 13, 2015, the Commission on Narcotic Drugs decided by consensus to postpone the consideration of a proposal concerning the recommendation to place ketamine in Schedule IV of the Psychotropic Convention and to request additional information from the WHO.
Phenazepam and Etizolam belong to a class of substances known as benzodiazepines. Benzodiazepines produce central nervous system depression and are commonly used to treat insomnia, anxiety, and seizure disorders. Phenazepam and Etizolam are currently prescribed in some countries, but neither drug substance is approved for medical use or controlled in the United States under the CSA.
1-cyclohexyl-4-(1,2-diphenylethyl)-piperazine (MT-45) is a synthetic opioid with potent analgesic activity comparable to morphine despite being structurally unrelated to most other opioids. MT-45 use has been associated with deaths in the United States and in other countries. MT-45 is not currently controlled in the United States under the CSA.
Acetylfentanyl (N-(1-phenethylpiperidin-4-yl)-N-phenylacetamide) is a potent opioid analgesic in the phenylpiperidine class of synthetic opioids. With the exception of its analgesic effects, this fentanyl-like substance is similar to other opioid analgesics that produce a variety of pharmacological effects, including alteration in mood, euphoria, drowsiness, respiratory depression, constriction of pupils (miosis), and impaired gastrointestinal motility. Acetylfentanyl has been associated with
α-Pyrrolidinovalerophenone (α-PVP or alpha-PVP) is a synthetic cathinone structurally and pharmacologically similar to amphetamine, 3,4-methylenedioxymethamphetamine (MDMA); cathinone; and other related substances. Effects reported by abusers of synthetic cathinone substances include euphoria; sense of well-being; and increased sociability, energy, empathy, alertness, and concentration and focus. Abusers also report experiencing unwanted effects such as tremor, vomiting, agitation, sweating, fever, and chest pain. Other adverse or toxic effects that have been reported with the abuse of synthetic cathinones include tachycardia, hypertension, hyperthermia, mydriasis, rhabdomyolysis, hyponatremia, seizures, altered mental status (
4-Fluoroamphetamine (4-FA) is a psychoactive substance of the phenethylamine and substituted amphetamine chemical classes and produces stimulant effects. 4-FA is not currently controlled in the United States under the CSA.
Para-Methyl-4-methylaminorex (4,4'-DMAR) is a derivative of the stimulant drug 4-methylaminorex and has been involved in several deaths in the United States. 4,4'-DMAR is not currently controlled in the United States under the CSA.
Para-Methoxymethylamphetamine (PMMA) is a substituted amphetamine of the phenethylamine class, as well as a structural analog of para-methoxyamphetamine (PMA) which produces effects similar but not identical to that of MDMA. PMMA is not currently controlled in the United States under the CSA.
2-(ethylamino)-2-(3-methoxyphenyl)-cyclohexanone (Methoxetamine or MXE) is an arylcyclohexamine and is not currently controlled under the CSA in the United States. At its 36th meeting, the WHO Expert Committee on Drug Dependence noted the insufficiency of data regarding dependence, abuse, and risks to the public health, thereby recommending that Methoxetamine not be placed under international control but be kept under international surveillance.
As required by section 201(d)(2)(A) of the CSA (21 U.S.C. 811(d)(2)(A)), FDA, on behalf of the Department of Health and Human Services (HHS), invites interested persons to submit comments regarding the 10 named drugs. Any comments received will be considered by HHS when it prepares a scientific and medical evaluation of these drugs. HHS will forward a scientific and medical evaluation of these drugs to WHO, through the Secretary of State, for WHO's consideration in deciding whether to recommend international control/decontrol of any of these drugs. Such control could limit, among other things, the manufacture and distribution (import/export) of these drugs and could impose certain recordkeeping requirements on them.
Although FDA is, through this notice, requesting comments from interested persons which will be considered by HHS when it prepares an evaluation of these drugs, HHS will not now make any recommendations to WHO regarding whether any of these drugs should be subjected to international controls. Instead, HHS will defer such consideration until WHO has made official recommendations to the Commission on Narcotic Drugs, which are expected to be made in early 2016. Any HHS position regarding international control of these drugs will be preceded by another
Persons with access to the Internet may obtain the document at either
Food and Drug Administration, HHS.
Notice.
The Food and Drug Administration (FDA) is announcing an opportunity for public comment on the proposed collection of certain information by the Agency. Under the Paperwork Reduction Act of 1995 (the PRA), Federal Agencies are required to publish notice in the
Submit either electronic or written comments on the collection of information by December 4, 2015.
You may submit comments as follows:
Submit electronic comments in the following way:
•
• If you want to submit a comment with confidential information that you do not wish to be made available to the
Submit written/paper submissions as follows:
•
• For written/paper comments submitted to the Division of Dockets Management, FDA will post your comment, as well as any attachments, except for information submitted, marked and identified, as confidential, if submitted as detailed in “Instructions.”
•
FDA PRA Staff, Office of Operations, Food and Drug Administration, 8455 Colesville Rd., COLE-14526, Silver Spring, MD 20993-0002,
Under the 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. “Collection of information” is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes Agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) requires Federal Agencies to provide a 60-day notice in the
With respect to the following collection of information, FDA invites comments on: (1) Whether the proposed collection of information is necessary for the proper performance of FDA's functions, including whether the information will have practical utility; (2) the accuracy of FDA's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) ways to enhance the quality, utility, and clarity of the information to be collected; and (4) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques when appropriate, and other forms of information technology.
The statutory authority to collect this information is provided under sections 351 and 361 of the PHS Act (42 U.S.C. 262 and 264) and the provisions of the Federal Food, Drug, and Cosmetic Act that apply to drugs (21 U.S.C. 301
The PHS guideline also recommends that certain specimens and records be maintained for 50 years beyond the date of the xenotransplantation. These include: (1) Records linking each xenotransplantation product recipient with relevant health records of the source animal, herd or colony, and the specific organ, tissue, or cell type included in or used in the manufacture of the product (section 3.2.7.1); (2) aliquots of serum samples from randomly selected animal and specific
The recommendation for maintaining records for 50 years is based on clinical experience with several human viruses that have presented problems in human to human transplantation and are therefore thought to share certain characteristics with viruses that may pose potential risks in xenotransplantation. These characteristics include long latency periods and the ability to establish persistent infections. Several also share the possibility of transmission among individuals through intimate contact with human body fluids. Human immunodeficiency virus (HIV) and Human T-lymphotropic virus are human retroviruses. Retroviruses contain ribonucleic acid that is reverse-transcribed into deoxyribonucleic acid (DNA) using an enzyme provided by the virus and the human cell machinery. That viral DNA can then be integrated into the human cellular DNA. Both viruses establish persistent infections and have long latency periods before the onset of disease; 10 years and 40 to 60 years, respectively. The human hepatitis viruses are not retroviruses, but several share with HIV the characteristic that they can be transmitted through body fluids, can establish persistent infections, and have long latency periods,
In addition, the PHS guideline recommends that a record system be developed that allows easy, accurate, and rapid linkage of information among the specimen archive, the recipient's medical records, and the records of the source animal for 50 years. The development of such a record system is a one-time burden. Such a system is intended to cross-reference and locate relevant records of recipients, products, source animals, animal procurement centers, and nosocomial exposures.
Respondents to this collection of information are the sponsors of clinical studies of investigational xenotransplantation products under investigational new drug applications (INDs) and xenotransplantation product procurement centers, referred to as source animal facilities. There are an estimated three respondents who are sponsors of INDs that include protocols for xenotransplantation in humans and five clinical centers doing xenotransplantation procedures. Other respondents for this collection of information are an estimated four source animal facilities which provide source xenotransplantation product material to sponsors for use in human xenotransplantation procedures. These four source animal facilities keep medical records of the herds/colonies as well as the medical records of the individual source animal(s). The burden estimates are based on FDA's records of xenotransplantation-related INDs and estimates of time required to complete the various reporting, recordkeeping, and third-party disclosure tasks described in the PHS guideline.
FDA is requesting an extension of OMB approval for the following reporting, recordkeeping, and third-party disclosure recommendations in the PHS guideline:
FDA estimates the burden for this collection of information as follows:
Because of the potential risk for cross-species transmission of pathogenic persistent virus, the guideline recommends that health records be retained for 50 years. Since these records are medical records, the retention of such records for up to 50 years is not information subject to the PRA (5 CFR 1320.3(h)(5)). Also, because of the limited number of clinical studies with small patient populations, the number of records is expected to be insignificant at this time.
Information collections in this guideline not included in tables 1
In table 7, FDA identifies those collections of information activities that are already encompassed by existing regulations or are consistent with voluntary standards which reflect industry's usual and customary business practice.
Assistant Secretary for Planning and Evaluation, HHS.
Notice of meeting.
This notice announces the public meeting of the Advisory Council on Alzheimer's Research, Care, and Services (Advisory Council). The Advisory Council on Alzheimer's Research, Care, and Services provides advice on how to prevent or reduce the burden of Alzheimer's disease and related dementias on people with the disease and their caregivers. During the October meeting, the Advisory Council will welcome its new members and invite them to share their experiences and where they see the Council going over the length of their terms. The Advisory Council will also spend some time discussing the process of developing recommendations and how those recommendations relate to the National Plan. The Council will also hear a presentation from members of the HHS Strategic Planning Team about how the National Plan fits into the greater HHS Strategic Plan.
The meeting will be held on October 26th, 2015 from 9:00 a.m. to 5:00 p.m. EDT.
The meeting will be held in Room 800 in the Hubert H. Humphrey Building, 200 Independence Avenue SW., Washington, DC 20201.
Rohini Khillan (202) 690-5932,
Notice of these meetings is given under the Federal Advisory Committee Act (5 U.S.C. App. 2, section 10(a)(1) and (a)(2)). Topics of the Meeting: During the October meeting, the Advisory Council will welcome its new members and invite them to share their experiences and where they see the Council going over the length of their terms. The Advisory Council will also spend some time discussing the process of developing recommendations and how those recommendations relate to the National Plan. The Council will also hear a presentation from members of the HHS Strategic Planning Team about how the National Plan fits into the greater HHS Strategic Plan.
Procedure and Agenda: This meeting is open to the public. Please allow 30 minutes to go through security and walk to the meeting room. The meeting will also be webcast at
Indian Health Service, HHS.
Notice; extension of the comment period.
This document extends the comment period for the notice to propose Redesignation of the Service Delivery Area for the Aquinnah Wampanoag Indian Tribe, which was published in the
The comment period for the notice published in the August 24, 2015
Because of staff and resource limitations, we cannot accept comments by facsimile transmission. You may submit comments in one of three ways (please choose only one of the ways listed):
1.
Please allow sufficient time for mailed comments to be received before the close of the comment period.
2.
3.
Comments will be made available for public inspection at the Rockville address from 8:30 a.m. to 5:00 p.m., Monday-Friday, approximately three weeks after publication of this notice.
Carl Harper, Director, Office of Resource Access and Partnerships, Indian Health Service, 801 Thompson Avenue, Rockville, Maryland 20852. Telephone: (301) 443-1553.
The notice that was published in the
The Bureau of Indian Affairs recognized the Wampanoag Tribe of Gay Head on February 10, 1987. Martha's Vineyard, Dukes County was designated as the Aquinnah service delivery area in the Wampanoag Tribal Council of Gay Head, Inc., Indian Claims Settlement Act of 1987, Public Law 100-95.
This comment period is being extended to allow all interested parties the opportunity to comment on the
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 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.
Notice is hereby given of a change in the meeting of the Center for Scientific Review Special Emphasis Panel, October 9, 2015, 8:30 a.m. to October 9, 2015, 7:00 p.m., The Dupont Circle Hotel, 1500 New Hampshire Avenue NW., Washington, DC, 20036 which was published in the
The meeting title was changed to: “Nursing and Related Clinical Sciences Overflow Meeting”. All other details remain unchanged. The meeting is closed to the public.
National Institutes of Health, HHS.
Notice.
The invention listed below is 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 contacting Jasmine Yang, Ph.D., at the Technology Advancement Office, National Institute of Diabetes and Digestive and Kidney Diseases, Building 12A, Suite 3011 (MSC 5632), Bethesda MD 20892; Telephone: 301-451-7836; Email:
Technology description follows.
Description of Technology: Cannabinoid (CB1 and CB2) receptors recognize and mediate the effects of the active compound tetrahydrocannabinol found in marijuana. CB1 receptor activation plays a key role in appetitive behavior and metabolism.
Dr. Kunos and colleagues have designed a set of CB1 receptor inverse agonists that are effective at reducing obesity and its associated metabolic consequences while not causing the adverse neuropsychotropic side effects linked to earlier antagonists such as rimonabant. The CB1 receptor compounds were developed with the goals of (1) limiting their brain penetrance without losing their metabolic efficacy due to CB1 inverse agonism, and (2) generating compounds whose primary metabolite directly targets enzymes involved in inflammatory and fibrotic processes associated with metabolic disorders. The patent application of this technology are to the composition of matter and methods of use to the cannabinoid receptor (CB1) blocking compounds for the treatment of obesity, diabetes, fatty liver disease and a variety of obesity-related metabolic syndromes. The technology has the potential to be the next generation of safer CB1 receptor therapeutics for treating obesity.
Potential Commercial Applications:
• Treatment for obesity
• Treatment for metabolic syndrome
• Treatment of diabetes
• Treatment of fibrosis
• Treatment of Fatty Liver Disease such as Nonalcoholic steatohepatitis (NASH)
Competitive Advantages:
• Inhibits metabolic activity without causing psychiatric side effects
• Offers improved anti-inflammatory and anti-fibrotic efficacy
Development Stage:
• In vitro data available
• In vivo data available (animal)
Inventors: George Kunos (NIAAA), Malliga Iyer (NIAAA), Resat Cinar (NIAAA), Kenner Rice (NIDA)
Intellectual Property:
• HHS Reference No. E-282-2012/0-US-01—US Provisional Patent Application No. 61/725,949 filed November 13, 2012
• HHS Reference No. E-282-2012/0-PCT-02—PCT Application No. PCT/US2013/069686 filed November 12, 2013
• HHS Reference No. E-282-2012/0-US-03—US Patent Application No. 14/442,383 filed May 12, 2015
• HHS Reference No. E-282-2012/0-CA-04—Canadian Patent Application No. 2889697 filed April 27, 2015
• HHS Reference No. E-282-2012/0-EP-05—European Patent Application No. 13802153.0 filed June 01, 2015
• HHS Reference No. E-282-2012/0-IN-06—Indian Patent Application No. 3733/DELNP/2015 filed May 01, 2015
• HHS Reference No. E-282-2012/0-JP-07—Japanese Patent Application No. 2015-542015 filed May 11, 2015
• HHS Reference No. E-282-2012/0-CN-08—Chinese Patent Application No. 201380069389.9 filed July 3, 2015
• HHS Reference No. E-282-2012/1-US-01—US Provisional Application No. 62/171, 179 filed June 04, 2015
Licensing Contact: Jasmine Yang, Ph.D.; 301-451-7836;
Collaborative Research Opportunity: The National Institute on Alcohol Abuse and Alcoholism, Laboratory of Physiologic Studies, is seeking statements of capability or interest from parties interested in collaborative research to further develop, evaluate or commercialize peripherally restricted CB1 receptor blockers with improved efficacy. For collaboration opportunities, please contact George Kunos, M.D., Ph.D. at
Pursuant to section 10(a) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of a meeting of the Sleep Disorders Research Advisory Board.
The meeting will be open to the public and conducted electronically. The public is encouraged to observe the meeting, and should request instructions from the Contact Person listed below in advance.
This notice is being published less than 15 days prior to the meeting due to internal discussions regarding agenda and scheduling details.
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 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 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 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.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Federal Emergency Management Agency, DHS.
Notice.
This notice amends the notice of a major disaster declaration for the State of California (FEMA-4240-DR), dated September 22, 2015, and related determinations.
Dean Webster, Office of Response and Recovery, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472, (202) 646-2833.
The notice of a major disaster declaration for the State of California is hereby amended to include the following area to the event declared a major disaster by the President in his declaration of September 22, 2015.
Calaveras County for Individual Assistance.
The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 97.030, Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling; 97.033, Disaster Legal Services; 97.034, Disaster Unemployment Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048, Disaster Housing Assistance to Individuals and Households In Presidentially Declared Disaster Areas; 97.049, Presidentially Declared Disaster Assistance—Disaster Housing Operations for Individuals and Households; 97.050, Presidentially Declared Disaster Assistance to Individuals and Households—Other Needs; 97.036, Disaster Grants—Public Assistance (Presidentially Declared Disasters); 97.039, Hazard Mitigation Grant.
Federal Emergency Management Agency, DHS.
Notice.
This notice amends the notice of a major disaster for the State of California (FEMA-4240-DR), dated September 22, 2015, and related determinations.
Dean Webster, Office of Response and Recovery, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472, (202) 646-2833.
Notice is hereby given that the incident period for this declared disaster is now September 9, 2015, and continuing.
The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 97.030, Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling; 97.033, Disaster Legal Services; 97.034, Disaster Unemployment Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048, Disaster Housing Assistance to Individuals and Households In Presidentially Declared Disaster Areas; 97.049, Presidentially Declared Disaster Assistance—Disaster Housing Operations for Individuals and Households; 97.050, Presidentially Declared Disaster Assistance to Individuals and Households—Other Needs; 97.036, Disaster Grants—Public Assistance
Federal Emergency Management Agency, DHS.
Notice.
This notice amends the notice of a major disaster for the State of California (FEMA-4240-DR), dated September 22, 2015, and related determinations.
Dean Webster, Office of Response and Recovery, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472, (202) 646-2833.
Notice is hereby given that the incident for this disaster has been expanded to include the Butte Fire.
Federal Emergency Management Agency, DHS.
Committee Management; Notice of Federal Advisory Committee Meeting.
The Federal Emergency Management Agency (FEMA) Technical Mapping Advisory Council (TMAC) will meet in person on October 20-21, 2015, in Reston, VA. The meeting will be open to the public.
The TMAC will meet on Tuesday, October 20, 2015, from 8:00 a.m. to 5:30 p.m., and Wednesday, October 21, 2015, and from 8:00 a.m. to 5:00 p.m., Eastern Daylight Savings Time (EDT). Please note that the meeting will close early if the TMAC has completed its business.
The meeting will be held in the auditorium of the United States Geological Survey (USGS) headquarters building located at 12201 Sunrise Valley Drive, Reston, VA 20192. Members of the public who wish to attend the meeting must register in advance by sending an email to
For information on facilities or services for individuals with disabilities or to request special assistance at the meeting, contact the person listed in
To facilitate public participation, members of the public are invited to provide written comments on the issues to be considered by the TMAC, as listed in the
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A public comment period will be held on October 20, 2015, from 8:30 to 8:45 a.m. and again on October 21, 2015, from 8:30 to 8:45 a.m. Speakers are requested to limit their comments to no more than three minutes. The public comment period will not exceed 15 minutes. Please note that the public comment period may end before the time indicated, following the last call for comments. Contact the individual listed below to register as a speaker by close of business on Wednesday, October 14, 2015.
Mark Crowell, Designated Federal Officer for the TMAC, FEMA, 1800 South Bell Street, Arlington, VA 22202, telephone (202) 646-3432, and email
Notice of this meeting is given under the Federal Advisory Committee Act, 5 U.S.C. Appendix.
As required by the
The TMAC must also develop recommendations on how to ensure that flood insurance rate maps incorporate the best available climate science to assess flood risks and ensure that FEMA uses the best available methodology to consider the impact of the rise in sea level and future development on flood risk. The TMAC must collect these recommendations and present them to the FEMA Administrator in a future conditions risk assessment and modeling report.
Further, in accordance with the
On October 21, 2015, the TMAC members will continue to deliberate and vote on the final draft content and recommendations to be incorporated in the two reports. If time permits, the TMAC members will discuss and coordinate on the TMAC's 2016 Reports and the next steps forward. A public comment period will take place during the meeting from 8:30 to 8:45 a.m. on the draft reports. In addition, following the TMAC's discussion of specific report sections, the public will be invited to make brief comments on the specific sections being discussed. A maximum of ten minutes will be allotted for public comment related to the specific report sections prior to the TMAC's deliberation and vote. The full agenda and additional briefing materials will be posted for review by October 12, 2015 at
Federal Emergency Management Agency, DHS.
Notice.
This notice amends the notice of a major disaster declaration for the State of California (FEMA-4240-DR), dated September 22, 2015, and related determinations.
Dean Webster, Office of Response and Recovery, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472, (202) 646-2833.
The notice of a major disaster declaration for the State of California is hereby amended to include direct federal assistance for those areas determined to have been adversely affected by the event declared a major disaster by the President in his declaration of September 22, 2015.
Calaveras and Lake Counties for emergency protective measures (Category B), limited to direct federal assistance, under the Public Assistance program.
Federal Emergency Management Agency, DHS.
Notice.
This is a notice of the Presidential declaration of a major disaster for the State of California (FEMA-4240-DR), dated September 22, 2015, and related determinations.
Dean Webster, Office of Response and Recovery, Federal Emergency Management Agency, 500 C Street SW., Washington, DC 20472, (202) 646-2833.
Notice is hereby given that, in a letter dated September 22, 2015, the President issued a major disaster declaration under the authority of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121
I have determined that the damage in certain areas of the State of California resulting from the Valley Fire beginning on September 12, 2015, and continuing, is of sufficient severity and magnitude to warrant a major disaster declaration under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121
In order to provide Federal assistance, you are hereby authorized to allocate from funds available for these purposes such amounts as you find necessary for Federal disaster assistance and administrative expenses.
You are authorized to provide Individual Assistance in the designated areas and
Further, you are authorized to make changes to this declaration for the approved assistance to the extent allowable under the Stafford Act.
The time period prescribed for the implementation of section 310(a), Priority to Certain Applications for Public Facility and Public Housing Assistance, 42 U.S.C. 5153, shall be for a period not to exceed six months after the date of this declaration.
The Federal Emergency Management Agency (FEMA) hereby gives notice that pursuant to the authority vested in the Administrator, under Executive Order 12148, as amended, Timothy J. Scranton, of FEMA is appointed to act as the Federal Coordinating Officer for this major disaster.
The following areas of the State of California have been designated as adversely affected by this major disaster:
Lake County for Individual Assistance.
All areas within the State of California are eligible for assistance under the Hazard Mitigation Grant Program.
The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 97.030, Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling; 97.033, Disaster Legal Services; 97.034, Disaster Unemployment Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048, Disaster Housing Assistance to Individuals and Households In Presidentially Declared Disaster Areas; 97.049, Presidentially Declared Disaster Assistance—Disaster Housing Operations for Individuals and Households; 97.050, Presidentially Declared Disaster Assistance to Individuals and Households—Other Needs; 97.036, Disaster Grants—Public Assistance (Presidentially Declared Disasters); 97.039, Hazard Mitigation Grant.
Office of the Chief Information Officer, HUD.
Notice.
HUD has submitted the proposed information collection requirement described below to the Office of Management and Budget (OMB) for review, in accordance with the Paperwork Reduction Act. The purpose of this notice is to allow for an additional 30 days of public comment.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name and/or OMB Control Number and should be sent to: HUD Desk Officer, Office of Management and Budget, New Executive Office Building, Washington, DC 20503; fax: 202-395-5806. Email:
Colette Pollard, Reports Management Officer, QMAC, Department of Housing and Urban Development, 451 7th Street SW., Washington, DC 20410; email Colette Pollard at
Copies of available documents submitted to OMB may be obtained from Ms. Pollard.
This notice informs the public that HUD is seeking approval from OMB for the information collection described in Section A.
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This notice is soliciting comments from members of the public and affected parties concerning the collection of information described in Section A on the following:
(1) 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) The accuracy of the agency's estimate of the burden of the proposed collection of information;
(3) Ways to enhance the 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 through the use of appropriate automated collection techniques or other forms of information technology,
HUD encourages interested parties to submit comment in response to these questions.
12 U.S.C. 1701z-1 Research and Demonstrations.
Office of the Chief Information Officer, HUD.
Notice.
HUD has submitted the proposed information collection requirement described below to the Office of Management and Budget (OMB) for review, in accordance with the Paperwork Reduction Act. The purpose of this notice is to allow for an additional 30 days of public comment.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name and/or OMB Control Number and should be sent to: HUD Desk Officer, Office of Management and Budget, New Executive Office Building, Washington, DC 20503; fax: 202-395-5806. Email:
Colette Pollard, Reports Management Officer, QMAC, Department of Housing and Urban Development, 451 7th Street SW., Washington, DC 20410; email Colette Pollard at
Copies of available documents submitted to OMB may be obtained from Ms. Pollard.
This notice informs the public that HUD is seeking approval from OMB for the information collection described in Section A.
The
The Section 811 PRA program authorizing statute requires HUD to describe the assistance under the program, to analyze its effectiveness, and propose recommendations for future assistance under Section 811. HUD is implementing a two-phase evaluation of the Section 811 PRA program. The first phase of the evaluation is focused on a process evaluation that will describe the implementation of the program in the first 12 states awarded Section 811 PRA funds. The second phase will evaluate the program effectiveness and its impact on residents. This request for OMB clearance covers the first phase of the evaluation. Data collection includes in-person interviews with staffs at state agencies, (housing, health and human services and state Medicaid providers) and Section 811 PRA partner agencies (property owners or managers of properties where Section 811 PRA participants live and staff at organizations that provide supportive services to PRA participants). The purpose of the interviews is to document the implementation experience of the Section 811 PRA program.
We will complete as much as the interview protocol as possible in advance of the site visit from available data sources including the 2012 Section 811 PRA application for funding, quarterly grantee reports, and HUD administrative data. Interviews will be conducted orally and grantees will not be asked to provide written responses to any interview query. Prior to the interviews, we will conduct screening calls with each grantee to tailor the conversations and identify participants to include in the process interviews.
The length of interviews with partner organizations will vary based on the roles they have in the Section 811 PRA program. We expect the interviews to take between 120 and 180 minutes based on the responsibilities of each partner.
For the state housing agency staff and state health and human service agency or state Medicaid agency staff, researchers will administer interviews on the implementation of the Section 811 PRA Demonstration for an average of six hours. An additional 2 hours will be needed for agency staff to compile material needed on the PRA program in order to answer the research questions. The total burden for state housing agency and Medicaid respondents is 192 hours. The average interview for PRA Demonstration partner agency/property owner staff is 90 minutes long, with an additional hour to compile information needed to complete the answers to the interview questions. The total burden for all Section 811 PRA program participants is 329.5 hours.
This notice is soliciting comments from members of the public and affected parties concerning the collection of information described in Section A on the following:
(1) 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) The accuracy of the agency's estimate of the burden of the proposed collection of information;
(3) Ways to enhance the 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 through the use of appropriate automated collection techniques or other forms of information technology,
HUD encourages interested parties to submit comment in response to these questions.
12 U.S.C. 1701z-1 Research and Demonstrations.
Office of the Chief Information Officer, HUD.
Notice.
HUD has submitted the proposed information collection requirement described below to the Office of Management and Budget (OMB) for review, in accordance with the Paperwork Reduction Act. The purpose of this notice is to allow for an additional 30 days of public comment.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name and/or OMB Control Number and should be sent to: HUD Desk Officer, Office of Management and Budget, New Executive Office Building, Washington, DC 20503; fax: 202-395-5806. Email:
Colette Pollard, Reports Management Officer, QMAC, Department of Housing and Urban Development, 451 7th Street SW., Washington, DC 20410; email Colette Pollard at
Copies of available documents submitted to OMB may be obtained from Ms. Pollard.
This notice informs the public that HUD is seeking approval from OMB for the information collection described in Section A.
The
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Obtain the current Public Housing Application:
This notice is soliciting comments from members of the public and affected parties concerning the collection of information described in Section A on the following:
(1) 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) The accuracy of the agency's estimate of the burden of the proposed collection of information;
(3) Ways to enhance the 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 through the use of appropriate automated collection techniques or other forms of information technology,
HUD encourages interested parties to submit comment in response to these questions.
12 U.S.C. 1701z-1 Research and Demonstrations.
Fish and Wildlife Service, Interior.
Notice of availability; request for comment.
We, the U.S. Fish and Wildlife Service (Service), have received an application from the Oregon Department of Transportation (ODOT) for an incidental take permit (permit) under the Endangered Species Act (ESA) of 1973, as amended. The ODOT's application requests a 25-year permit that would authorize “take” of the endangered Fender's blue butterfly and the threatened Oregon silverspot butterfly incidental to otherwise lawful activities associated with road right-of-way (ROW) maintenance and management activities. The application includes ODOT's draft habitat conservation plan (HCP), which describes the actions ODOT will implement to minimize and mitigate the impacts of incidental take caused by covered activities. We invite comment on the application, draft HCP, and the Service's draft environmental action statement (EAS) and preliminary determination that the draft HCP qualifies for a categorical exclusion under the National Environmental Policy Act (NEPA).
Written comments on the draft HCP and the NEPA categorical exclusion determination must be received from interested parties no later than November 4, 2015.
To request further information or submit written comments, please use one of the following methods, and note that your information request or comments are in reference to the ODOT HCP.
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Richard Szlemp, U.S. Fish and Wildlife Service (see
Section 9 of the ESA (16 U.S.C. 1531
Under specified circumstances, the Service may issue permits that authorize take of federally listed species, provided the take is incidental to, but not the purpose of, an otherwise lawful activity. Regulations governing permits for endangered and threatened species are at 50 CFR 17.22 and 17.32, respectively. Section 10(a)(1)(B) of the ESA contains provisions for issuing such incidental take permits to non-Federal entities for the take of endangered and threatened species, provided the following criteria are met:
(1) The taking will be incidental;
(2) The applicant will prepare a conservation plan that, to the maximum extent practicable, identifies the steps the applicant will take to minimize and mitigate the impact of such taking;
(3) The applicant will ensure that adequate funding for the plan will be provided;
(4) The taking will not appreciably reduce the likelihood of the survival and recovery of the species in the wild; and
(5) The applicant will carry out any other measures that the Service may
The Service proposes to approve the HCP and to issue a permit, both with a term of 25 years, to ODOT for incidental take of the endangered Fender's blue butterfly (
The HCP addresses routine maintenance activities on ODOT-managed roads and their associated right-of-ways (ROWs) throughout Oregon. The ROW is defined as property along the State highway system owned by ODOT, including paved surface, shoulders, and drainage ditches. Medians and interchanges associated with the highway system are part of the ROW. The ROW width varies considerably and is often based on property purchased when the highway was constructed. Typically, the ROW boundary is just beyond the top of slopes cut into hills or the bottom of low areas filled for construction of the highway. Populations of Federal and State listed plants known to occur within ODOT ROW were field located through targeted surveys, verified, and posted.
The “Operational Roadway” is that portion of the ROW that has been identified as critical for maintaining the integrity of the highway and the safety of the travelling public. Under the HCP, ODOT will not specifically protect or manage listed plants or butterfly habitat in the Operational Roadway because of the importance of this area for road safety and functionality. This does not preclude the continued presence of listed species and is one reason an incidental take permit is being sought.
ODOT has identified known populations of listed species outside the Operational Roadway that they propose to avoid impacting. ODOT established a Special Management Area (SMA) Program designed to protect and manage threatened and endangered species, primarily plants, occurring adjacent to the highway. The specific boundary between the Operational Roadway and protected areas is determined on a case-by-case basis, depending on topography, highway features and facilities, and proximity to protected resources. When a roadside ditch is present, the Operational Roadway typically ends 4 feet beyond the bottom center of the ditch. When no ditch is apparent, the Operational Roadway boundary is usually 10 feet beyond the edge of pavement. Under the HCP, the SMAs incorporate the known populations of rare plants on ODOT ROW that ODOT has agreed to avoid impacting. In most cases, only periodic maintenance is necessary in SMAs and site-specific restrictions have been developed to protect listed species in each SMA. However, most of the highway facilities that require routine maintenance are located in the Operational Roadway.
All federally listed plants in Oregon are also protected by State law under the Oregon Endangered Species Act, and their protection and conservation are administered by the Oregon Department of Agriculture (ODA). The Oregon ESA protects many other plant species beyond those protected under the Federal ESA. All State agencies, including ODOT, must consult with ODA when a proposed action on land owned or leased by the State, or for which the State holds a recorded easement, has the potential to appreciably reduce the likelihood of the survival or recovery of any listed plant species. ODA will accept the HCP as the foundation for consultation with ODOT regarding possible routine roadside maintenance impacts to State listed plants. Because of the Oregon ESA, conservation measures for many plant species are included in the HCP, but they will not be included under the incidental take permit since the Federal ESA has very limited take prohibitions with respect to federally listed plants.
The anticipated extent of impacts for which incidental take permit coverage is sought includes 0.066 acre of Fender's blue butterfly larval host plants and 1.11 acres of adult nectar plants. These impacts will be mitigated at a ratio of 3:1. Impacts to the Oregon silverspot butterfly along the ROW would amount to about 0.27 acre of its habitat. These impacts would occur as a result of ODOT mowing less than a mile of ROW containing herbaceous flowering plants alongside U.S. Highway 101 in the central coast area to discourage use by Oregon silverspot butterflies so as to reduce their likelihood of being hit by highway traffic. Additional measures may involve increasing listed butterfly nectar and larval food plants in meadows that are distant from the road, and adding hedgerow or forest fringe shelter to meadows on both sides of the highway so listed butterflies will not have to cross the road to access nectar and larval plant resources.
The development of the draft HCP and the proposed issuance of an incidental take permit is a Federal action that triggers the need for compliance with the National Environmental Policy Act of 1969, as amended (42 U.S.C. 4321
You may submit your comments and materials by one of the methods listed in the
All comments and materials we receive become part of the public record associated with this action. Before including your address, phone number, email address, or other personal identifying information in your comments, 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. Comments and materials we receive, as well as supporting documentation will be available for public inspection by appointment, during normal business hours, at our Oregon Fish and Wildlife Office (see
We will evaluate the HCP, as well as any comments we receive, to determine whether implementation of the HCP would meet the criteria for issuance of a permit under section 10(a)(1)(B) of the ESA. We will also evaluate whether the proposed permit action would comply with section 7 of the ESA by conducting an intra-Service section 7 consultation. We will consider the results of this consultation, in combination with the above findings, in our final analysis to determine whether or not to issue a permit to the ODOT. We will not make the final NEPA and permit decisions until after the end of the 30-day public comment period on this notice, and we will fully consider all comments we receive during the public comment period. If we determine that the permit issuance requirements are met, the Service will issue a permit to the ODOT.
We provide this notice in accordance with the requirements of section 10 of the ESA (16 U.S.C. 1531
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 Rosebud Sioux Tribe of the Rosebud Indian Reservation and the State of South Dakota.
Effective October 5, 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.
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 Rosebud Sioux Tribe of the Rosebud Indian Reservation and the State of South Dakota have reached an agreement to extend the expiration of their existing Tribal-State Class III gaming compact to February 5, 2016. This publishes notice of the new expiration date of the compact.
Office of the Secretary, Interior.
Notice.
This notice lists programs or portions of programs that are eligible for inclusion in funding agreements with self-governance Indian tribes and lists Fiscal Year 2015 programmatic targets for each of the non-Bureau of Indian Affairs (BIA) bureaus in the Department of the Interior, pursuant to the Tribal Self-Governance Act.
Submit written comments on this notice on or before November 4, 2015.
Send written comments to Ms. Sharee M. Freeman, Director, Office of Self-Governance (MS 355H-SIB), 1849 C Street NW., Washington, DC 20240-0001, telephone: (202) 219-0240, fax: (202) 219-1404, or to the bureau-specific points of contact listed below.
Inquiries regarding this notice may be directed to Ms. Sharee M. Freeman at (202) 219-0240.
Title II of the Indian Self-Determination Act Amendments of 1994 (Pub. L. 103-413, the “Tribal Self-Governance Act” or the “Act”) instituted a permanent self-governance program at the Department of the Interior. Under the self-governance program, certain programs, services, functions, and activities, or portions thereof, in Interior bureaus other than BIA are eligible to be planned, conducted, consolidated, and administered by a self-governance tribe.
Under section 405(c) of the Tribal Self-Governance Act, the Secretary of the Interior is required to publish annually: (1) A list of non-BIA programs, services, functions, and activities, or portions thereof, that are eligible for inclusion in agreements negotiated under the self-governance program; and (2) programmatic targets for these bureaus.
Under the Tribal Self-Governance Act, two categories of non-BIA programs are eligible for self-governance funding agreements:
(1) Under section 403(b)(2) of the Act, any non-BIA program, service, function, or activity that is administered by Interior that is “otherwise available to Indian tribes or Indians,” can be administered by a tribe through a self-governance funding agreement. The Department interprets this provision to authorize the inclusion of programs eligible for self-determination contracts under Title I of the Indian Self-Determination and Education Assistance Act (Pub. L. 93-638, as amended). Section 403(b)(2) also specifies, “nothing in this subsection may be construed to provide any tribe with a preference with respect to the opportunity of the tribe to administer programs, services, functions, and activities, or portions thereof, unless such preference is otherwise provided for by law.”
(2) Under section 403(c) of the Act, the Secretary may include other programs, services, functions, and activities or portions thereof that are of “special geographic, historical, or cultural significance” to a self-governance tribe.
Under section 403(k) of the Tribal Self-Governance Act, funding agreements cannot include programs, services, functions, or activities that are inherently Federal or where the statute establishing the existing program does not authorize the type of participation sought by the tribe. However, a tribe (or tribes) need not be identified in the authorizing statutes in order for a program or element to be included in a self-governance funding agreement. While general legal and policy guidance regarding what constitutes an inherently Federal function exists, the non-BIA Bureaus will determine whether a specific function is inherently Federal on a case-by-case basis considering the totality of circumstances. In those instances where the tribe disagrees with the Bureau's determination, the tribe may request reconsideration from the Secretary.
Subpart G of the self-governance regulations found at 25 CFR part 1000 provides the process and timelines for negotiating self-governance funding agreements with non-BIA bureaus.
The Office of Natural Resources Revenue (ONRR) proposed new language to update Section III. C. Eligible Office of Natural Resources Revenue (ONRR) Programs to revise its contact information as well as the introduction to program functions that may be available to self-governance tribes. The changes were made.
Below is a listing by bureau of the types of non-BIA programs, or portions thereof, that may be eligible for self-governance funding agreements because they are either “otherwise available to Indians” under Title I and not precluded by any other law, or may have “special geographic, historical, or cultural significance” to a participating tribe. The list represents the most current information on programs potentially available to tribes under a self-governance funding agreement.
The Department will also consider for inclusion in funding agreements other programs or activities not listed below, but which, upon request of a self-governance tribe, the Department determines to be eligible under either sections 403(b)(2) or 403(c) of the Act. Tribes with an interest in such potential agreements are encouraged to begin discussions with the appropriate non-BIA bureau.
The BLM carries out some of its activities in the management of public lands through contracts and cooperative agreements. These and other activities, depending upon availability of funds, the need for specific services, and the self-governance tribe's demonstration of a special geographic, cultural, or historical connection, may also be available for inclusion in self-governance funding agreements. Once a tribe has made initial contact with the BLM, more specific information will be provided by the respective BLM State office.
Some elements of the following programs may be eligible for inclusion in a self-governance funding agreement. This listing is not all-inclusive, but is representative of the types of programs that may be eligible for tribal participation through a funding agreement.
1. Minerals Management. Inspection and enforcement of Indian oil and gas operations: Inspection, enforcement and production verification of Indian coal and sand and gravel operations are already available for contracts under Title I of the Act and, therefore, may be available for inclusion in a funding agreement.
2. Cadastral Survey. Tribal and allottee cadastral survey services are already available for contracts under Title I of the Act and, therefore, may be available for inclusion in a funding agreement.
1. Cultural heritage. Cultural heritage activities, such as research and inventory, may be available in specific States.
2. Natural Resources Management. Activities such as silvicultural treatments, timber management, cultural resource management, watershed restoration, environmental studies, tree planting, thinning, and similar work, may be available in specific States.
3. Range Management. Activities, such as revegetation, noxious weed control, fencing, construction and management of range improvements, grazing management experiments, range monitoring, and similar activities, may be available in specific States.
4. Riparian Management. Activities, such as facilities construction, erosion control, rehabilitation, and other similar activities, may be available in specific States.
5. Recreation Management. Activities, such as facilities construction and maintenance, interpretive design and construction, and similar activities may be available in specific States.
6. Wildlife and Fisheries Habitat Management. Activities, such as construction and maintenance, implementation of statutory, regulatory and policy or administrative plan-based species protection, interpretive design and construction, and similar activities may be available in specific States.
7. Wild Horse Management. Activities, such as wild horse round-ups, adoption and disposition, including operation and maintenance of wild horse facilities, may be available in specific States.
For questions regarding self-governance, contact Jerry Cordova, Bureau of Land Management (MS L St-204), 1849 C Street NW., Washington, DC 20240, telephone: (202) 912-7245, fax: (202) 452-7701.
The mission of the Bureau of Reclamation (Reclamation) is to manage, develop, and protect water and related resources in an environmentally and economically sound manner in the interest of the American public. To this end, most of Reclamation's activities involve the construction, operation and maintenance, and management of water resources projects and associated facilities, as well as research and development related to its responsibilities. Reclamation water resources projects provide water for agricultural, municipal and industrial water supplies; hydroelectric power generation; flood control, enhancement of fish and wildlife habitats; and outdoor recreation.
Components of the following water resource projects listed below may be eligible for inclusion in a self-governance annual funding agreement. This list was developed with consideration of the proximity of identified self-governance tribes to Reclamation projects.
Upon the request of a self-governance tribe, Reclamation will also consider for inclusion in funding agreements other programs or activities which Reclamation determines to be eligible under Section 403(b)(2) or 403(c) of the Act.
For questions regarding self-governance, contact Mr. Kelly Titensor, Policy Analyst, Native American and International Affairs Office, Bureau of Reclamation (96-43000) (MS 7069-MIB); 1849 C Street NW., Washington, DC 20240, telephone: (202) 513-0558, fax: (202) 513-0311.
The Office of Natural Resources Revenue (ONNR) collects, accounts for, and distributes mineral revenues from both Federal and Indian mineral leases.
The ONRR also evaluates industry compliance with laws, regulations, and lease terms, and offers mineral-owning tribes opportunities to become involved in its programs that address the intent of tribal self-governance. These programs are available to self-governance tribes and are a good prerequisite for assuming other technical functions. Generally, ONRR program functions are available to tribes because of the Federal Oil and Gas Royalty Management Act of 1983 (FOGRMA) at 30 U.S.C. 1701. The ONRR promotes Tribal self-governance and self-determination over trust lands and resources through the following program functions that may be available to self-governance tribes:
1. Audit of Tribal Royalty Payments. Audit activities for tribal leases, except for the issuance of orders, final valuation decisions, and other enforcement activities. (For tribes already participating in ONRR cooperative audits, this program is offered as an option.)
2. Verification of Tribal Royalty Payments. Financial compliance verification, monitoring activities, and production verification.
3. Tribal Royalty Reporting, Accounting, and Data Management. Establishment and management of royalty reporting and accounting systems including document processing, production reporting, reference data (lease, payor, agreement) management, billing and general ledger.
4. Tribal Royalty Valuation. Preliminary analysis and recommendations for valuation, and allowance determinations and approvals.
5. Royalty Internship Program. An orientation and training program for auditors and accountants from mineral-producing tribes to acquaint tribal staff with royalty laws, procedures, and techniques. This program is recommended for tribes that are considering a self-governance funding agreement, but have not yet acquired mineral revenue expertise via a FOGRMA section 202 cooperative agreement, as this term is defined in FOGRMA and implementing regulations at 30 CFR 228.4.
For questions regarding self-governance, contact Paul Tyler, Program Manager, Office of Natural Resources Revenue, Denver Federal Center, 6th & Kipling, Building 67, Room 698, Denver, Colorado 80225-0165, telephone: (303) 231-3413, fax: (303) 231-3091.
The National Park Service administers the National Park System, which is made up of national parks, monuments, historic sites, battlefields, seashores, lake shores and recreation areas. The National Park Service maintains the park units, protects the natural and cultural resources, and conducts a range of visitor services such as law enforcement, park maintenance, and interpretation of geology, history, and natural and cultural resources.
Some elements of the following programs may be eligible for inclusion in a self-governance funding agreement. This list below was developed considering the proximity of an identified self-governance tribe to a national park, monument, preserve, or recreation area and the types of programs that have components that may be suitable for contracting through a self-governance funding agreement. This list is not all-inclusive, but is representative of the types of programs which may be eligible for tribal participation through funding agreements.
For questions regarding self-governance, contact Joe Watkins, Chief, American Indian Liaison Office, National Park Service (Org. 2560, 9th Floor), 1201 Eye Street NW., Washington, DC 20005-5905, telephone: (202) 354-6962, fax: (202) 371-6609, email:
The mission of the Service is to conserve, protect, and enhance fish, wildlife, and their habitats for the continuing benefit of the American people. Primary responsibilities are for migratory birds, endangered species, freshwater and anadromous fisheries, and certain marine mammals. The Service also has a continuing cooperative relationship with a number of Indian tribes throughout the National Wildlife Refuge System and the Service's fish hatcheries. Any self-governance tribe may contact a National Wildlife Refuge or National Fish Hatchery directly concerning participation in Service programs under the Tribal Self-Governance Act. This list is not all-inclusive, but is representative of the types of Service programs that may be eligible for tribal participation through an annual funding agreement.
1. Subsistence Programs within the State of Alaska. Evaluate and analyze data for annual subsistence regulatory cycles and other data trends related to subsistence harvest needs, and facilitate Tribal Consultation to ensure ANILCA Title VII terms are being met as well as activities fulfilling the terms of Title VIII of ANILCA.
2. Technical Assistance, Restoration and Conservation. Conduct planning and implementation of population surveys, habitat surveys, restoration of sport fish, capture of depredating migratory birds, and habitat restoration activities.
3. Endangered Species Programs. Conduct activities associated with the conservation and recovery of threatened or endangered species protected under the Endangered Species Act (ESA) or candidate species under the ESA. These activities may include, but are not limited to, cooperative conservation programs, development of recovery plans and implementation of recovery actions for threatened and endangered species, and implementation of status surveys for high priority candidate species.
4. Education Programs. Provide services in interpretation, outdoor classroom instruction, visitor center operations, and volunteer coordination both on and off national Wildlife Refuge lands in a variety of communities, and assist with environmental education and outreach efforts in local villages.
5. Environmental Contaminants Program. Conduct activities associated with identifying and removing toxic chemicals, to help prevent harm to fish, wildlife and their habitats. The activities required for environmental contaminant management may include, but are not limited to, analysis of pollution data, removal of underground storage tanks, specific cleanup activities, and field data gathering efforts.
6. Wetland and Habitat Conservation Restoration. Provide services for construction, planning, and habitat monitoring and activities associated with conservation and restoration of wetland habitat.
7. Fish Hatchery Operations. Conduct activities to recover aquatic species listed under the Endangered Species Act, restore native aquatic populations, and provide fish to benefit National Wildlife Refuges and Tribes that may be eligible for a self-governance funding agreement. Such activities may include, but are not limited to: Tagging, rearing and feeding of fish, disease treatment, tagging, and clerical or facility maintenance at a fish hatchery.
8. National Wildlife Refuge Operations and Maintenance. Conduct activities to assist the National Wildlife Refuge System, a national network of lands and waters for conservation, management and restoration of fish, wildlife and plant resources and their habitats within the United States. Activities that may be eligible for a self-governance funding agreement may include, but are not limited to: Construction, farming, concessions, maintenance, biological program efforts, habitat management, fire management, and implementation of comprehensive conservation planning.
The Service developed the list below based on the proximity of identified self-governance tribes to Service facilities that have components that may be suitable for contracting through a self-governance funding agreement.
For questions regarding self-governance, contact Scott Aikin, Fish and Wildlife Service (MS-330), 4401 N. Fairfax Drive, Arlington, VA 22203, telephone: (703) 358-1728, fax: (703) 358-1930.
The mission of the USGS is to collect, analyze, and provide information on biology, geology, hydrology, and geography that contributes to the wise management of the Nation's natural resources and to the health, safety, and well-being of the American people. This information is usually publicly available and includes maps, data bases, and descriptions and analyses of the water, plants, animals, energy, and mineral resources, land surface, underlying geologic structure, and dynamic processes of the earth. The USGS does not manage lands or resources. Self-governance tribes may potentially assist the USGS in the data acquisition and analysis components of its activities.
For questions regarding self-governance, contact Monique Fordham, Esq., National Tribal Liaison, U.S. Geological Survey, 12201 Sunrise Valley Drive, Reston, VA 20192, telephone 703-648-4437, fax 703-648-6683.
The Department of the Interior has responsibility for what may be the largest land trust in the world, approximately 56 million acres. OST oversees the management of Indian trust assets, including income generated from leasing and other commercial activities on Indian trust lands, by maintaining, investing and disbursing Indian trust financial assets, and reporting on these transactions. The mission of the OST is to serve Indian communities by fulfilling Indian fiduciary trust responsibilities. This is to be accomplished through the implementation of a Comprehensive Trust Management Plan (CTM) that is designed to improve trust beneficiary services, ownership information, management of trust fund assets, and self-governance activities.
A tribe operating under self-governance may include the following programs, services, functions, and activities or portions thereof in a funding agreement:
1. Beneficiary Processes Program (Individual Indian Money Accounting Technical Functions).
2. Appraisal Services Program. Tribes/consortia that currently perform these programs under a self-governance funding agreement with the Office of Self-Governance (OSG) may negotiate a separate memorandum of understanding (MOU) with OST that outlines the roles and responsibilities for management of these programs.
The MOU between the tribe/consortium and OST outlines the roles and responsibilities for the performance of the OST program by the tribe/consortium. If those roles and responsibilities are already fully articulated in the existing funding agreement with the OSG, an MOU is not necessary. To the extent that the parties desire specific program standards, an MOU will be negotiated between the tribe/consortium and OST, which will be binding on both parties and attached and incorporated into the OSG funding agreement.
If a tribe/consortium decides to assume the operation of an OST program, the new funding for performing that program will come from OST program dollars. A tribe's newly-assumed operation of the OST program(s) will be reflected in the tribe's OSG funding agreement.
For questions regarding self-governance, contact Lee Frazier, Program Analyst, Office of External Affairs, Office of the Special Trustee for American Indians (MS 5140— MIB), 1849 C Street NW., Washington, DC 20240-0001, phone: (202) 208-7587, fax: (202) 208-7545.
The programmatic target for Fiscal Year 2015 provides that, upon request of a self-governance tribe, each non-BIA bureau will negotiate funding agreements for its eligible programs beyond those already negotiated.
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 Land Management, Interior.
Notice of realty action.
The Bureau of Land Management (BLM) has examined and found suitable for classification and lease to the Pacific City Joint Water-Sanitary Authority (PCJWSA) under the provisions of the Recreation and Public Purposes (R&PP) Act, as amended, and the Taylor Grazing Act, approximately 77.75 acres of public land in Tillamook County, Oregon. The PCJWSA proposes to use the land for an emergency response evacuation area and a public recreation area.
Interested parties may submit written comments regarding the proposed classification and lease of public land on or before November 19, 2015.
Written comments concerning this notice should be addressed to the Field Manager, BLM, Tillamook Field Office, 4610 Third Street, Tillamook, OR 97141. The Environmental Assessment documents pertinent to this proposal may be examined at
Karen Schank, Field Manager, BLM Tillamook Field Office, at 503-815-1127. Persons who use a
In accordance with Section 7 of the Taylor Grazing Act (43 U.S.C. 315(f)) and Executive Order No. 6910, the following described public land has been examined and found suitable for classification and lease, but not conveyance, under the provisions of the R&PP Act, as amended (43 U.S.C. 869
The land described above contains approximately 77.75 acres, more or less, in Tillamook County, Oregon.
The PCJWSA proposes to use the land for an emergency response evacuation area and a public recreation area. The emergency response evacuation area will include an operations/evacuation shelter, and the addition of an access road to an evacuation parking area. The public recreation area will include hiking trails only. Additional detailed information pertaining to this application, plan of development, and site plan are contained in case file OROR 066047, located in the BLM Salem District Office at 1717 Fabry Road SE., Salem, Oregon 97306.
The land described above is not required for any Federal purpose. The lease is consistent with the BLM Salem District Office Resource Management Plan, Approved May 1995, and would be in the public interest. The lease will be subject to the provisions of the R&PP Act and applicable regulations of the Secretary of the Interior. The lease will also be subject to all valid existing rights documented on the official public land records at the time of lease issuance.
Upon publication of this notice in the
Classification Comments: Interested persons may submit written comments involving the suitability of the land for development of an emergency response evacuation area, and a public recreation area, including whether the land is physically suited for the proposal, whether the use will maximize the future use or uses of the land, whether the use is consistent with local planning and zoning, and/or if the use is consistent with State and Federal programs. All comments will be considered.
Application Comments: Interested parties may also submit comments regarding the specific uses proposed in the application and plan of development, and whether the BLM followed proper administrative procedures in reaching the decision to lease under the R&PP Act or any other factor not directly related to the suitability of the land for this R&PP use.
Only written comments submitted by postal service or overnight mail to the Field Manager, BLM, Tillamook Field Office, will be considered properly filed. Electronic mail, facsimile, or telephone comments will not be considered properly filed. Comments, including names, street addresses, and other contact information of respondents will be available for public review. 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.
Any adverse comments will be reviewed by the BLM Oregon State Director who may sustain, vacate, or modify this realty action. In the absence of any adverse comments, the classification of the land described in this realty action becomes the determination of the Department of the Interior and is effective on December 4, 2015. The land will not be available for lease until after the classification becomes effective.
43 CFR 2741.5.
Bureau of Land Management, Interior.
Public Land Order.
This order extends the duration of the withdrawal created by Public Land Order No. 7464, as corrected, for an additional 5 year period. The extension is necessary to continue the protection of the reclamation of the Zortman-Landusky mining area. The Public Land Order (PLO) would otherwise expire on October 4, 2015.
Micah Lee, Bureau of Land Management, Havre Field Office, 3990 HWY 2 West, Havre, Montana 59501, 406-262-2851, or Cynthia Eide, Bureau of Land Management, Montana State Office, 5001 Southgate Drive, Billings, Montana 59101-4669, (406) 896-5094. Persons who use a telecommunications device for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 to contact either of the above individuals during normal business hours. The FIRS is available 24 hours a day, 7 days a week, to leave a message or question with either of the above individuals. You will receive a reply during normal business hours.
PLO No. 7464 established the withdrawal to protect the reclamation of the Zortman-Landusky mining area. The purpose for which the withdrawal was first made requires this extension to continue protection of the mining area until reclamation is complete. The withdrawal has been corrected (65 FR 63619 (2000)) and extended twice by Public Land Order Nos. 7643 (70 FR 49944 (2005)) and 7753 (75 FR 63856 (2010)).
By virtue of the authority vested in the Secretary of the Interior by Section 204 of the Federal Land Policy and Management Act of 1976, 43 U.S.C. 1714, it is ordered as follows:
1. Public Land Order No. 7464 (65 FR 59463 (2000)), as corrected (65 FR 63619 (2000)) and extended by Public Land Order Nos. 7643 (70 FR 49944 (2005))
2. Public Land Order No 7464 will expire October 4, 2020, unless, as a result of a review conducted prior to the expiration date pursuant to Section 204(f) of the Federal Land Policy and Management Act of 1976, 43 U.S.C. 1714(f), the Secretary determines that the withdrawal shall be further extended.
Bureau of Land Management, Department of the Interior.
Notice.
The Bureau of Land Management (BLM) received an application for a Recordable Disclaimer of Interest (Disclaimer) from the heirs of Virginia C. Yeager and Opal Keating pursuant to Section 315 of the Federal Land Policy and Management Act of 1976 (FLPMA), as amended, and the regulations in 43 CFR subpart 1864, for the mineral estate of land lying near Benbrook Lake in Tarrant County, Texas. This notice is intended to inform the public of the pending application, give notice of BLM's intention to grant the requested Disclaimer of Interest, and provide a public comment period for the Disclaimer of Interest.
Comments on this action should be received within ninety (90) days from the publication of this notice, by January 4, 2016.
Written comments must be sent to the Deputy State Director, Lands and Resources, BLM, New Mexico State Office, P.O. Box 27115, Santa Fe, NM 87502-0115.
Debby Lucero, State Realty Specialist, 505-954-2196. Additional information pertaining to this application can be reviewed in case file TXNM114501 located in the New Mexico State Office, 301 Dinosaur Trail, Santa Fe, NM 87508. Persons who use a telecommunications device for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 to contact the above individual during normal business hours. The FIRS is available 24 hours a day, 7 days a week, to leave a message or question with the above individual. You will receive a reply during normal business hours.
Pursuant to Section 315 of FLPMA (43 U.S.C. 1745), the heirs of Virginia C. Yeager and Opal Keating filed an application for a Disclaimer of Interest in the mineral estate for the following tracts of land situated in Tarrant County, State of Texas:
A tract of land situated in the County of Tarrant, State of Texas.
A tract of land situated in the County of Tarrant, State of Texas.
These tracts described are shown upon the United States Army Corps of Engineers, Office of the Fort Worth District Engineer, Southwestern Division Project Map, entitled “REAL ESTATE BENBROOK LAKE,” dated November 5, 1986. The area contains approximately 298 acres as identified by the U.S. Army Corps of Engineers (Corps) documentations listed above.
The New Mexico State Office's review of the land status records and title records provided by the applicant indicate that the Corps purchased the tracts in October 1950. Prior to the Corps' acquisition of the tracts, the mineral estate was transferred from J.W. Corn to his daughters in July 1922 by recorded deed (Book 745, pg. 578). After consultation with the Corps, BLM has determined that the Corps did not acquire the mineral estate when the United States purchased the land in 1950. It is the opinion of this office that the Federal government does not own the mineral interest in the two tracts.
This proposed Disclaimer of Interest does not address any surface interest that may still be vested with the United States of America.
The public is hereby notified that comments may be submitted to the Deputy State Director, Lands and Resources at the address shown above within the comment period identified in the notice. Any adverse comments will be evaluated by the State Director who may modify or vacate this action and issue a final determination.
In the absence of any valid objection, this notice will become the final determination of the Department of the Interior and a Disclaimer of Interest may be issued 90 days from publication of this notice.
All persons who wish to present comments, suggestions, or objections in connection with the proposed Disclaimer may do so by writing to the Deputy State Director at the above address. Comments, including names and street addresses of commenters, will be available for public review at the BLM New Mexico State Office (see address above), during regular business hours, Monday through Friday, except Federal holidays. 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.
43 CFR 1864.2(a).
U.S. International Trade Commission.
Notice.
Notice is hereby given that the U.S. International Trade Commission has determined to terminate the above-captioned investigation with a finding of no violation of section 337 of the Tariff Act of 1930, 19 U.S.C. 1337.
Sidney A. Rosenzweig, Office of the General Counsel, U.S. International Trade Commission, 500 E Street SW., Washington, DC 20436, telephone 202-708-2532. Copies of non-confidential documents filed in connection with this
The Commission instituted this investigation on March 5, 2014, based on a complaint filed by Cresta Technology Corporation, of Santa Clara, California (“Cresta”). 79 FR 12526 (Mar. 5, 2014). The complaint alleged violations of section 337 of the Tariff Act of 1930, as amended 19 U.S.C. 1337, by reason of the infringement of certain claims from three United States patents. The notice of investigation named ten respondents: Silicon Laboratories, Inc. of Austin, Texas (“Silicon Labs”); MaxLinear, Inc. of Carlsbad, California (“MaxLinear”); Samsung Electronics Co, Ltd. of Suwon, Republic of Korea and Samsung Electronics America, Inc. of Ridgefield Park, New Jersey (collectively, “Samsung”); VIZIO, Inc. of Irvine, California (“Vizio”); LG Electronics, Inc. of Seoul, Republic of Korea and LG Electronics U.S.A., Inc. of Englewood Cliffs, New Jersey (collectively, “LG”); and Sharp Corporation of Osaka, Japan and Sharp Electronics Corporation of Mahwah, New Jersey (collectively, “Sharp”). The Office of Unfair Import Investigations was also named as a party.
On May 16, 2014, the ALJ issued an initial determination granting Cresta's motion to amend the complaint and notice of investigation to add six additional respondents: SIO International Inc. of Brea, California and Hon Hai Precision Industry Co., Ltd. of New Taipei City, Taiwan (collectively, “SIO/Hon Hai”); Top Victory Investments, Ltd. of Hong Kong and TPV International (USA), Inc. of Austin, Texas (collectively, TPV”); and Wistron Corporation of New Taipei City, Taiwan and Wistron Infocomm Technology (America) Corporation of Flower Mound, Texas (collectively, “Wistron”). Order No. 12 (May 16, 2014),
On November 3, 2014, the ALJ granted-in-part Samsung and Vizio's motion for summary determination of noninfringement as to certain televisions containing tuners made by a third party, NXP Semiconductors N.V. Order No. 46 at 27-30 (Nov. 3, 2014),
On November 12, 2014, the ALJ granted Cresta's motion to partially terminate the investigation as to one asserted patent and certain asserted claims of the two other asserted patents. Order No. 50 (Nov. 12, 2014),
The presiding ALJ conducted a hearing from December 1-5, 2014. On February 27, 2015, the ALJ issued the final ID. The final ID finds that Cresta failed to satisfy the economic prong of the domestic industry requirement, 19 U.S.C. 1337(a)(2), (a)(3), for both asserted patents. To satisfy the economic prong of the domestic industry requirement, Cresta relied upon claims 1-3, 5-6, 10, 13-14, 16-19, and 21 of the ’585 patent; and claims 1-4, 7, 10-12, 18-19, and 26-27 of the ’792 patent. The ID finds that certain Cresta products—on their own, or combined with certain televisions into which Cresta's tuners are incorporated—practice claims 1-3, 5-6, 10, 13, 16-19, and 21 of the ’585 patent, as well as claims 1-4, 7, 10-12, 18-19, and 26 of the ’792 patent.
The ID finds some Silicon Labs tuners (as well as certain televisions containing them) to infringe claims 1-3 of the ’585 patent, and no other asserted patent claims. The ID further finds some MaxLinear tuners (as well as certain televisions containing them) to infringe claims 1-3, 10, 12, and 13 of the ’585 patent and claims 1-3, 7-8, and 25-26 of the ’792 patent.
The ID finds claims 1 and 2 of the ’585 patent to be invalid pursuant to 35 U.S.C. 102 (anticipation), and claim 3 of the ’585 patent to be invalid pursuant to 35 U.S.C. 103 (obviousness). The ID finds all of the asserted claims of the ’792 patent to be invalid pursuant to 35 U.S.C. 102 or 103.
The ALJ recommended that if a violation of section 337 is found, that a limited exclusion order and cease and desist orders issue. The ALJ recommended, however, that the implementation of such orders be delayed by twelve months in view of public interest considerations. The ALJ also recommended that there be zero bond during the period of Presidential review.
On March 16, 2015, petitions for Commission review were filed by the following parties: The Commission investigative attorney (“IA”); Cresta; the Silicon Labs respondents; and the MaxLinear respondents. On March 24, 2015, OUII and Cresta each filed a reply to the other parties' petitions. That same day, the respondents filed a reply to Cresta's petition.
On April 30, 2015, the Commission determined to review the ID in part. The scope of Commission review is set forth in the Commission notice that issued on that date. 80 FR 26091 (May 6, 2015). The Commission solicited briefing on the issues under review, and on remedy, bonding and the public interest.
On May 14, 2015, the IA, Cresta, and the respondents filed briefs in response to the Commission notice of review, and on May 26, 2015, they filed replies to each other's briefs.
Having examined the record of this investigation, including the ALJ's final ID, the petitions for review, and the responses thereto, and the briefing in response to the notice of review, the Commission has determined to terminate the investigation with a finding of no violation of section 337.
The Commission has determined to affirm the ID's findings of invalidity of claims 1-4, 7-8, and 26-27 of the ’792 patent because of an on-sale bar. Further, the Commission finds claim 3 of the ’585 patent obvious in view of Boie combined with Kerth. The Commission finds claim 10 of the ’585 patent and claims 1-4 of the ’792 patent obvious in view of Boie as well as in view of Boie combined with VDP. The Commission finds that the respondents did not demonstrate obviousness clearly and convincingly as to claims 12-13 of the ’585 patent and claims 25-26 of the ’792 patent.
As to infringement, the Commission affirms the ID's finding that the accused MaxLinear tuners infringe claims 1, 2, 3, 10, 12, and 13 of the ’585 patent and claims 1-3, 7-8, and 25-26 of the ’792 patent. The Commission has determined to affirm in part and reverse in part the ID's findings concerning Silicon Labs' infringement of the claims of the ’585 patent. In particular, the Commission finds that certain accused Silicon Labs
The Commission finds that, for the specific models of televisions for which Cresta demonstrated direct infringement that Cresta adequately demonstrated contributory infringement by MaxLinear or Silicon Labs.
The Commission finds that Cresta satisfies the technical prong of the domestic industry requirement for the ’792 patent, but not for the ’585 patent. The Commission further finds that Cresta failed to satisfy the economic prong of the domestic industry requirement for the ’585 patent and the ’792 patent.
The reasons for the Commissions determinations will be set forth more fully in the Commission's forthcoming opinion. Commissioner Schmidtlein will write separately with her views as to the basis for the Commission's determination that Cresta failed to meet the economic prong of the domestic industry requirement.
The authority for the Commission's determination is contained in section 337 of the Tariff Act of 1930, as amended (19 U.S.C. 1337), and in Part 210 of the Commission's Rules of Practice and Procedure (19 CFR part 210).
By order of the Commission.
Federal Bureau of Investigation (FBI), Department of Justice.
Notice.
The purpose of this notice is to announce the meeting of the Federal Bureau of Investigation's Criminal Justice Information Services (CJIS) Advisory Policy Board (APB). The CJIS APB is a federal advisory committee established pursuant to the Federal Advisory Committee Act (FACA). This meeting announcement is being published as required by Section 10 of the FACA.
The FBI CJIS APB is responsible for reviewing policy issues and appropriate technical and operational issues related to the programs administered by the FBI's CJIS Division, and thereafter, making appropriate recommendations to the FBI Director. The programs administered by the CJIS Division are the Next Generation Identification, Interstate Identification Index, Law Enforcement Enterprise Portal, National Crime Information Center, National Instant Criminal Background Check System, National Incident-Based Reporting System, National Data Exchange, and Uniform Crime Reporting.
This meeting is open to the public. All attendees will be required to check-in at the meeting registration desk. Registrations will be accepted on a space available basis. Interested persons whose registrations have been accepted may be permitted to participate in the discussions at the discretion of the meeting chairman and with approval of the Designated Federal Officer (DFO). Any member of the public may file a written statement with the Board. Written comments shall be focused on the APB's current issues under discussion and may not be repetitive of previously submitted written statements. Written comments should be provided to Mr. R. Scott Trent, DFO, at least seven (7) days in advance of the meeting so that the comments may be made available to the APB for their consideration prior to the meeting.
Anyone requiring special accommodations should notify Mr. Trent at least seven (7) days in advance of the meeting.
The APB will meet in open session from 8:30 a.m. until 5 p.m., on December 2-3, 2015.
The meeting will take place at Sheraton Atlanta Hotel, 165 Courtland Street NE., Atlanta, Georgia 30303, telephone (404) 659-6500.
Inquiries may be addressed to Ms. Jillana L. Plybon; Management Program Assistant; CJIS Training and Advisory Process Unit, Resources Management Section; FBI CJIS Division, Module C2, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306-0149; telephone (304) 625-5424, facsimile (304) 625-5090.
Office on Violence Against Women, Department of Justice.
60-day notice.
The Department of Justice, Office on Violence Against Women (OVW) 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 December 4, 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 Cathy Poston, Office on Violence Against Women, at 202-514-5430 or
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) 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
(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.
Notice is hereby given that on September 29, 2015, a proposed consent decree in
The settlement requires Wyeth Holdings LLC to perform the remedies selected by the Environmental Protection Agency in the Records of Decision for Operable Unit 2, involving revegetation, and Operable Unit 4, involving the remediation of almost all site-wide soils, groundwater, and six waste disposal impoundments. The settlement also requires Settling Defendant to reimburse EPA $1,000,000 in past response costs and pay EPA's future oversight costs related to the cleanup.
The publication of this notice opens a period for public comment on the consent decree. Comments should be addressed to the Assistant Attorney General, Environment and Natural Resources Division, and should refer to
During the public comment period, the consent decree may be examined and downloaded at this Justice Department Web site:
Please enclose a check or money order for $73.00 (25 cents per page reproduction cost) payable to the United States Treasury.
Notice is hereby given that on October 5, 2015, a proposed Consent Decree (“Decree”) will be lodged in
In this civil enforcement action the United States sought, among other things, civil penalties under Section 311(b) of the Clean Water Act, 33 U.S.C. 1321(b), and a declaration of liability for natural resource damages under the Oil Pollution Act, 33 U.S.C. 2702, against BP Exploration and Production Company, Inc. (“BP”). The claims arise against BP (and other defendants as well) from the discharge of oil into the Gulf of Mexico resulting from the blowout of the Macondo Well that began in April 2010.
Under the proposed Decree, BP, among other things, will pay (1) a $5.5 billion civil penalty under the Clean Water Act; (2) $8.1 billion for natural resource damages under the Oil Pollution Act (including the $1 billion that BP had previously pledged under a prior agreement), plus up to $700
The Department of Justice will receive comments relating to the proposed Decree, for a period of sixty (60) calendar days from the date of this publication.
Comments to the Department of Justice related to the Consent Decree should be addressed to the Assistant Attorney General, Environment and Natural Resources Division, and can be submitted via the web at
During the public comment period, the proposed Decree may be examined on the following Department of Justice Web site:
In accordance with section 7003(d) of RCRA, the Department has scheduled a series of public meetings to receive information on the Consent Decree in addition to the comment process described above. Both written and oral public comments will be taken at each public meeting. The Department will hold an open house for each meeting followed by a formal meeting. Each public meeting will include a presentation of the proposed Consent Decree. The public meeting schedule is as follows:
Finally, please note that simultaneously, the Federal and State Trustee agencies are holding a public comment period on a proposed “
Office of Juvenile Justice and Delinquency Prevention, DOJ.
Notice of meeting.
The Office of Juvenile Justice and Delinquency Prevention (OJJDP) has scheduled a meeting of the Federal Advisory Committee on Juvenile Justice (FACJJ).
The meeting will take place on Monday, October 19, 2015 from 9:30 a.m.-5:30 p.m. and Tuesday, October 20, 2015 from 9:30 a.m.-3:00 p.m.
The meeting is scheduled at the Office of Justice Programs at 810 7th St. NW., in the Main 3rd floor Conference Room in Washington, DC.
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
Occupational Safety and Health Review Commission.
Notice of new blanket routine use.
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, as amended, the Occupational Safety and Health Review Commission (OSHRC) is proposing in this notice the addition of a new blanket routine use. OSHRC's Privacy Act system-of-records notices are published at 72 FR 54301, 54301-03 (Sept. 24, 2007), and 71 FR 19556, 19556-67 (Apr. 14, 2006), with an additional blanket routine use published at 73 FR 45256, 45256-57 (Aug. 4, 2008).
Comments must be received by OSHRC on or before November 16, 2015. The new blanket routine use will become effective on that date, without any further notice in the
You may submit comments by any of the following methods:
•
•
•
•
Ron Bailey, Attorney-Advisor, Office of the General Counsel, via telephone at (202) 606-5410, or via email at
The Privacy Act of 1974, 5 U.S.C. 552a(e)(4) and (11), requires OSHRC to publish in the
OSHRC's proposed blanket routine use is published below. Eleven other blanket routine uses, which remain in effect, were last published at 71 FR 19556, 19558-59 (Apr. 14, 2006), and 73 FR 45256, 45256-57 (Aug. 4, 2008).
(12) A record from an OSHRC system of records may be disclosed as a blanket routine use 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 FOIA, and to facilitate OGIS' offering of mediation services to resolve disputes between persons making FOIA requests and administrative agencies.
National Archives and Records Administration (NARA).
Notice.
NARA is proposing to request extension of two currently approved information collection actions. The first is a set of forms we use to collect information when former Federal civilian employees and other authorized individuals request information from or copies of documents in Official Personnel Folders or Employee Medical Folders from NARA's National Personnel Records Center (NPRC). The second is a form we use when people apply to volunteer at the National Archives Building, the National Archives at College Park, regional records services facilities, and Presidential Libraries. We invite you to comment on these proposed information collections pursuant to the Paperwork Reduction Act of 1995.
We must receive written comments on or before December 4, 2015.
Send comments to Paperwork Reduction Act Comments (ISSD), Room 4400; National Archives and Records Administration; 8601
Contact Tamee Fechhelm by telephone at 301-837-1694 or fax at 301-713-7409 with requests for additional information or copies of the proposed information collections and supporting statements.
Pursuant to the Paperwork Reduction Act of 1995 (Pub. L. 104-13), NARA invites the public and other Federal agencies to comment on proposed information collections. The comments and suggestions should address one or more of the following points: (a) Whether the proposed information collections are is necessary for NARA to properly perform its functions; (b) NARA's estimate of the burden of the proposed information collections and its accuracy; (c) ways NARA could enhance the quality, utility, and clarity of the information it collects; (d) ways NARA could minimize the burden on respondents of collecting the information, including through information technology; and (e) whether these collections affects small businesses. We will summarize any comments you submit and include the summary in our request for Office of Management and Budget (OMB) approval. All comments will become a matter of public record. In this notice, NARA solicits comments concerning the following information collections:
1. Title: Forms Relating to Civilian Service Records.
2. Title: Volunteer Service Application.
The National Science Board's
Thursday, October 8, 2015 at 12:00 noon to 1:00 p.m. EDT.
Task Force Chair's opening remarks; approval of minutes; update from NSF; discussion of NEON-related documents and activities including the history of Board discussion of NEON awards; and Chair's closing remarks.
Closed.
This meeting will be held by teleconference originating at the National Science Board Office, National Science Foundation, 4201Wilson Blvd., Arlington, VA 22230.
Please refer to the National Science Board Web site (
Nuclear Regulatory Commission.
Environmental assessment and finding of no significant impact; issuance.
The U.S. Nuclear Regulatory Commission (NRC) is considering a request by Exelon Generation Company, LLC (Exelon, the licensee) dated March 18, 2014, as supplemented by letters dated May 20 and June 8, 2015, for onsite disposal of slightly contaminated soil at the Dresden Nuclear Power Station (DNPS), Units 2 and 3.
October 5, 2015.
Please refer to Docket ID NRC-2015-0232 when contacting the NRC about the availability of information regarding this document. You may obtain publicly-available information related to this document using any of the following methods:
• Federal Rulemaking Web site: Go to
• NRC's Agencywide Documents Access and Management System (ADAMS): You may obtain publicly-available documents online in the ADAMS Public Documents collection at
• NRC's PDR: You may examine and purchase copies of public documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852.
Russell Haskell, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; telephone: 301-415-1129, email:
The NRC is considering approval of a request dated March 18, 2014 (ADAMS Accession No. ML14077A140), as supplemented by letters dated May 20 (ADAMS Accession No. ML15140A728) and June 8, 2015 (ADAMS Accession No. ML15163A304), from Exelon Generation Company, LLC (Exelon, the licensee) for onsite disposal of slightly contaminated soil at the Dresden Nuclear Power Station (DNPS), Units 2 and 3, located in Grundy County, Illinois. The site consists of three units. Units 2 and 3 are operating nuclear reactors and Unit 1 was shut-down in 1978 and is currently in SAFSTOR
Under 10 CFR 20.2002, a licensee may seek NRC authorization to dispose of licensed material using procedures not otherwise authorized by the NRC's regulations. A licensee's supporting analysis must show that the radiological doses arising from the proposed disposal will be within the 10 CFR part 20, “Standards for Protection Against Radiation,” dose limits and will be as low as is reasonably achievable.
The proposed action would permit the disposal of up to 20,000 m
The DNPS has accumulated a current inventory of approximately 6,000 m
The proposed action is in accordance with the licensee's application dated March 18, 2014 (ADAMS Accession No. ML14077A140), as supplemented by letters dated May 20, 2015 (ADAMS Accession No. ML15140A728), and June 8, 2015 (ADAMS Accession No. ML15163A304).
The proposed action is requesting the NRC's approval for the onsite disposal of a current inventory of 6000 m
Benefits to the licensee's proposed action include significantly reduced transportation distances and costs incurred as a result of offsite disposal, while maintaining protection of public health and safety and the environment. This request provides the licensee with an alternative to the usage of offsite shallow land burial waste repositories consistent with a previously released NRC Information Notice 83-05, “Obtaining Approval for Disposal of Very Low-Level Radioactive Waste.”
The proposed DNPS request for onsite disposal of slightly contaminated soil will not require any physical changes to the plant or plant operations; therefore, there will be no change to any in-plant radiation sources. Approximately 6,000 m
The DNPS radiation protection program establishes appropriate work controls, training, temporary shielding, and protective equipment requirements so that worker doses will remain within the dose limits of 10 CFR part 20. The main pathway of concern for worker exposure to radiation would be from fugitive dust emissions during the transport and emplacement of the slightly contaminated soil to the proposed onsite disposal area. To minimize those fugitive dust emissions, Exelon will use best management practices (BMPs) such as using equipment with enclosures during the transport of the soil and dampening the soil. Once the soil is transferred and emplaced to the proposed disposal area, Exelon will over-seed the soil with native grass and monitor to minimize fugitive dust emissions. To limit access to the proposed disposal area, DNPS plans to implement institutional controls such as sign postings and DNPS Security monitoring (Exelon 2015a).
Slightly contaminated soil generated as a result of future projects at DNPS (up to a total of 20,000 m
The proposed DNPS onsite disposal of slightly contaminated soil will not affect radiation levels within the plant restricted area and will be performed in accordance with the proper oversight of their radiation protection program, and therefore will have no significant radiological impact to the workers.
The primary sources of offsite dose to members of the public from the DNPS are radioactive gaseous and liquid effluents. As discussed above, the request for onsite disposal of slightly contaminated soil will be on the DNPS site. As such, members of the public will not have access to the disposal area. Therefore, there is no direct radiation exposure to the public. In addition, the proposed action does not require any physical changes to the plant or plant operations; therefore, there will be no change to the types and quantities of radioactive effluents and the operation of the radioactive gaseous and liquid waste management systems to perform their intended functions. As stated above, the soil will be over-seeded with native grass and monitored to minimize fugitive dust emissions once the soil is transferred to the proposed disposal area. To manage any soil runoff, Exelon will use the BMPs outlined in the Illinois Urban Manual for Erosion and Sediment Control Best Management Practices. The licensee plans to install three surficial groundwater monitoring wells, one up-gradient and two down-gradient of the proposed disposal area. These new wells will be added to the DNPS Radiological Ground Protection Program (RGPP) to monitor for any migration of contamination (Exelon 2015a). Based on the above, the offsite radiation dose to members of the public would not change and would continue to be within regulatory limits and therefore would not be significant.
Based on the radiological evaluations discussed above, the NRC staff has determined the proposed action would not result in significant radiological impacts.
Current land uses would be unaffected by the proposed onsite disposal of the contaminated soil at the DNPS. The proposed disposal area is currently part of an industrial power plant site and would remain so if the proposed action is approved. Therefore, the NRC staff has determined that there would be no significant land use impacts associated with the proposed action.
The disposal location is an elevated plot of land that has been heavily disturbed by previous soil stockpiling and grading activities and which generally slopes to the west. Site preparation activities, transfer, and emplacement of slightly contaminated soil under the proposed action would have no direct impact on natural surface-water drainages as none exist on or immediately adjacent to the disposal area. The closest surface-water feature to the center point of the disposal area is a shallow drainage depression adjacent to the south bank of the Illinois River and located approximately 600 ft. (183 m) to the northwest. The Units 2 and 3 discharge canal to the Illinois River lies approximately 700 to 800 ft. (213 to 244 m) to the south and east of the disposal area.
Precipitation and associated storm-water runoff from the disposal area have the potential to erode soils and transport suspended sediments away from the site and toward nearby surface water features. This is most likely to occur during the course of each disposal campaign, as the surface of disposal area is reworked and graded with each disposal operation. However, disposal site operations would be subject to the DNPS Storm Water Pollution Prevention Plan (SWPPP), which the licensee is required to implement and maintain in accordance with Special Condition 10 of DNPS's National Pollutant Discharge Elimination System (NPDES) permit (No. IL0002224). The SWPPP prescribes BMPs for soil erosion and sediment control, storm-water pollution prevention, waste management, and spill response. During operations, the licensee will use BMPs as prescribed in the SWPPP in combination with those outlined in the Illinois Urban Manual for Erosion and Sediment Control Best Management Practices. For instance, soils would be graded and seeded with native grasses to minimize surface drainage and runoff and associated erosion of the site (Exelon 2015a). Adherence to these measures would prevent or minimize any surface water quality or groundwater quality impacts during disposal operations.
Over the longer term, management and monitoring activities would ensure that there are no inadvertent offsite impacts to surface water or groundwater quality as a result of disposal site operations. The licensee proposes to install three surficial groundwater monitoring wells in order to characterize baseline groundwater quality as well as any changes over time. The wells will be installed at depths of 15 to 35 feet (4.5 to 10.6 m) below ground surface. Two wells will be installed up-gradient of the disposal area relative to groundwater flow, and one will be installed down-gradient. Upon installation, baseline groundwater sampling and analysis would be performed including for gamma, tritium, gross alpha, gross beta, strontium-89, and strontium-90. The completed wells would be included in the DNPS RGPP with routine monitoring for radiological constituents and other parameters as prescribed by RGPP protocols (Exelon
With regards to the National Ambient Air Quality Standards (NAAQS) criteria for pollutants (ozone, carbon monoxide, lead, particulate matter, nitrogen oxides, and sulfur dioxide), Grundy County is designated as a non-attainment area for the 8-hr ozone (2008) standard and 1-hr ozone (1979) standard and a maintenance area for particulate matter less than 2.5 microns (1997) standard and 8-hr ozone (1997) standard (40 CFR 81.314). Air emissions would be predominantly from the transfer of the soil to the proposed site, equipment used in transporting the soil (dump trucks and front end loaders), and site preparation related activities (land clearing, excavation, and grading). The loading and off-loading of the soil and excavation of the proposed site can result in fugitive dust emissions; fugitive dust is particulate matter suspended in the air. Equipment exhaust emits criteria pollutants.
Site preparation activities of the 100 m (328 ft.) by 100 m (328 ft.) proposed disposal area and transfer and emplacement of the 6,000 m
The Environmental Protection Agency (EPA) regulations (40 CFR part 93, subpart B) require Federal agencies to conduct an applicability analysis if a proposed action occurs in a NAAQS non-attainment area or maintenance area to determine if emissions of criteria pollutants would exceed threshold emissions levels (40 CFR 93.153(b)). If threshold levels are exceeded, a conformity determination may need to be performed. The regulatory conformity thresholds for ozone precursors (volatile organic compounds and nitrogen oxides) is 25 tons for each precursor (40 CFR 51.853(b)). The regulatory conformity thresholds for particulate matter less than 2.5 microns, carbon monoxide, and particulate matter and its precursors (nitrogen oxides and sulfur dioxide) is 100 tons for each pollutant (40 CFR 51.853(b)). As exhibited in Table 1, nitrogen oxides, sulfur dioxide, particulate matter, and volatile organic compounds will not exceed the regulatory conformity thresholds. Therefore, the NRC staff concludes that there would be no significant air quality impacts associated with the proposed action.
Contaminated soil and sludge generated as a result of future projects at DNPS will be transferred in future campaigns, as previously discussed. Emissions from future campaigns are expected to be bounded by those estimated above since each campaign will transfer up to 6,000 m
The 100 m (328 ft.) by 100 m (328 ft.) proposed disposal area is previously disturbed due to past activities such as grading the site and the addition of clean soils. The majority of the site (approximately 90 percent) is covered by early successional grasses and forbs that are typical of highly disturbed areas. The approximate percent cover of the most common species included the following: yellow sweet clover (
A variety of wildlife and birds occur on or near the proposed site. Common terrestrial mammals include white-tailed deer (
Some migratory birds, bald eagles (
During disposal activities, no tree cutting, other than tree seedlings, would be required (Exelon 2015b). Disposal activities would directly affect some grasses, bushes, and immature tree seedlings. However, these species are typical of a highly disturbed environment, very common within the area, and provide low-quality habitat to wildlife and birds. In addition, the licensee plans to seed over the disposal area with native grasses (Exelon 2015a), which would help to reduce erosion and provide a grassy habitat for wildlife once disposal activities are complete. Seeding the disposal site will also help prevent runoff to nearby aquatic features. Further, the licensee plans to use the best management practices outlined in the Illinois Urban Manual for Erosion and Sediment Control Best Management Practices to further minimize erosion and runoff (Exelon 2014b).
Noise associated with grading, transportation, or other disposal-related activities may temporarily disturb wildlife and birds. However, most wildlife and birds on or near the proposed disposal area are likely relatively tolerant of human activity given that the proposed disposal area is part of a larger operating power plant site. For example, the proposed disposal area is located close to existing warning sirens, which are extremely loud and periodically tested (Exelon 2015b). In addition, grading or other related activities would be temporary (Exelon 2015a) and wildlife and birds could return to the area once disposal activities were complete.
Given that disposal activities would not involve tree cutting, the affected vegetation is very common within the area, temporarily disturbed wildlife and birds could find similar habitat in the surrounding area, and no aquatic features occur onsite. Therefore, the NRC staff determined that impacts to aquatic and terrestrial resources would not be significant.
The NRC staff searched the U.S. Fish and Wildlife Service (FWS) Information Planning and Conservation online database for Federally threatened, endangered, proposed, or candidate species or designated critical habitat that could occur on or near the proposed disposal area (FWS 2015). The following four species have the potential to occur near the site: eastern prairie fringed orchid (
The eastern prairie fringed orchid is a perennial herb that grows 8 to 40 inches (in.) (20 to 102 centimeters [cm]) tall and produces long clusters of up to 40 white flowers in early July (NatureServe 2013). This plant grows in emergent wetlands, wet meadow, sedge meadow, fen, wet to mesic prairie, or marsh edges (FWS 2015). The proposed disposal area does not provide suitable habitat for this species because the soils are extremely dry, none of the habitats listed above occur on the site, and the land is highly disturbed. In addition, the licensee and its contractor did not observe any eastern prairie fringed orchid during its informal investigation of the site in June 2015 (Exelon 2015b). Therefore, the NRC staff determined that the proposed action would have no effect on eastern prairie fringed orchids.
The rattlesnake-master borer moth is an insect that relies on the rattlesnake-master, a prairie plant, as its only food source. The proposed site does not provide suitable habitat for rattlesnake-master borer moths because this species is an obligate resident of undisturbed prairie and woodland openings, and rattlesnake-master is not known to occur within the proposed site. In addition, the licensee and its contractor did not observe this species during its informal investigation of the site in June 2015 (Exelon 2015b). Therefore, the NRC staff determined that the proposed action would have no effect on the rattlesnake-master borer.
The Indiana bat and northern long-eared bat are insectivorous, migratory bats that inhabit the central portion of the eastern United States and hibernate colonially in caves and mines. During summer months, female Indiana bats tend to roost in colonies under slabs of peeling tree bark or cracks within trees in forest fragments (Pruitt and TeWinkel 2007). Northern long-eared bats tend to roost in trees in forested areas with greater canopy and in caves, mines, or manmade structures such as barns, sheds, and other buildings (Carter and Feldhamer 2005). In the winter, northern long-eared and Indiana bats rely on caves for hibernation. The proposed disposal area does not provide suitable habitat for hibernation, roosting, or foraging due to the lack of mature trees, forested areas, caves, wetlands, prairies, and aquatic features. In addition, the licensee and its contractor did not observe this species during its informal investigation of the site in June 2015 (Exelon 2015b).
Based on the above information, the NRC staff has determined the proposed action would have no effect on federally threatened, endangered, proposed, or candidate species or designated critical habitat that could occur on or near the proposed disposal area.
As reported in the DNPS's License Renewal environmental impact statement (NUREG-1437, Supplement 17), much of the DNPS site has been disturbed by construction of the nuclear power plant facilities and related infrastructure, including roads, parking lots, and the cooling pond. No archaeological surveys were completed at the Dresden site prior to station construction. However, there is at least one archaeological site recorded within the DNPS site boundary, 11 GR2, which was only minimally disturbed during construction according to a professional archaeologist who examined the site in 1973 (Atomic Energy Commission 1973).
As previously discussed, the onsite disposal of slightly contaminated soil at DNPS would take place on highly disturbed land (Exelon 2015b). Because any disturbance would occur within previously disturbed areas, there would be no impact to historic and cultural resources. Based on the above information, the NRC staff has determined there would be no significant impacts to any historic and cultural resources at the DNPS.
Current socioeconomic conditions would be unaffected by the proposed onsite disposal of slightly contaminated soil at the DNPS. The licensee would use existing resources including the onsite workforce or local contractors to conduct the disposal of up to 20,000 m
Noise emissions would occur as a result of the equipment used onsite and activities involved during site disposal preparation, transportation of the soil to the disposal area, and soil off-loading. Additional noise from the proposed action would be intermittent and short-term (approximately 2 weeks). Land clearing activities and equipment can result in source noise levels in the 80-88 A-weighted decibels (dBA) range for the Federal Highway Administration (FHWA 2006). However, noise levels attenuate rapidly with distance. For instance, backhoe/loader equipment can have source noise levels of 80-85 dBA; at 50 feet (15 m) distance noise levels drop to 79 dBA, and at 200 ft. (61 m) distance from the equipment noise levels drop to 65.5 dBA (FHWA 2006). The nearest resident is approximately 0.8 miles (1,287 m) from the proposed disposal area and noise levels from equipment and activities are not expected to be noticeable at this distance. Furthermore, noise levels associated with the proposed action will need to be in accordance with Illinois noise regulations found in the Illinois Administrative Code (Title 35, Subtitle H). Based on the above information, the NRC staff concludes that there would be no significant off-site noise impacts associated with the proposed action.
The environmental justice impact analysis evaluates the potential for disproportionately high and adverse human health and environmental effects on minority and low-income populations that could result from the proposed disposal of slightly contaminated soil at DNPS. Such effects may include human health, biological, cultural, economic, or social impacts.
According to the 2010 Census, 13 percent of the total population (approximately 25,000 individuals) residing within a 5 mile (8 km) radius of the DNPS identified themselves as minority individuals (EPA 2015). The largest minority were people of Hispanic, Latino, or Spanish origin of any race (2,323 persons or 9 percent), followed by Black or African American (450 persons or 2 percent). Minority populations within Grundy County comprise 11.1 percent of the total population with the largest minority group being Hispanic, Latino, or Spanish origin of any race, 8.2 percent.
According to the U.S. Census Bureau's 2009-2013 American Community Survey 5-Year Estimates using the University of Missouri's Circular Area Profiling System (MCDCCAPS 2015), approximately 1,850 individuals (6.2 percent) residing within a 5 mile (8 km) radius of DNPS were identified as living below the Federal poverty threshold. The 2013 Federal poverty threshold was $12,119 for an individual and $24,028 for a family of four.
According to the U.S. Census Bureau's 2011-2013 American Community Survey 3-Year Estimates (USCB 2015), the median household income for Illinois was $55,799, while 14.8 percent of the state population and 10.9 percent of families were found to be living below the Federal poverty threshold. Grundy County had a higher median household income average ($63,978) and a lower percent of individuals (9.4 percent) and families (7.2 percent) living below the poverty level, respectively.
Potential impacts to minority and low-income populations would mostly consist of radiological and environmental effects (
Based on this information and the analysis of human health and environmental impacts presented in this environmental assessment, the proposed onsite disposal of slightly contaminated soil at the DNPS would not have disproportionately high and adverse human health and environmental effects on minority and low-income populations residing near the DNPS.
As an alternative to the proposed action, the NRC staff considered denial of the disposal request (
The current contaminated soil and future contaminated soil and sludge generated as a result of plant operation could also be sent to a licensed low-level radioactive waste disposal facility. Shipment of future soil to an offsite low-level radioactive waste disposal facility would not result in a compensating improvement in the environmental impacts, as there could be additional transportation-related impacts associated with transporting the soil offsite. Furthermore, as discussed in Information Notice 83-05, the NRC has recognized that onsite disposal of low-level waste can minimize the quantity of waste shipped to a radioactive waste disposal facility and can provide a reasonable alternative to the high costs associated with disposals at radioactive waste disposal facilities. Therefore, the only alternative the staff considered is the no-action alternative, under which the current soil inventory would remain in its current location on the DNPS site and future contaminated soil generated would also be stored onsite.
If the 6,000 m
This action does not involve the use of any resources (water, air, land) not previously considered in the Generic Environmental Impact Statement for License Renewal of Nuclear Plants: Regarding Dresden Nuclear Power Station, Units 2 and 3 (NUREG-1437, Supplement 17, dated June 2004).
In accordance with its stated policy, on February 26, 2015, the NRC staff consulted with the State official of Illinois, Ms. Kelly Horn, Section Head, Environmental Management Bureau of Radiation Safety of the Illinois Emergency Management Agency, regarding the environmental impact of the proposed action. Ms. Horn had no comments.
Additionally, the NRC staff determined that the proposed action would have no effect on federally listed threatened and endangered species that could occur on or near the proposed disposal area. As well, the proposed action would have no significant impact to historic and cultural resources. Therefore, consultation was not required under Section 7 of the Endangered Species Act or under Section 106 of the National Historic Preservation Act.
Exelon Generation Company, LLC (Exelon, the licensee) has requested onsite disposal of up to 20,000 m
The documents identified in the following table are available to interested persons through one or more of the following methods, as indicated.
For the Nuclear Regulatory Commission.
Pursuant to Section 19(b)(1)
The Exchange proposes to add definitions applicable to certain co-location services to the Exchange's Price List and modify the fee for users that host their customers at the Exchange's Data Center. 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 operates a data center in Mahwah, New Jersey, from which it provides co-location services to Users.
In 2011, the Exchange changed the definition of the term “User,” for the purposes of co-location services, to include any market participant that requests to receive co-location services directly from the Exchange.
The Exchange proposes to add the current definition of User to the Price List, without changes from the 2011 Release, as follows:
A “User” means any market participant that requests to receive co-location services directly from the Exchange.
The proposed definition would, consistent with the 2011 Release, encompass Members, Sponsored Participants and non-member broker-dealers, as well as vendors that provide hosting, service bureau and technical support, risk management services, order routing services and market data delivery services to their customers while such Users are co-located in the Exchange's data center. Any entity that could be a User based on the term as described in the 2011 Release would be considered a User under the proposed definition.
The Exchange also proposes to make a non-substantive change to the description in the Exchange's Price List of the Exchange's billing practice for co-location services received by Users that connect to the Exchange and one or more of its affiliates, by replacing the term, “user,” with the defined term, “User.”
In the 2011 Release, the Exchange also amended its Price List to establish a fee applicable to Users that provide hosting services to their customers at the Exchange's data center. As described in the 2011 Release, “hosting” is a service offered by a User to another entity in the User's space within the data center and can include, for example, a User supporting such other entity's technology, whether hardware or software, through the User's co-location space. The 2011 Release used the term “Hosted User” to describe a customer to which a User provides hosting services.
The Exchange now proposes to include the definitions relating to hosting services in the Exchange's Price List, as follows:
A “Hosting User” means a User that hosts a Hosted Customer in the User's co-location space.
A “Hosted Customer” means a customer of a Hosting User that is hosted in a Hosting User's co-location space.
The proposed definition of “Hosting User” incorporates the description of a User that hosts customers in its co-location space as set forth in the 2011 Release. For the avoidance of doubt, a Hosting User must be a User pursuant to the proposed definition of User. Any User that could be a Hosting User based on the description of a User that hosts customers in the 2011 Release would be considered a Hosting User under the proposed definition.
The proposed definition of “Hosted Customer” would be a customer of a Hosting User that is hosted in a Hosting User's co-location space, and would be consistent with the description of the term “Hosted User” used in the 2011 Release.
In the 2011 Release, the Exchange amended its Price List to establish a fee charged to Users of $500.00 per month with respect to each Hosted Customer (defined as “Hosted User” in the 2011 Release) that a User hosts in the Exchange's data center (the “Hosting Fee”).
Effective January 1, 2016, the Exchange proposes to modify the Hosting Fee to provide that the Hosting Fee would be assessed to a Hosting User on a per Hosted Customer basis and for each cabinet in which the Hosting User hosts the Hosted Customer. This approach to hosting fees is comparable to the structure used by the NASDAQ Stock Market, Inc. (“NASDAQ”) in its Multi-Firm Cabinets Fee, and would similarly mean that a Hosting User would be assessed the Hosting Fee for each Hosted Customer that occupies space in a cabinet.
As is the case currently, Users may independently set fees for their Hosted Customers and the Exchange would not receive a share of any such fees.
As is the case with all Exchange co-location arrangements (i) neither a User nor any of the User's customers would be permitted to submit orders directly to the Exchange unless such User or customer is a Member, a Sponsored Participant or an agent thereof (
The proposed change is not otherwise intended to address any other issues relating to co-location services and/or related fees, and the Exchange is not aware of any problems that Users would have in complying with the proposed change.
The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,
The Exchange believes that the proposal is not designed to permit unfair discrimination between customers, issuers, broker, or dealers. First, the proposed addition of the definitions for User, Hosting User and Hosted Customer to the Price List, would, by their addition to the Price List, make the application of such definitions more accessible and transparent. There is no change to the definition of User. There is no change to the definition of “Hosted User” as described in the 2011 Release other than to change the name to “Hosted Customer” to add clarity to the use and the application of the definition. The proposed new term, “Hosting User” reflects the description of a User that hosts customers in its co-location space as set forth in the 2011 Release. Finally, an entity that could be a User, a User that hosts customers and a Hosted User based on the 2011 Release, would be considered a User, Hosting User or Hosted Customer, respectively, under the proposed definitions. The proposed definitions would be applied uniformly for comparable services provided by the Exchange.
The Exchange believes that the proposal would remove impediments to, and perfect the mechanisms of, a free and open market and a national market system and, in general, protect investors and the public interest because by including definitions in the Price List, the proposed change would provide Users with clarity as to the availability and application of co-location hosting services and fees.
The proposed change to the Hosting Fee would be applied uniformly for comparable services provided by the Exchange to comparable Hosting Users and their customers and would not unfairly discriminate between similarly situated Hosting Users. The Exchange notes that assessing a fee per Hosted Customer per cabinet is comparable to the approach that NASDAQ takes to the same type of services in its Multi-Firm Cabinets Fee.
The Exchange also believes that the proposed rule change is consistent with Section 6(b)(4) of the Act,
For the reasons above, the proposed change would not unfairly discriminate between or among market participants that are otherwise capable of satisfying any applicable co-location fees, requirements, terms and conditions established from time to time by the Exchange.
Finally, the Exchange believes that it is subject to significant competitive forces, as described below in the Exchange's statement regarding the burden on competition.
For these reasons, the Exchange believes that the proposal is consistent with the Act.
In accordance with Section 6(b)(8) of the Act,
The Exchange believes that incorporating the definitions of User, Hosting User and Hosted Customer into the Price List, the change to the Hosting Fee and the change to the application of the Hosting Fee will not impose any burden on competition that is not necessary or appropriate in further of the purposes of the Act because the definitions have been previously filed with the Commission
Finally, the Exchange notes that it operates in a highly competitive market in which market participants can readily favor competing venues if, for example, they deem fee levels at a particular venue to be excessive or if they determine that another venue's products and services are more competitive than on the Exchange. In such an environment, the Exchange must continually review, and consider adjusting, the services it offers as well as any corresponding fees and credits to remain competitive with other exchanges. For the reasons described above, the Exchange believes that the proposed rule change reflects this competitive environment.
No written comments were solicited or received with respect to 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. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule change 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.
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 (the “Act”),
The Exchange filed a proposal to restructure and amend Rule 11.17, Clearly Erroneous Executions, in order to conform to the rules of EDGA Exchange, Inc. (“EDGA”) and EDGX Exchange, Inc. (“EDGX”).
The text of the proposed rule change is available at 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 parts of such statements.
In early 2014, the Exchange and its affiliate, BATS Exchange, Inc. (“BZX”), received approval to effect a merger (the “Merger”) of the Exchange's parent company, BATS Global Markets, Inc., with Direct Edge Holdings LLC, the indirect parent of EDGX and EDGA (together with BZX, BYX and EDGX, the “BGM Affiliated Exchanges”).
On September 10, 2010, the Commission approved, on a pilot basis, changes to BATS Rule 11.17 to provide for uniform treatment: (1) Of clearly erroneous
First, the Exchange proposes to add new subparagraph (h) to Rule 11.17 which would describe the process for nullifying trades in UTP Securities that are the subject of an initial public offering (“IPOs”). The provisions of proposed paragraph (h) are substantially similar to EDGA and EDGX Rules 11.15(h) and differs only to the extent to conform to existing phrasing and terminology within other provisions of Rule 11.17.
Pursuant to Rule 12f-2 of the Securities Exchange Act of 1934,
The Exchange also proposes the following ministerial amendments to Rule 11.17 as a result of proposing new paragraph (h). First, the Exchange proposes to renumber current paragraph (h) as (i), current paragraph (i) as (j), and current paragraph (j) as (k). In addition, the Exchange proposes to update the references to these paragraph in the introductory section of Rule 11.17 to reflect these changes and the addition of proposed paragraph (h).
Lastly, the Exchange proposes the following changes to further conform Rule 11.17 to EDGA and EDGX Rules 11.15:
• Amend paragraph (e)(1) to clarify that a determination made pursuant to this paragraph shall be made generally within thirty (30) minutes of receipt of the complaint, but in no case later than the start of Regular Trading Hours on the following
• Amend paragraph (e)(2)(A) to define CRO as the “Exchange's Chief Regulatory Officer”. This proposed change would make paragraph (e)(2)(A) identical to EDGA and EDGX Rule 11.15(e)(2)(A).
Amend paragraph (e)(2)(F) to replace the term “Officer” with “Official” in order to use consistent terminology throughout Rule 11.17.
The Exchange believes that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder that are applicable to a national securities exchange, and, in particular, with the requirements of Section 6(b) of the Act.
Finally, the Exchange believes that the non-substantive, ministerial changes discussed above will contribute to the protection of investors and the public interest by helping to avoid confusion with respect to Exchange Rules.
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. To the contrary, allowing the Exchange to implement substantively identical rules across each of the BGM Affiliated Exchanges regarding clearly erroneous executions does not present any competitive issues, but rather is designed to provide greater harmonization among Exchange, BZX, EDGX, and EDGA rules of similar purpose. The proposed rule change should, therefore, result in less burdensome and more efficient regulatory compliance and understanding of Exchange Rules for common members of the BGM Affiliated Exchanges and an enhanced ability of the BGM Affiliated Exchanges to fairly and efficiently regulate Members.
The Exchange has neither solicited nor received written comments on the proposed rule change.
The Exchange has designated this rule filing as non-controversial under Section 19(b)(3)(A) of the Act
At any time within 60 days of the filing of the proposed rule change, the Commission may summarily temporarily suspend such rule change if it appears to the Commission that such action is: (1) Necessary or appropriate in the public interest; (2) for the protection of investors; or (3) 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)
The Exchange proposes to provide that certain quote cancel messages are subject to bandwidth limitations. The text of the proposed rule change is available on the Exchange's Web site (
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,
The Exchange is proposing to make an amendment to Rule 6.23B to state that certain quote messages are subject to bandwidth limitations and count towards the maximum number of quotes allowed per second(s). Specifically, quote cancel messages, a message type that is used by an originator of quotes to cancel quotes, will be subject to existing bandwidth limitations and counted towards the maximum number of quotes allowed per second(s) as described below.
By way of background, the Exchange does not have unlimited system bandwidth to support an unlimited number of order and quote entries per second. For this reason, the Exchange limits each Trading Permit to a maximum number of messages per second(s). Currently, for example, a Trading Permit Holder (“TPH”) is limited to x quote messages (“blocks”) per 1 second. Each block is limited to a maximum number of quotes. Additionally, there is a set maximum number of total quotes per 3 seconds. For example, if the Exchange limited each Trading Permit to 100 quotes per 1 block, 10 blocks per 1 second and a maximum of 200 quotes per 3 seconds, then a user cannot, for example, enter 11 blocks per 1 second. The Exchange will reject the entire block of quotes that puts the user over the threshold. If a user in the above example were to enter, 10 blocks comprised of 10 quotes (
The Exchange established bandwidth allowances for the purpose of protecting its systems and ensuring its systems were capable of handling all its message traffic. The Exchange believes that subjecting quote cancel messages (by series) to bandwidth allowance will help achieve this objective. The Exchange notes however, that requests to cancel by class or by session will not count towards the bandwidth limitation. Because the ability to cancel all quotes in a class is an important risk control for TPHs, the Exchange does not wish to count requests to cancel quotes for an entire class towards the maximum bandwidth allowance.
The Exchange will announce the implementation date of the proposed rule change in an Information Circular to be published no later than 90 days following the effective date of this rule filing. The implementation date will be no later than 180 days following the effective date of this rule filing.
The Exchange believes the proposed rule change is consistent with the Securities Exchange Act of 1934 (the “Act”) and the rules and regulations thereunder applicable to the Exchange and, in particular, the requirements of section 6(b) of the Act.
In particular, the Exchange believes that imposing a bandwidth limitation on quote cancel messages protects its systems and ensures its systems are capable of handling its message traffic, thus removing impediments to and perfecting the mechanism of a free and open market and a national market system, as well protecting investors and the public interest. As noted above, quote cancel request messages in addition to quotes, can result in message traffic that can be burdensome to the Exchange's systems. In addition, the proposed rule change does not discriminate unfairly between market participants because this will be applied equally to all TPHs that may quote (
CBOE does not believe that imposing a bandwidth limitation on quote cancel messages for a series or group of series will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. In particular, the Exchange does not believe that imposing a bandwidth limitation on quote cancel messages will place any burden on intramarket competition because this will be applied to equally to all relevant TPHs (
The Exchange neither solicited nor received comments on the proposed rule change.
The Exchange has designated this rule filing as non-controversial under section 19(b)(3)(A) of the Act and Rule 19b-4(f)(6) thereunder.
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: (1) Necessary or appropriate in the public interest; (2) for the protection of investors, or (3) 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.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Pursuant to Section 19(b)(1)
The Exchange proposes to add definitions applicable to co-location services to the NYSE Arca Options Fee Schedule (the “Options Fee Schedule”) and, through its wholly owned subsidiary NYSE Arca Equities, Inc. (“NYSE Arca Equities”), the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services (the “Equities Fee Schedule” and, together with the Options Fee Schedule, the “Fee Schedules”) and modify the fee for users that host their customers at the Exchange's Data Center. 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
The Exchange operates a data center in Mahwah, New Jersey, from which it provides co-location services to Users.
In 2011, the Exchange changed the definition of the term “User,” for the purposes of co-location services, to include any market participant that requests to receive co-location services directly from the Exchange.
The Exchange proposes to add the current definition of User to the Fee Schedules, without changes from the 2011 Releases, as follows:
A “User” means any market participant that requests to receive co-location services directly from the Exchange.
The proposed definition would, consistent with the 2011 Releases, encompass Member Organizations, Sponsored Participants and non-member broker-dealers, as well as vendors that provide hosting, service bureau and technical support, risk management services, order routing services and market data delivery services to their customers while such Users are co-located in the Exchange's data center. Any entity that could be a User based on the term as described in the 2011 Releases would be considered a User under the proposed definition.
The Exchange also proposes to make a non-substantive change to the description in the Fee Schedules of the Exchange's billing practice for co-location services received by Users that connect to the Exchange and one or more of its affiliates, by replacing the term, “user,” with the defined term, “User.”
In the 2011 Releases, the Exchange also amended its Fee Schedules to establish a fee applicable to Users that provide hosting services to their customers at the Exchange's data center. As described in the 2011 Releases, “hosting” is a service offered by a User to another entity in the User's space within the data center and can include, for example, a User supporting such other entity's technology, whether hardware or software, through the User's co-location space. The 2011 Releases used the term “Hosted User” to describe a customer to which a User provides hosting services.
The Exchange now proposes to include definitions relating to hosting services in the Fee Schedules, as follows:
A “Hosting User” means a User that hosts a Hosted Customer in the User's co-location space.
A “Hosted Customer” means a customer of a Hosting User that is hosted in a Hosting User's co-location space.
The proposed definition of “Hosting User” incorporates the description of a User that hosts customers in its co-location space as set forth in the 2011 Releases. For the avoidance of doubt, a Hosting User must be a User pursuant to the proposed definition of User. Any User that could be a Hosting User based on the description of a User that hosts customers in the 2011 Releases would be considered a Hosting User under the proposed definition.
The proposed definition of “Hosted Customer” would be a customer of a Hosting User that is hosted in a Hosting User's co-location space, and would be consistent with the Fee Schedules [sic] the description of the term, “Hosted User” used in the 2011 Releases.
In the 2011 Releases, the Exchange amended its Fee Schedules to establish a fee charged to Users of $500.00 per month with respect to each Hosted Customer (defined as “Hosted User” in the 2011 Releases) that a User hosts in the Exchange's data center (the “Hosting Fee”).
Effective January 1, 2016, the Exchange proposes to modify the Hosting Fee to provide that the Hosting Fee would be assessed to a Hosting User on a per Hosted Customer basis and for each cabinet in which the Hosted [sic] User hosts the Hosted Customer. This approach to hosting fees is comparable to the structure used by the NASDAQ Stock Market, Inc. (“NASDAQ”) in its Multi-Firm Cabinets Fee, and would similarly mean that a Hosting User would be assessed the Hosting Fee for each Hosted Customer that occupies space in a cabinet for that cabinet.
As is the case currently, Users may independently set fees for their Hosted Customers and the Exchange would not receive a share of any such fees.
As is the case with all Exchange co-location arrangements (i) neither a User nor any of the User's customers would be permitted to submit orders directly to the Exchange unless such User or customer is a Member Organization, a Sponsored Participant or an agent thereof (
The proposed change is not otherwise intended to address any other issues relating to co-location services and/or related fees, and the Exchange is not aware of any problems that Users would have in complying with the proposed change.
The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,
The Exchange believes that the proposal is not designed to permit unfair discrimination between customers, issuers, broker, or dealers. First, the proposed addition of the definitions for User, Hosting User and Hosted Customer to the Fee Schedules, would, by their addition to the Fee Schedules, make the application of such definitions more accessible and transparent. There is no change to the definition of User. There is no change to the definition of “Hosted User” as described in the 2011 Releases other than to change the name to “Hosted Customer” to add clarity to the use and the application of the definition. The proposed new term, “Hosting User” reflects the description of a User that hosts customers in its co-location space as set forth in the 2011 Releases. Finally, an entity that could be a User, a User that hosts customers and a Hosted User based on the 2011 Releases, would be considered a User, Hosting User or Hosted Customer, respectively under the proposed definitions. The proposed definitions would be applied uniformly for comparable services provided by the Exchange.
The Exchange believes that the proposal would remove impediments to, and perfect the mechanisms of, a free and open market and a national market system and, in general, protect investors and the public interest because by including definitions in the Fee Schedules, the proposed change would provide Users with clarity as to the availability and application of co-location hosting services and fees.
The proposed change to the Hosting Fee would be applied uniformly for comparable services provided by the Exchange to comparable Hosting Users and their customers and would not unfairly discriminate between similarly situated Hosting Users. The Exchange notes that assessing a fee per Hosted Customer per cabinet is comparable to the approach that NASDAQ takes to the same type of services in its Multi-Firm Cabinets Fee.
The Exchange also believes that the proposed rule change is consistent with Section 6(b)(4) of the Act,
For the reasons above, the proposed change would not unfairly discriminate
Finally, the Exchange believes that it is subject to significant competitive forces, as described below in the Exchange's statement regarding the burden on competition.
For these reasons, the Exchange believes that the proposal is consistent with the Act.
In accordance with Section 6(b)(8) of the Act,
The Exchange believes that incorporating the definitions of User, Hosting User and Hosted Customer into the Fee Schedules, the change to the Hosting Fee and the change to the application of the Hosting Fee will not impose any burden on competition that is not necessary or appropriate in further of the purposes of the Act because the definitions have been previously filed with the Commission
Finally, the Exchange notes that it operates in a highly competitive market in which market participants can readily favor competing venues if, for example, they deem fee levels at a particular venue to be excessive or if they determine that another venue's products and services are more competitive than on the Exchange. In such an environment, the Exchange must continually review, and consider adjusting, the services it offers as well as any corresponding fees and credits to remain competitive with other exchanges. For the reasons described above, the Exchange believes that the proposed rule change reflects this competitive environment.
No written comments were solicited or received with respect to 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. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule change 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.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
On July 3, 2012, the Securities and Exchange Commission (“Commission”) issued an order pursuant to its authority under Rule 612(c) of Regulation NMS (“Sub-Penny Rule”)
The Exchanges now seek to extend the exemptions until March 31, 2016.
The limited and temporary exemptions extended by this Order are subject to modification or revocation if at any time the Commission determines that such action is necessary or appropriate in furtherance of the purposes of the Securities Exchange Act of 1934. Responsibility for compliance with any applicable provisions of the Federal securities laws must rest with the persons relying on the exemptions that are the subject of this Order.
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 modify certain proprietary options data products. 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 modify certain proprietary options data products.
The Exchange currently offers the following real-time options market data feeds through its ArcaBook for Amex Options data product (collectively, “Current Options Products”):
• “ArcaBook for Amex Options—Trades” makes available NYSE Amex Options last sale information on a real-time basis as it is reported to the Options Price Reporting Authority (“OPRA”) and disseminated on a consolidated basis under the OPRA Plan.
• “ArcaBook for Amex Options—Top of Book” makes available NYSE Amex Options best bids and offers (“BBO”) (including orders and quotes) on a real-time basis as reported to OPRA and disseminated on a consolidated basis under the OPRA Plan.
• “ArcaBook for Amex Options—Series Status” makes available series status messages for each individual options series (and in the case of complex orders, per-instrument) relating to events such as a delayed opening or trading halt.
• “ArcaBook for Amex Options—Order Imbalance” makes available order imbalance information prior to the opening of the market and during a trading halt.
• “ArcaBook for Amex Options—Depth of Book” makes available NYSE Amex Options quotes and orders at the first five price levels in each series on a real-time basis.
• “ArcaBook for Amex Options—Complex” makes available NYSE Amex Options quote and trade information (including orders/quotes, requests for responses, and trades) for the complex order book on a real-time basis.
The Exchange charges a single fee for its ArcaBook for Amex Options data product, which includes all six of the Current Options Products. The Exchange also charges a separate fee for ArcaBook for Amex Options—Complex for subscribers that seek to obtain this Current Options Product on a standalone basis.
The Exchange proposes to modify the Current Options Products as follows:
First, the Exchange proposes to combine in one market data product, called “Amex Options Top,” the data made available currently in “ArcaBook for Amex Options—Trades,” “ArcaBook for Amex Options—Top of Book,” “ArcaBook for Amex Options—Series Status,” and “ArcaBook for Amex Options—Order Imbalance.” Offering a data product that combines, in one market data product, last sale data, BBO, and order imbalance information and series status messages, would provide greater efficiencies and better sequencing for vendors and subscribers that currently choose to integrate the data after receiving it from the Exchange. As with ArcaBook for Amex Options—Trades and ArcaBook for Amex Options—Top of Book, Amex Options Top would provide last sale and BBO information on a real-time basis as reported to OPRA and disseminated on a consolidated basis under the OPRA Plan.
Second, the Exchange proposes to modify “ArcaBook for Amex Options—Depth of Book” market data product so that quotes and orders would be available at the first three price levels in each series on a real-time basis rather than at the first five price levels. The Exchange also proposes to change the name of this product to “Amex Options Deep.” The Exchange believes that reducing the number of levels in the feed will reduce the size of the messages by a significant amount, which the Exchange anticipates will reduce customers' bandwidth needs while retaining the functionality of this product.
Finally, the Exchange proposes to change the name of the “ArcaBook for Arca [sic] Options—Complex” market data product to “Arca [sic] Options Complex.”
The proposed Amex Options Top, Amex Options Deep and Amex Options Complex market data products (the “Amex Options Products”) would be distributed in a new format, Exchange Data Protocol (XDP), aligning the format of the Amex Options Products with that of other market data products offered by the Exchange. This format change would not affect the real-time data content other than as described herein.
The Exchange does not propose to make any changes to the fees. The single fee charged for the Current Options Products that comprise the ArcaBook for Amex Options market data product would similarly apply to subscribers to of all three proposed market data products—Amex Options Top, Amex Options Deep and Amex Options Complex. The standalone fee that now applies to “ArcaBook for Amex Options—Complex,” would likewise apply to Amex Options Complex market data product. The Exchange proposes to change the references to the names of the products in the NYSE Amex Options Proprietary Market Data Fee Schedule to the names of the products as proposed.
As with the Current Options Products, each of the Amex Options Products would be offered through the Exchange's Liquidity Center Network (“LCN”), a local area network in the Exchange's Mahwah, New Jersey data center that is available to users of the Exchange's co-location services. The Exchange would also offer the products through the Exchange's Secure Financial Transaction Infrastructure (“SFTI”) network, through which all other users and member organizations access the Exchange's trading and execution systems and other proprietary market data products.
The Exchange will announce the date that the Amex Options Products will be available through an NYSE Market Data Notice.
The proposed change is not intended to address any issues other than those described herein, and the Exchange is not aware of any problems that vendors or subscribers would have in complying with the proposed change.
The proposed rule change is consistent with section 6(b)
The Exchange also believes this proposal is consistent with section 6(b)(5) of the Act because it protects investors and the public interest and promotes just and equitable principles of trade by providing investors with improved options for receiving market data. The proposed rule changes would benefit investors by facilitating their prompt access to the real-time information contained in the Amex Options Products.
In particular, the Exchange believes that combining last sale data, best bids and offers, order imbalance information and series status messages in the Amex Options Top product is reasonable because it would provide greater efficiencies and reduce errors for vendors and subscribers that currently choose to integrate the data after receiving it from the Exchange. In addition, the change to the Amex Options Deep product reflects the interests and needs of vendors by streamlining the product using smaller message sizes. The changes are reasonable because they would provide vendors and subscribers with higher quality market data products.
In adopting Regulation NMS, the Commission granted self-regulatory organizations and broker-dealers increased authority and flexibility to offer new and unique market data to consumers of such data. It was believed that this authority would expand the amount of data available to users and consumers of such data and also spur innovation and competition for the provision of market data. The Exchange believes that the options data product changes proposed herein are precisely the sort of market data product evolutions that the Commission envisioned when it adopted Regulation NMS. The Commission concluded that Regulation NMS—by lessening regulation of the market in proprietary data—would itself further the Act's goals of facilitating efficiency and competition:
[E]fficiency is promoted when broker-dealers who do not need the data beyond the prices, sizes, market center identifications of the NBBO and consolidated last sale information are not required to receive (and pay for) such data. The Commission also believes that efficiency is promoted when broker-dealers may choose to receive (and pay for) additional market data based on their own internal analysis of the need for such data.
By removing “unnecessary regulatory restrictions” on the ability of exchanges to sell their own data, Regulation NMS advanced the goals of the Act and the principles reflected in its legislative history.
The Exchange further notes that the existence of alternatives to the Exchange's products, including real-time consolidated data, free delayed consolidated data, and proprietary data from other sources, ensures that the Exchange is not unreasonably discriminatory because vendors and subscribers can elect these alternatives.
The proposed options data products will help to protect a free and open market by providing additional data to the marketplace and give investors greater choices. In addition, the proposal would not permit unfair discrimination because the products will be available to all of the Exchange's customers and broker-dealers through both the LCN and SFTI.
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 Exchange has filed the proposed rule change pursuant to section 19(b)(3)(A)(iii) 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
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.
On July 30, 2015, BATS Exchange, Inc. (“BATS” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
Section 19(b)(2) of the Act
Accordingly, the Commission, pursuant to Section 19(b)(2) of the Act,
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 (the “Act”),
The Exchange filed a proposal to amend Rule 11.15, Clearly Erroneous
The text of the proposed rule change is available at 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 parts of such statements.
In early 2014, the Exchange and its affiliate, EDGX Exchange, Inc. (“EDGX”) received approval to effect a merger (the “Merger”) of the Exchange's parent company, Direct Edge Holdings LLC, with BATS Global Markets, Inc., the parent of BZX and the BATS Y-Exchange, Inc. (“BYX”, together with BZX, EDGA and EDGX, the “BGM Affiliated Exchanges”).
On September 10, 2010, the Commission approved, on a pilot basis, changes to Exchange Rule 11.15 to provide for uniform treatment: (1) Of clearly erroneous
The Exchange proposes the below changes to conform Rule 11.15 to BYX and BZX Rules 11.17. None of these changes are designed to amend the Exchange's current review process for clearly erroneous executions. Rather, they are proposed in order to implement identical rules with regard to clearly erroneous executions across each of the BGM Affiliated Exchanges.
• Amend the last sentence of the introductory paragraph to include the word “replaced”.
• Replace references to “Officer” with “Official” in paragraphs (b), (b)(1), (c)(3), (d), (e)(1), (e)(2), (e)(2)(D), and (e)(2)(F).
• Replace the term “Regular Market Session” with “Regular Trading Hours” in paragraphs (c)(1), (e)(1), and (g).
• Amend paragraph (b)(1) to: (i) Clarify that requests for review must be received
• Amend paragraph (b)(2) to encase both “30” and “60” in parentheses as well as insert the word “thirty” immediately before “(30)” and the word “sixty” immediately before “(60)”.
• Amend paragraph (c)(1) to: (i) Delete the word “the” before the word “Regular” and add the word “during” before the phrase “the Pre-Opening and . . . ” in the first sentence; (ii) remove the “s” from the word “occur” within the parenthetical in the third sentence; and (iii) insert the word “paragraph” before “(c)(2)” in the fourth sentence.
• Amend the first sentence of paragraph (c)(3) to: (i) Remove the “s” from the word “system”; (ii) replace “IPO” with the term “initial public offering”; and (iii) remove “ 's ” from the word “tape”.
• Amend paragraph (d) to: (i) Replace the term “at its” with “in his or her”; (ii) replace the word “subsection” with “paragraph”; and (ii) encase both “30” and “60” in parentheses as well as insert the word “thirty” immediately before “(30)”.
• Reformat and renumber paragraph (d)(1)(A) as (d)(1) and (d)(1)(B) as (d)(2).
• Amend renumbered and reformatted paragraph (d)(1) to: (i) Not
• Amend renumbered and reformatted paragraph (d)(2) to: (i) Not capitalize the word “Paragraph”; (ii) replace the words “the Section” with “this Rule”; and (iii) replace “11.15” with the word “paragraph” before the reference to (c)(3).
• Amend paragraph (e)(1) to encase “30” in parentheses as well as insert the word “thirty” immediately before “(30)” in the third sentence.
• Amend paragraph (e)(2)(B) to rephrase the term “ ten (10) Member representatives” with “ten (10) representatives of Members”.
• Renumber paragraph (e)(3) as (e)(2)(C) and amend the paragraph to: (i) Specify that a request for review on appeal must be made, not only via email, but also in writing or other electronic means specified from time to time by the Exchange in a circular distributed to Members; and (ii) replace “3:00 ET” with “3:00 p.m. Eastern Time” in the third sentence.
• Renumber paragraph (e)(4) as (e)(2)(D).
• Renumber paragraph (e)(5) as (e)(2)(E) and: (i) Replace reference to “Rule 11.15(e)(1)” with “paragraph (e)(1) above”; and (ii) add a sentence stating that in instances where the Exchange, on behalf of a Member, requests a determination by another market center that a transaction is clearly erroneous, the Exchange will pass any resulting charges through to the relevant Member.
• Renumber paragraph (e)(6) as (e)(2)(F).
• Within paragraph (f), amend: (i) The first sentence to replace the word “the” with “an” before the “Officer” and delete the word “such” before “other senior level employee designee”; (ii) the second sentence to remove the “s” from the “paragraphs” before reference to paragraph (c)(1)-(3); (iii) the third sentence to delete the word “such” before “other senior level employee designee”; (iv) amend the fourth sentence to delete the term “such other” before “senior level employee designee”, replace the term “Regular Session Trading” with “Regular Trading Hours”, and add the word “trading” before “day”; and (v) amend the last sentence to clarify that notice shall be provided by the Exchange, replace the word “Member” with “party”, remove the “s” from the “paragraphss” and delete reference to paragraph (e)(3) and (4) as those paragraph are now included in (e)(2).
• Amend paragraph (g) to: (i) Retitle it as “Officer Acting On Own Motion”; (ii) delete the term “such other” before “senior level employee designee” and replace the term “its” with “his or her” in the first sentence; (iii) delete the word “such” before “other senior level employee designee” in the fourth sentence; and (iv) remove the “s” from the “paragraphs” and delete reference to paragraph (e)(3) and (4) as those paragraphs are now included in (e)(2) in the last sentence.
• Within paragraph (h), amend: (i) The first sentence to replace the term “initial public offering” with “IPO”; (ii) the third and fourth sentences to delete the word “such” before “other senior level employee designee”; (iii) the sixth sentence to delete the word “such” before “other senior level employee designee”, replace the term “Regular Session Trading” with “Regular Trading Hours”, and add the word “trading” before “day”; and (v) amend the last sentence to replace the term “subsection” with “paragraph” and delete reference to paragraphs (e)(3) and (4) as those paragraphs are now included in (e)(2).
Amend the last sentence in paragraphs (j) and (k) to delete reference to paragraphs (e)(3) and (4) as those paragraphs are now included in (e)(2).
The Exchange believes that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder that are applicable to a national securities exchange, and, in particular, with the requirements of Section 6(b) of the Act.
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. To the contrary, allowing the Exchange to implement substantively identical rules across each of the BGM Affiliated Exchanges regarding clearly erroneous executions does not present any competitive issues, but rather is designed to provide greater harmonization among Exchange, BZX, BYX, and EDGX rules of similar purpose. The proposed rule change should, therefore, result in less burdensome and more efficient regulatory compliance as well as a better understanding of Exchange Rules for common members of the BGM Affiliated Exchanges.
The Exchange has neither solicited nor received written comments on the proposed rule change.
The Exchange has designated this rule filing as non-controversial under Section 19(b)(3)(A) of the Act
At any time within 60 days of the filing of the proposed rule change, the Commission may summarily temporarily suspend such rule change if it appears to the Commission that such action is: (1) Necessary or appropriate in the public interest; (2) for the protection of investors; or (3) 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.
On December 23, 2013, the Securities and Exchange Commission (“Commission”) issued an order pursuant to its authority under Rule 612(c) of Regulation NMS (“Sub-Penny Rule”)
The Exchange now seeks to extend the exemption until March 31, 2016.
The limited and temporary exemption extended by this Order is subject to modification or revocation if at any time, the Commission determines that such action is necessary or appropriate in furtherance of the purposes of the Securities Exchange Act of 1934. Responsibility for compliance with any applicable provisions of the Federal securities laws must rest with the
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 modify certain proprietary options data products. 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 modify certain proprietary options data products.
The Exchange currently offers the following real-time options market data feeds through its ArcaBook for Arca Options data product (collectively, “Current Options Products”):
• “ArcaBook for Arca Options—Trades” makes available NYSE Arca Options last sale information on a real-time basis as it is reported to the Options Price Reporting Authority (“OPRA”) and disseminated on a consolidated basis under the OPRA Plan.
• “ArcaBook for Arca Options—Top of Book” makes available NYSE Arca Options best bids and offers (“BBO”) (including orders and quotes) on a real-time basis as reported to OPRA and disseminated on a consolidated basis under the OPRA Plan.
• “ArcaBook for Arca Options—Series Status” makes available series status messages for each individual options series (and in the case of complex orders, per-instrument) relating to events such as a delayed opening or trading halt.
• “ArcaBook for Arca Options—Order Imbalance” makes available order imbalance information prior to the opening of the market and during a trading halt.
• “ArcaBook for Arca Options—Depth of Book” makes available NYSE Arca Options quotes and orders at the first five price levels in each series on a real-time basis.
• “ArcaBook for Arca Options—Complex” makes available NYSE Arca Options quote and trade information (including orders/quotes, requests for responses, and trades) for the complex order book on a real-time basis.
The Exchange charges a single fee for its ArcaBook for Arca Options data product, which includes all six of the Current Options Products. The Exchange also charges a separate fee for ArcaBook for Arca Options—Complex for subscribers that seek to obtain this Current Options Product on a standalone basis.
The Exchange proposes to modify the Current Options Products as follows:
First, the Exchange proposes to combine in one market data product, called “Arca Options Top,” the data made available currently in “ArcaBook for Arca Options—Trades,” “ArcaBook for Arca Options—Top of Book,” “ArcaBook for Arca Options—Series Status,” and “ArcaBook for Arca Options—Order Imbalance.” Offering a data product that combines, in one market data product, last sale data, BBO, and order imbalance information and series status messages, would provide greater efficiencies and better sequencing for vendors and subscribers that currently choose to integrate the data after receiving it from the Exchange. As with ArcaBook for Arca Options—Trades and ArcaBook for Arca Options—Top of Book, Arca Options Top would provide last sale and BBO information on a real-time basis as reported to OPRA and disseminated on a consolidated basis under the OPRA Plan.
Second, the Exchange proposes to modify “ArcaBook for Arca Options—Depth of Book” market data product so that quotes and orders would be available at the first three price levels in each series on a real-time basis rather than at the first five price levels. The Exchange also proposes to change the name of this product to “Arca Options Deep.” The Exchange believes that reducing the number of levels in the feed will reduce the size of the messages by a significant amount, which the Exchange anticipates will reduce customers' bandwidth needs while retaining the functionality of this product.
Finally, the Exchange proposes to change the name of the “ArcaBook for Arca Options—Complex” market data product to “Arca Options Complex.”
The proposed Arca Options Top, Arca Options Deep and Arca Options Complex market data products (the “Arca Options Products”) would be distributed in a new format, Exchange Data Protocol (XDP), aligning the format of the Arca Options Products with that of other market data products offered by the Exchange. This format change would not affect the real-time data content other than as described herein.
The Exchange does not propose to make any changes to the fees. The single fee charged for the Current Options Products that comprise the ArcaBook for Arca Options market data product would similarly apply to subscribers to of all three proposed market data products—Arca Options Top, Arca Options Deep and Arca Options Complex. The standalone fee that now applies to “ArcaBook for Arca Options—Complex,” would likewise apply to Arca Options Complex market data product. The Exchange proposes to change the references to the names of the products in the NYSE Arca Options Proprietary Market Data Fee Schedule to the names of the products as proposed.
As with the Current Options Products, each of the Arca Options Products would be offered through the Exchange's Liquidity Center Network (“LCN”), a local area network in the Exchange's Mahwah, New Jersey data center that is available to users of the Exchange's co-location services. The Exchange would also offer the products through the Exchange's Secure Financial Transaction Infrastructure (“SFTI”) network, through which all other users and member organizations access the Exchange's trading and execution systems and other proprietary market data products.
The Exchange will announce the date that the Arca Options Products will be available through an NYSE Market Data Notice.
The proposed change is not intended to address any issues other than those described herein, and the Exchange is not aware of any problems that vendors or subscribers would have in complying with the proposed change.
The proposed rule change is consistent with Section 6(b)
The Exchange also believes this proposal is consistent with Section 6(b)(5) of the Act because it protects investors and the public interest and promotes just and equitable principles of trade by providing investors with improved options for receiving market data. The proposed rule changes would benefit investors by facilitating their prompt access to the real-time information contained in the Arca Options Products.
In particular, the Exchange believes that combining last sale data, best bids and offers, order imbalance information and series status messages in the Arca Options Top product is reasonable because it would provide greater efficiencies and reduce errors for vendors and subscribers that currently choose to integrate the data after receiving it from the Exchange. In addition, the change to the Arca Options Deep product reflects the interests and needs of vendors by streamlining the product using smaller message sizes. The changes are reasonable because they would provide vendors and subscribers with higher quality market data products.
In adopting Regulation NMS, the Commission granted self-regulatory organizations and broker-dealers increased authority and flexibility to offer new and unique market data to consumers of such data. It was believed that this authority would expand the amount of data available to users and consumers of such data and also spur innovation and competition for the provision of market data. The Exchange believes that the options data product changes proposed herein are precisely the sort of market data product evolutions that the Commission envisioned when it adopted Regulation NMS. The Commission concluded that Regulation NMS—by lessening regulation of the market in proprietary data—would itself further the Act's goals of facilitating efficiency and competition:
[E]fficiency is promoted when broker-dealers who do not need the data beyond the prices, sizes, market center identifications of the NBBO and consolidated last sale information are not required to receive (and pay for) such data. The Commission also believes that efficiency is promoted when broker-dealers may choose to receive (and pay for) additional market data based on their own internal analysis of the need for such data.
By removing “unnecessary regulatory restrictions” on the ability of exchanges to sell their own data, Regulation NMS advanced the goals of the Act and the principles reflected in its legislative history.
The Exchange further notes that the existence of alternatives to the Exchange's products, including real-time consolidated data, free delayed consolidated data, and proprietary data from other sources, ensures that the Exchange is not unreasonably discriminatory because vendors and subscribers can elect these alternatives.
The proposed options data products will help to protect a free and open market by providing additional data to the marketplace and give investors greater choices. In addition, the proposal would not permit unfair discrimination because the products will be available to all of the Exchange's customers and broker-dealers through both the LCN and SFTI.
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 Exchange has filed the proposed rule change pursuant to Section 19(b)(3)(A)(iii) 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) of the Securities Exchange Act of 1934 (the “Act”),
The Exchange filed a proposal to restructure and amend Rule 11.17, Clearly Erroneous Executions, in order to conform to the rules of EDGA Exchange, Inc. (“EDGA”) and EDGX Exchange, Inc. (“EDGX”).
The text of the proposed rule change is available at 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 parts of such statements.
In early 2014, the Exchange and its affiliate, BATS Y-Exchange, Inc. (“BYX”), received approval to effect a merger (the “Merger”) of the Exchange's parent company, BATS Global Markets, Inc., with Direct Edge Holdings LLC, the indirect parent of EDGX and EDGA (together with BZX, BYX and EDGX, the “BGM Affiliated Exchanges”).
On September 10, 2010, the Commission approved, on a pilot basis, changes to BATS Rule 11.17 to provide for uniform treatment: (1) Of clearly erroneous
First, the Exchange proposes to add new subparagraph (h) to Rule 11.17 which would describe the process for nullifying trades in UTP Securities that are the subject of an initial public offering (“IPOs”). The provisions of proposed paragraph (h) are substantially similar to EDGA and EDGX Rules 11.15(h) and differs only to the extent to conform to existing phrasing and terminology within other provisions of Rule 11.17.
Pursuant to Rule 12f-2 of the Securities Exchange Act of 1934,
The Exchange also proposes the following ministerial amendments to Rule 11.17 as a result of proposing new paragraph (h). First, the Exchange proposes to renumber current paragraph
Lastly, the Exchange proposes the following changes to further conform Rule 11.17 to EDGA and EDGX Rules 11.15:
• Amend paragraph (e)(1) to clarify that a determination made pursuant to this paragraph shall be made generally within thirty (30) minutes of receipt of the complaint, but in no case later than the start of Regular Trading Hours on the following
• Amend paragraph (e)(2)(A) to define CRO as the “Exchange's Chief Regulatory Officer”. This proposed change would make paragraph (e)(2)(A) identical to EDGA and EDGX Rule 11.15(e)(2)(A).
Amend paragraph (e)(2)(F) to replace the term “Officer” with “Official” in order to use consistent terminology throughout Rule 11.17.
The Exchange believes that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder that are applicable to a national securities exchange, and, in particular, with the requirements of Section 6(b) of the Act.
Finally, the Exchange believes that the non-substantive, ministerial changes discussed above will contribute to the protection of investors and the public interest by helping to avoid confusion with respect to Exchange Rules.
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. To the contrary, allowing the Exchange to implement substantively identical rules across each of the BGM Affiliated Exchanges regarding clearly erroneous executions does not present any competitive issues, but rather is designed to provide greater harmonization among Exchange, BYX, EDGX, and EDGA rules of similar purpose. The proposed rule change should, therefore, result in less burdensome and more efficient regulatory compliance and understanding of Exchange Rules for common members of the BGM Affiliated Exchanges and an enhanced ability of the BGM Affiliated Exchanges to fairly and efficiently regulate Members.
The Exchange has neither solicited nor received written comments on the proposed rule change.
The Exchange has designated this rule filing as non-controversial under Section 19(b)(3)(A) of the Act
At any time within 60 days of the filing of the proposed rule change, the Commission may summarily temporarily suspend such rule change if it appears to the Commission that such action is: (1) Necessary or appropriate in the public interest; (2) for the protection of investors; or (3) 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)
The Exchange proposes to add definitions applicable to certain co-location services to the NYSE MKT Equities Price List (“Price List”) and the NYSE Amex Options Fee Schedule (“Fee Schedule”) and modify the fee for users that host their customers at the Exchange's Data Center. 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 operates a data center in Mahwah, New Jersey, from which it provides co-location services to Users.
In 2011, the Exchange changed the definition of the term “User,” for the purposes of co-location services, to include any market participant that requests to receive co-location services directly from the Exchange.
The Exchange proposes to add the current definition of User to the Price List and the Fee Schedule, without changes from the 2011 Releases, as follows:
A “User” means any market participant that requests to receive co-location services directly from the Exchange.
The proposed definition would, consistent with the 2011 Releases, encompass Member Organizations, Sponsored Participants and non-member broker-dealers, as well as vendors that provide hosting, service bureau and technical support, risk management services, order routing services and market data delivery services to their customers while such Users are co-located in the Exchange's data center. Any entity that could be a
The Exchange also proposes to make a non-substantive change to the description in the Price List and the Fee Schedule of the Exchange's billing practice for co-location services received by Users that connect to the Exchange and one or more of its affiliates, by replacing the term, “user,” with the defined term, “User.”
In the 2011 Releases, the Exchange also amended the Price List and the Fee Schedule to establish a fee applicable to Users that provide hosting services to their customers at the Exchange's data center. As described in the 2011 Releases, “hosting” is a service offered by a User to another entity in the User's space within the data center and can include, for example, a User supporting such other entity's technology, whether hardware or software, through the User's co-location space. The 2011 Releases used the term “Hosted User” to describe a customer to which a User provides hosting services.
The Exchange now proposes to include definitions relating to hosting services in the Price List and the Fee Schedule, as follows:
A “Hosting User” means a User that hosts a Hosted Customer in the User's co-location space.
A “Hosted Customer” means a customer of a Hosting User that is hosted in a Hosting User's co-location space.
The proposed definition of “Hosting User” incorporates the description of a User that hosts customers in its co-location space as set forth in the 2011 Releases. For the avoidance of doubt, a Hosting User must be a User pursuant to the proposed definition of User. Any User that could be a Hosting User based on the description of a User that hosts customers in the 2011 Releases would be considered a Hosting User under the proposed definition.
The proposed definition of “Hosted Customer” would be a customer of a Hosting User that is hosted in a Hosting User's co-location space, and would be consistent with the description of the term, “Hosted User” used in the 2011 Releases.
In the 2011 Releases, the Exchange amended its Price List and the Fee Schedule to establish a fee charged to Users of $500.00 per month with respect to each Hosted Customer (defined as “Hosted User” in the 2011 Releases) that a User hosts in the Exchange's data center (the “Hosting Fee”).
Effective January 1, 2016, the Exchange proposes to modify the Hosting Fee to provide that the Hosting Fee would be assessed to a Hosting User on a per Hosted Customer basis and for each cabinet in which the Hosting User hosts the Hosted Customer. This approach to hosting fees is comparable to the structure used by the NASDAQ Stock Market, Inc. (“NASDAQ”) in its Multi-Firm Cabinets Fee, and would similarly mean that a Hosting User would be assessed the Hosting Fee for each Hosted Customer that occupies space in a cabinet.
As is the case currently, Users may independently set fees for their Hosted Customers and the Exchange would not receive a share of any such fees.
As is the case with all Exchange co-location arrangements (i) neither a User nor any of the User's customers would be permitted to submit orders directly to the Exchange unless such User or customer is a Member Organization, a Sponsored Participant or an agent thereof (
The proposed change is not otherwise intended to address any other issues relating to co-location services and/or related fees, and the Exchange is not aware of any problems that Users would have in complying with the proposed change.
The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,
The Exchange believes that the proposal is not designed to permit unfair discrimination between
The Exchange believes that the proposal would remove impediments to, and perfect the mechanisms of, a free and open market and a national market system and, in general, protect investors and the public interest because by including definitions in the Price List and the Fee Schedule, the proposed change would provide Users with clarity as to the availability and application of co-location hosting services and fees.
The proposed change to the Hosting Fee would be applied uniformly for comparable services provided by the Exchange to comparable Hosting Users and their customers and would not unfairly discriminate between similarly situated Hosting Users. The Exchange notes that assessing a fee per Hosted Customer per cabinet is comparable to the approach that NASDAQ takes to the same type of services in its Multi-Firm Cabinets Fee.
The Exchange also believes that the proposed rule change is consistent with Section 6(b)(4) of the Act,
For the reasons above, the proposed change would not unfairly discriminate between or among market participants that are otherwise capable of satisfying any applicable co-location fees, requirements, terms and conditions established from time to time by the Exchange.
Finally, the Exchange believes that it is subject to significant competitive forces, as described below in the Exchange's statement regarding the burden on competition.
For these reasons, the Exchange believes that the proposal is consistent with the Act.
In accordance with Section 6(b)(8) of the Act,
The Exchange believes that incorporating the definitions of User, Hosting User and Hosted Customer into the Price List and the Fee Schedule, the change to the Hosting Fee and the change to the application of the Hosting Fee will not impose any burden on competition that is not necessary or appropriate in further of the purposes of the Act because the definitions have been previously filed with the Commission
Finally, the Exchange notes that it operates in a highly competitive market in which market participants can readily favor competing venues if, for example, they deem fee levels at a particular venue to be excessive or if they determine that another venue's products and services are more competitive than on the Exchange. In such an environment, the Exchange must continually review, and consider adjusting, the services it offers as well as any corresponding fees and credits to remain competitive with other exchanges. For the reasons described above, the Exchange believes that the proposed rule change reflects this competitive environment.
No written comments were solicited or received with respect to 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. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule change 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 [email protected]. Please include File Number SR-NYSEMKT-2015-67 on the subject line.
• 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 (the “Act”),
The Exchange filed a proposal to amend Rule 11.15, Clearly Erroneous Executions, in order to conform to the rules of BATS Exchange, Inc. (“BZX”) and BATS Y-Exchange, Inc. (“BYX”).
The text of the proposed rule change is available at 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 parts of such statements.
In early 2014, the Exchange and its affiliate, EDGA Exchange, Inc. (“EDGA”) received approval to effect a merger (the “Merger”) of the Exchange's parent company, Direct Edge Holdings LLC, with BATS Global Markets, Inc., the parent of BZX and the BATS Y-Exchange, Inc. (“BYX”, together with BZX, EDGA and EDGX, the “BGM Affiliated Exchanges”).
On September 10, 2010, the Commission approved, on a pilot basis, changes to Exchange Rule 11.15 to provide for uniform treatment: (1) Of clearly erroneous
The Exchange proposes the below changes to conform Rule 11.15 to BYX and BZX Rules 11.17. None of these changes are designed to amend the Exchange's current review process for clearly erroneous executions. Rather, they are proposed in order to implement identical rules with regard to clearly erroneous executions across each of the BGM Affiliated Exchanges.
• Amend the last sentence of the introductory paragraph to include the word “replaced”.
• Replace references to “Officer” with “Official” in paragraphs (b), (b)(1), (c)(3), (d), (e)(1), (e)(2), (e)(2)(D), and (e)(2)(F).
• Replace the term “Regular Market Session” with “Regular Trading Hours” in paragraphs (c)(1), (e)(1), and (g).
• Amend paragraph (b)(1) to: (i) Clarify that requests for review must be received
• Amend paragraph (b)(2) to encase both “30” and “60” in parentheses as well as insert the word “thirty” immediately before “(30)” and the word “sixty” immediately before “(60)”.
• Amend paragraph (c)(1) to: (i) Delete the word “the” before the word “Regular” and add the word “during” before the phrase “the Pre-Opening and . . . ” in the first sentence; (ii) remove the “s” from the word “occur” within the parenthetical in the third sentence; and (iii) insert the word “paragraph” before “(c)(2)” in the fourth sentence.
• Amend the first sentence of paragraph (c)(3) to: (i) Remove the “s” from the word “system”; (ii) replace “IPO” with the term “initial public offering”; and (iii) remove “'s” from the word “tape”.
• Amend paragraph (d) to: (i) Replace the term “at its” with “in his or her”; (ii) replace the word “subsection” with “paragraph”; and (ii) encase both “30” and “60” in parentheses as well as insert the word “thirty” immediately before “(30)”.
• Reformat and renumber paragraph (d)(1)(A) as (d)(1) and (d)(1)(B) as (d)(2).
• Amend renumbered and reformatted paragraph (d)(1) to: (i) Not capitalize the word “Paragraph”; (ii) replace the word “Section” with “Rule”; and (iii) delete “, or”.
• Amend renumbered and reformatted paragraph (d)(2) to: (i) Not capitalize the word “Paragraph”; (ii) replace the words “the Section” with “this Rule”; and (iii) replace “11.15” with the word “paragraph” before the reference to (c)(3).
• Amend paragraph (e)(1) to encase “30” in parentheses as well as insert the word “thirty” immediately before “(30)” in the third sentence.
• Amend paragraph (e)(2)(B) to rephrase the term “ten (10) Member representatives” with “ten (10) representatives of Members”.
• Renumber paragraph (e)(3) as (e)(2)(C) and amend the paragraph to: (i) Specify that a request for review on appeal must be made, not only via email, but also in writing or other electronic means specified from time to time by the Exchange in a circular distributed to Members; and (ii) replace “3:00 ET” with “3:00 p.m. Eastern Time” in the third sentence.
• Renumber paragraph (e)(4) as (e)(2)(D).
• Renumber paragraph (e)(5) as (e)(2)(E) and: (i) Replace reference to “Rule 11.15(e)(1)” with “paragraph (e)(1) above”; and (ii) add a sentence stating that in instances where the Exchange, on behalf of a Member, requests a determination by another market center that a transaction is clearly erroneous, the Exchange will pass any resulting charges through to the relevant Member.
• Renumber paragraph (e)(6) as (e)(2)(F).
• Within paragraph (f), amend: (i) The first sentence to replace the word “the” with “an” before the “Officer” and delete the word “such” before “other senior level employee designee”; (ii) the second sentence to remove the “s” from the “paragraphs” before reference to paragraph (c)(1)-(3); (iii) the third sentence to delete the word “such” before “other senior level employee designee”; (iv) amend the fourth sentence to delete the term “such other ” before “senior level employee designee”, replace the term “Regular Session Trading” with “Regular Trading Hours”, and add the word “trading” before “day”; and (v) amend the last sentence to clarify that notice shall be provided by the Exchange, replace the word “Member” with “party”, remove the “s” from the “paragraphs” and delete reference to paragraph (e)(3) and (4) as those paragraph are now included in (e)(2).
• Amend paragraph (g) to: (i) Retitle it as “Officer Acting On Own Motion”; (ii) delete the term “such other ” before “senior level employee designee” and replace the term “its” with “his or her” in the first sentence; (iii) delete the word “such” before “other senior level employee designee” in the fourth sentence; and (iv) remove the “s” from the “paragraphs” and delete reference to paragraph (e)(3) and (4) as those
• Within paragraph (h), amend: (i) The first sentence to replace the term “initial public offering” with “IPO”; (ii) the third and fourth sentences to delete the word “such” before “other senior level employee designee”; (iii) the sixth sentence to delete the word “such” before “other senior level employee designee”, replace the term “Regular Session Trading” with “Regular Trading Hours”, and add the word “trading” before “day”; and (v) amend the last sentence to replace the term “subsection” with “paragraph” and delete reference to paragraphs (e)(3) and (4) as those paragraphs are now included in (e)(2).
Amend the last sentence in paragraphs (j) and (k) to delete reference to paragraphs (e)(3) and (4) as those paragraphs are now included in (e)(2).
The Exchange believes that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder that are applicable to a national securities exchange, and, in particular, with the requirements of Section 6(b) of the Act.
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. To the contrary, allowing the Exchange to implement substantively identical rules across each of the BGM Affiliated Exchanges regarding clearly erroneous executions does not present any competitive issues, but rather is designed to provide greater harmonization among Exchange, BZX, BYX, and EDGA rules of similar purpose. The proposed rule change should, therefore, result in less burdensome and more efficient regulatory compliance as well as a better understanding of Exchange Rules for common members of the BGM Affiliated Exchanges.
The Exchange has neither solicited nor received written comments on the proposed rule change.
The Exchange has designated this rule filing as non-controversial under Section 19(b)(3)(A) of the Act
At any time within 60 days of the filing of the proposed rule change, the Commission may summarily temporarily suspend such rule change if it appears to the Commission that such action is: (1) Necessary or appropriate in the public interest; (2) for the protection of investors; or (3) 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.
U.S. Small Business Administration (SBA).
Notice of open Hearing of Regions VI and IX Small Business Owners and Business Leaders.
The SBA, Office of the National Ombudsman is issuing this notice to announce the date and time of a Regulatory Fairness Hearing for Regions VI and IX. This hearing is open to the public and will be conducted via teleconference.
The hearing will be held on Wednesday, October 14, 2015, from 8:30 a.m. to 5:00 p.m. (MST), providing there is not a Federal government shut-down or SBA furlough.
The hearing will be conducted via teleconference only. You can join the hearing by dialing the toll-free conference number (888) 858-2144 followed by the access code 2235366#.
Pursuant to the Small Business Regulatory Enforcement Fairness Act (Pub. L. 104-121), Sec. 222, SBA announces the hearing for Small Business Owners, Business Leaders, Business Organizations, Trade Associations, Chambers of Commerce and related organizations serving small business concerns to report experiences regarding unfair or excessive Federal regulatory enforcement issues affecting their members.
The hearing is open to the public; however, advance notice of participation is requested. Anyone wishing to testify at the hearing must contact José Méndez by October 9, 2015, in writing, by fax, or email in order to be placed on the agenda. For further information, please contact José Méndez, Case Management Specialist, Office of the National Ombudsman, 409 3rd Street SW., Suite 7125, Washington, DC 20416, by fax (202) 481-5719, by email at
For more information on the Office of the National Ombudsman, see our Web site at
Sincerely,
U.S. Small Business Administration (SBA).
Notice of open Federal Advisory Committee meetings.
The SBA is issuing this notice to announce the location, date, time and agenda for the 1st quarter meetings of the National Small Business Development Center (SBDC) Advisory Board.
The meetings for the 1st quarter will be held on the following dates:
These meetings will be held via conference call.
Pursuant to section 10(a) of the Federal Advisory Committee Act (5 U.S.C. Appendix 2), SBA announces the meetings of the National SBDC Advisory Board. This Board provides advice and counsel to the SBA Administrator and Associate Administrator for Small Business Development Centers.
The purpose of these meetings is to discuss following issues pertaining to the SBDC Advisory Board:
The meeting is open to the public however advance notice of attendance is requested. Anyone wishing to be a listening participant must contact Monika Nixon by fax or email. Her contact information is Monika Nixon, Program Specialist, 409 Third Street SW., Washington, DC 20416, Phone, 202-205-7310, Fax 202-481-5624, email,
Additionally, if you need accommodations because of a disability or require additional information, please contact Monika Nixon at the information above.
Federal Highway Administration (FHWA), DOT.
Notice of Limitation on Claims for Judicial Review of Actions by the FHWA and other Federal agencies.
The FHWA is issuing this notice to announce actions taken by FHWA and other Federal agencies that are final within the meaning of 23 U.S.C. 139(l)(1). The actions relate to a proposed highway reconstruction project: Knik-Goose Bay Road Reconstruction: MP 0.3 to 6.8, Centaur Avenue to Vine Road, in the Matanuska-Susitna Borough, Alaska. Those actions grant licenses, permits, and approvals for the project.
By this notice, the FHWA is advising the public of final agency actions subject to 23 U.S.C. 139(l)(1). A claim seeking judicial review of the Federal agency actions on the listed highway project will be barred unless the claim is filed on or before March 3, 2016. If the Federal law that authorizes judicial review of a claim provides a time period of less than 150 days for filing such claim, then that shorter time period still applies.
Mr. John Lohrey, Statewide Programs Team
Notice is hereby given that FHWA has taken final agency actions subject to 23 U.S.C. 139(l)(1) by issuing licenses, permits, and approvals for the following highway reconstruction project in the State of Alaska: Knik-Goose Bay Road (KGB) Reconstruction: MP 0.3 to 6.8, Centaur Avenue to Vine Road. KGB Road will be improved as follows: Six-lanes (three lanes in each direction) from Palmer-Wasilla Highway (PWH) to Mack Road with a raised urban median and four-lanes (two in each direction) from Mack Road to Vine Road, with a non-traversable depressed grass median. The section from Centaur Avenue to PWH would provide space to expand from two to four lanes. The six-lane section (PWH to Mack Road) would consist of three 12-foot wide travel lanes in each direction with six-foot wide outside shoulders with curb and gutter, four-foot wide inside shoulders, and a 30-foot wide raised median. The four-lane section (Mack Road to Vine Road) would consist of two 12-foot wide lanes in each direction with eight-foot outside shoulders, four-foot inside shoulders, and a 30-foot wide depressed grass median. The section from PWH to Mack Road will have continuous illumination and a 45 mile-per-hour speed limit. Turn lanes will be included as appropriate and median breaks will be placed approximately every one-eighth to one-half mile along the corridor as necessary. The existing 10-foot wide separated multi-use pathway along the north side of the road would be reconstructed as necessary. The environmental effects of the KGB Road Reconstruction project are evaluated and described in the Environmental Assessment (EA) pursuant to the National Environmental Policy Act. Key issues identified in the EA include acquisition of right-of-way, traffic noise, access to and from KGB Road, project development is too slow, temporary construction effects, and concerns from the City of Wasilla over the design within city limits. Measures to avoid, minimize, and/or mitigate adverse environmental effects are included in the EA and Finding of No Significant Impact (FONSI).
The actions by the Federal agencies, and the laws under which such actions were taken, are described in the EA for the project, approved on July 13, 2015, in the FONSI issued on August 31, 2015, and in other documents in the FHWA project records. The EA, FONSI, and other project records are available by contacting FHWA or the State of Alaska Department of Transportation & Public Facilities at the addresses provided above. The EA and FONSI documents can be viewed and downloaded from the project Web site at
This notice applies to all Federal agency decisions as of the issuance date of this notice and all laws under which such actions were taken, including but not limited to:
23 U.S.C. 139(l)(1)
Federal Motor Carrier Safety Administration (FMCSA), DOT.
Notice of final disposition; grant of application for exemption.
FMCSA announces its decision to grant Daimler Trucks North America's (Daimler) application for an exemption to allow a Daimler employee to drive commercial motor vehicles (CMV) in the United States without having a commercial driver's license (CDL) issued by one of the States. The driver, Christian Urban, will test-drive Daimler vehicles on U.S. roads to better understand product requirements for these vehicles in “real world” environments and verify results. He holds a valid German commercial
This exemption is effective October 5, 2015 and expires October 5, 2017.
Mrs. Pearlie Robinson, Driver and Carrier Operations Division; Office of Carrier, Driver and Vehicle Safety Standards; Telephone: 202-366-4325, Email:
The Secretary of Transportation (the Secretary) has the authority to grant exemptions from any of the Federal Motor Carrier Safety Regulations (FMCSRs) issued under chapter 313 or § 31136 of title 49, United States Code, to a person(s) seeking regulatory relief (49 U.S.C. 31136(e), and 31315(b)). Prior to granting an exemption, the Secretary must request public comment and make a determination that the exemption is likely to achieve a level of safety that is equivalent to, or greater than, the level of safety that would be obtained in the absence of the exemption. Exemptions may be granted for a period of up to 2 years and may be renewed.
The FMCSA Administrator has been delegated authority under 49 CFR 1.87(e)(1) and (f) to carry out the functions vested in the Secretary by 49 U.S.C. chapter 313 and subchapters I and III of chapter 311, relating, respectively, to the CDL program and to CMV programs and safety regulation.
In the May 25, 2012,
Daimler applied for the same CDL exemption for Christian Urban. Notice of the application was published on June 2, 2015 (80 FR 31452). No comments were received. A copy of the Daimler request is in the docket identified at the beginning of this notice. The exemption allows Mr. Urban to operate CMVs to support Daimler field tests to meet future vehicle safety and environmental requirements and to promote the development of technology and advancements in vehicle safety systems and emissions reductions. He will typically drive for no more than 6 hours per day for 2 consecutive days, and 10 percent of the test driving will be on two-lane state highways, while 90 percent will be on interstate highways. The driving will consist of no more than 200 miles per day, for a total of 400 miles during a two-day period on a quarterly basis.
Section 383.21 requires CMV drivers in the United States to have a CDL issued by a State. Mr. Urban is a citizen and resident of Germany. Only residents of a State can apply for a CDL. Without the exemption, Mr. Urban would not be able to test-drive prototype CMVs on U.S. roads.
Mr. Urban holds a valid German commercial license and is an experienced operator of CMVs. In the application for exemption, Daimler also submitted documentation showing his safe German driving record.
According to Daimler, the requirements for a German-issued commercial license ensure that drivers meet or exceed the same level of safety as if these drivers had obtained a U.S. CDL. Mr. Urban is familiar with the operation of CMVs worldwide and will be accompanied at all times by a driver who holds a U.S. CDL and is familiar with the routes to be traveled. FMCSA has determined that the process for obtaining a commercial license in Germany is comparable to that for obtaining a CDL issued by one of the States and adequately assesses the driver's ability to operate CMVs safely in the United States.
Based upon the merits of this application, including Mr. Urban's extensive driving experience and safety record, and the fact that he has successfully completed the requisite training and testing to obtain a German commercial license, FMCSA concluded that the exemption would likely achieve a level of safety that is equivalent to or greater than the level that would be achieved absent such exemption, in accordance with § 381.305(a).
FMCSA grants Daimler and Mr. Christian Urban an exemption from the CDL requirement in 49 CFR 383.23 to allow Mr. Urban to drive CMVs in this country without a U.S. State-issued CDL, subject to the following terms and conditions: (1) The driver and carrier must comply with all other applicable provisions of the Federal Motor Carrier Safety Regulations (FMCSRs) (49 CFR parts 350-399); (2) the driver must be in possession of the exemption document and a valid German commercial license; (3) the driver must be employed by and operate the CMV within the scope of his duties for Daimler; (4) at all times while operating a CMV under this exemption, the driver must be accompanied by a holder of a U.S. CDL who is familiar with the routes traveled; (5) Daimler must notify FMCSA in writing within 5 business days of any accident, as defined in 49 CFR 390.5, involving this driver; and (6) Daimler must notify FMCSA in writing if this driver is convicted of a disqualifying offense under § 383.51 or § 391.15 of the FMCSRs.
In accordance with 49 U.S.C. 31315 and 31136(e), the exemption will be valid for 2 years unless revoked earlier by the FMCSA. The exemption will be revoked if (1) Mr. Urban fails to comply with the terms and conditions of the exemption; (2) the exemption results in a lower level of safety than was maintained before it was granted; or (3) continuation of the exemption would be inconsistent with the goals and objectives of 49 U.S.C. 31315 and 31136.
In accordance with 49 U.S.C. 31315(d), as implemented by 49 CFR 381.600, during the period this exemption is in effect, no State shall enforce any law or regulation applicable
Federal Transit Administration (FTA), U.S. Department of Transportation (DOT).
Notice of availability of final guidance for FTA's Emergency Relief Program.
The Federal Transit Administration (FTA) has published final guidance on FTA's Emergency Relief (ER) Program for states and transit agencies that may be affected by a declared emergency or disaster and that may seek Federal funding under FTA's ER Program. The guidance is contained in the newly revised
For questions about the ER Program, contact Adam Schildge, Office of Program Management, 1200 New Jersey Ave. SE., Washington, DC 20590, phone: (202) 366-0778, or email,
The FTA has published final guidance on FTA's ER Program for states and transit agencies that may be affected by a declared emergency or disaster and that may seek Federal disaster assistance for emergency related expenses. This guidance document,
This reference manual includes background information on other sources of Federal disaster relief assistance, in addition to recommended practices for states and transit agencies for disaster preparation and response previously included in “Response and Recovery from Declared Emergencies and Disasters: A Reference for Transit Agencies.” This information has been updated and is contained in Chapters 1, 2 and 3 of this reference manual.
Guidance specific to FTA's ER Program is contained in Chapter 4 of this reference manual.
This includes an overview of eligible recipients, eligible projects, application procedures, and other key program policies and requirements. The guidance in this manual is based on final program regulations published on October 7, 2014 at 49 C.F.R part 602 (79 FR 60349), which were developed through a public notice and comment process. The guidance document includes previously issued policy statements and information from
The final Emergency Relief program guidance incorporates several clarifications in response to the one consolidated public comment received on the proposed guidance published February 4, 2015. Specific comments and responses are explained below:
Comment 1: The commenter suggests that FTA avoid using the term “should” in the context of recommended practices, because local circumstances may make certain disaster relief preparation recommendations inappropriate or insufficient.
FTA response: The final guidance retains the use of “should” where appropriate. The term “should” is not intended to impose a requirement, but is used where the recommendation is clear and consistent for the majority of potentially affected transit agencies.
Comment 2: Given the wide range of governmental structures and variation across regions with regard to the mandate and/or capacity of Metropolitan Planning Organizations (MPOs), Emergency Operations Centers (EOCs), transit agencies, and local governments, the commenter suggests that the section on coordinating and pre-planning evacuations should be revised to lay out the critical activities involved in coordinating an evacuation, without assigning responsibilities.
FTA Response: This manual is directed specifically to transit agencies and related entities, and contains recommendations on the types of coordination, in which a transit agency should be involved. Such recommendations do not override local arrangements where a transit agency is a subordinate party to such a coordinated emergency plan.
In response, this section has been revised to emphasize cooperation with other responsible organizations and levels of government.
Comment 3: Regarding the manual's recommendation that transit agencies develop policies for suspending fare collection during an emergency, the commenter noted that the decision to suspend fares is likely to depend on particular circumstances of the emergency and that transit agencies should have flexibility to make this decision on a case-by-case basis.
FTA response: The section has been clarified to emphasize that this recommendation pertains not only to the development of policies on when and how such a decision might be made, but also to the development of operational plans for implementing such a policy.
Comment 4: With regard to contracting requirements, the commenter recommends that FTA add a discussion regarding the recommended use of federal provisions in emergency response and recovery contracts and to clarify the timeline and potential for waivers of Federal contracting requirements.
FTA response: The FTA has added language to clarify that although contracting provisions and requirements may be waived, recipients should not assume that FTA will waive requirements; therefore it is advisable to follow Federal procurement requirements for any emergency relief
Comment 5: The commenter suggested that FTA revise a footnote about cost effectiveness methodologies and recommended that FTA point out that cost effectiveness can be measured by evaluating the criticality of the asset to the transit system, the vulnerability of asset given different threats, and the replacement cost.
FTA response: The footnote refers to an analytical tool used by FTA to evaluate projects for competitively selected resilience funding, but FTA does not require the use of that tool by transit agencies investing in resilience improvements. Nonetheless, the factors cited by the commenter are insufficient to determine the cost effectiveness of a resilience project, which must also include the probability of various damage scenarios and differing degrees of damage and disruption posed by each scenario and mitigated by the proposed projects. The FTA notes that it is developing a simplified tool that will make this type of analysis more available for transit agencies to use as a tool for decision-making.
Comment 6: The commenter recommends that FTA expand the discussion of FTA-ER appropriations to state that in the absence of FTA funding, transit agencies should follow both FTA and FEMA procedures until it is clear whether Congress will provide Federal funding for the FTA ER Program. The commenter also requests that FTA further clarify how FTA and FEMA will coordinate on Federal emergency relief capabilities, including the damage assessment process.
FTA Response: Although this manual already makes this recommendation and discusses FTA-FEMA coordination in depth, additional language has been added to further address this topic.
Comment 7: The commenter suggests that FTA discuss the differences between FEMA and FTA procurement guidelines to clarify that FEMA allows local procedures to be followed for the duration of recovery, while the FTA ER program requires agencies to follow all federal procedures after an initial waiver period. Reiterating this difference could help grantees maximize their ability to recover costs from federal sources.
FTA Response: The manual addresses coordination between FTA and FEMA in the aftermath of a disaster, but is not intended to provide specific guidance on FEMA procurement requirements.
Comment 8: Funds for emergency transportation services under FTA's ER Program. The commenter recommended that the flow chart be revised to include the disaster declaration process and a decision point regarding the need for congressional action to provide FTA ER funding.
FTA Response: The FTA intends to keep in the flow chart a level of detail appropriate for users to quickly understand the general procedures and milestones in FTA's ER Program. Detailed discussion on the criteria for each box is better suited for the chapter narratives.
Comment 9: The commenter recommended that FTA delete the statement that FTA may “establish additional requirements for recipients of ER funding,” or at a minimum acknowledge that all efforts will be made to adhere to published ER program requirements. The commenter stated that the proposed open-ended statement will hinder agencies' ability to ensure compliance, particularly since the waiver period may be over before FTA issues new requirements. The commenter also suggested that FTA revise the proposed manual to include a time frame for waiver approval and also make it very clear that waiver approvals should not be assumed. This will help agencies plan repair projects following the waiver period.
FTA Response: The FTA has made revisions to further clarify that waivers of Federal requirements might not be granted. Furthermore, FTA retains the discretion to establish additional requirements as necessary for recipients of ER funding. In response to the comment, FTA has revised this section to clarify various types of additional requirements that may be necessary, and to state that FTA will advise recipients as early as possible regarding any additional requirements for recipients of ER funding.
Comment 10: The commenter states that interim measures, such as emergency repairs, should be included as part of a disaster damage assessment, particularly in instances where the damage assessment report is used to inform Congress on the need for a special appropriation.
FTA Response: The FTA concurs with emergency repairs and other interim measures generally will be eligible for emergency relief funding, and has revised this section to recommend that emergency repairs be included in the post-disaster damage assessment report.
Comment 11: The commenter requested that FTA allow for local entities to determine what may be considered a capital expenses versus an operating expense, with regard to eligibility for funding under the ER Program.
FTA Response: Standard FTA definitions for capital and operating expenses will continue to apply under the ER program. This manual explains how these definitions apply to emergency response and rebuilding activities.
Comment 12: The commenter recommends that increased maintenance and inspections be added to the category of emergency repairs and explicitly be identified as eligible expenses. The commenter further recommends that these costs not be specifically designated as “capital” or “operating”.
FTA Response: The FTA does not agree that increased maintenance and inspections should be considered emergency repairs. Such costs should be considered either as part of an emergency or permanent repair, or should be budgeted as an ongoing preventive maintenance expense.
Comment 13: The commenter suggests that FTA state that emergency operations “include, but are not limited to” the listed activities.
FTA Response: The FTA has revised this section as requested. This revision is consistent with program regulations, which do not define an exclusive list of eligible emergency operations activities.
Comment 14: The commenter does not agree that force account plans should be required for emergency repairs. In the normal course of business, force account plans are required when an agency uses in-house labor rather than a third party contractor to implement a project, and the use of in-house labor for access and protection does not trigger the need for a force account plan.
FTA Response: The FTA concurs that force account plans will not be required for emergency repairs, and has updated this section accordingly. Force account plans will continue to be required for permanent repairs, in accordance with FTA Circular 5010: Grant Management Requirements.
Comment 15: The commenter strongly supports FTA's proposal that transit agencies be allowed to replace damaged assets with new assets that incorporate current design standards, replace
FTA Response: This section has been revised to clarify that current design standards also includes the industry's or an agency's own current operational specifications.
Comment 16: The commenter states that to be consistent with FEMA and the Federal Highway Administration's (FHWA's) emergency relief programs, heavy maintenance should be an eligible expense for declared disasters. However, FTA should not adopt FHWA's approach of utilizing a dollar threshold to define heavy maintenance, since transit agency size, utilization, regional costs and other factors impact the cost of work. Instead, we suggest that the heavy maintenance definition be based on each agency's annual maintenance budget, including its budget for emergency contingency.
FTA Response: The FTA has added language to clarify that the threshold for heavy maintenance will be determined on a case-by-case basis and that damages in excess of heavy maintenance to an asset or system will mean that all otherwise eligible disaster-related repair and emergency response costs may be eligible for reimbursement. Further, FTA does not propose to establish a dollar value threshold, either absolute or relative to agencies' annual budgets, for defining heavy maintenance.
Comment 17: The commenter requests that if a State or local building code requires a higher minimum elevation than FEMA requires, that higher elevation should apply. In cases where the transit agency has its own documented standards, those should be allowable as well.
FTA Response: This section has been revised to allow a transit agency's documented flood elevation standards to apply for emergency relief projects, provided that they are higher than FEMA's elevations and comply with State and local building codes.
Comment 18: The commenter expressed appreciation for the detailed discussion of different insurance settlement scenarios since policy structures vary widely across agencies. In this section or elsewhere in the proposed manual, FTA should address the scenario where the cost to repair damages exceeds the total of insurance proceeds plus FTA ER funding.
FTA Response: The FTA has added language addressing this potential scenario. In some cases, multiple similar or closely related comments have been summarized in this discussion of comments and responses.
The final guidance document is available on FTA's Web site at:
Federal Transit Administration (FTA), DOT.
Notice of availability of final circular.
The Federal Transit Administration (FTA) has placed in the docket and on its Web site, guidance in the form of a Circular to assist grantees in complying with the Americans with Disabilities Act (ADA). The purpose of this Circular is to provide recipients of FTA financial assistance with instructions and guidance necessary to carry out the U.S. Department of Transportation's ADA regulations.
For program questions, Dawn Sweet, Office of Civil Rights, Federal Transit Administration, 1200 New Jersey Ave. SE., Room E54-306, Washington, DC 20590, phone: (202) 366-4018, or email,
This notice provides a summary of the final changes to the ADA Circular and responses to comments. The final Circular itself is not included in this notice; instead, an electronic version may be found on FTA's Web site, at
FTA is publishing Circular C 4710.1, regarding the Americans with Disabilities Act (ADA), to provide recipients of FTA financial assistance with information regarding their ADA obligations under the regulations, and to provide additional optional good practices and suggestions to local transit agencies.
The proposed Circular was submitted to the public for notice and comment in three phases. FTA issued a notice of availability of the proposed first phase, entitled “Americans with Disabilities Act: Proposed Circular Chapter, Vehicle Acquisition,” in the
FTA received comments from 75 unique commenters, with many commenters submitting comments on two or three of the notices. Commenters included individuals, transit agencies, disability rights advocates, State DOTs, trade associations, and vehicle manufacturers. This notice addresses comments received and explains changes we made to the proposed Circular in response to comments.
FTA developed the Circular subsequent to a comprehensive management review of the agency's core guidance to transit grantees on ADA and other civil rights requirements. A primary goal of the review was to assess whether FTA was providing sufficient, proactive assistance to grantees in meeting civil rights requirements, as opposed to reacting to allegations of failure to comply with the requirements. Based on the review, FTA identified the need to develop an ADA circular similar to the circulars long in place for other programs. FTA recognizes there is value to the transit industry and other stakeholders in compiling and organizing information by topic into a plain English, easy-to-use format. A circular does not alter, amend, or otherwise affect the DOT ADA regulations themselves or replace or reduce the need for detailed information in the regulations. Its format, however, will provide a helpful outline of basic requirements with references to the applicable regulatory sections, along with examples of practices used by transit providers to meet the requirements. Simply stated, this circular is a starting point for understanding ADA requirements in the transit environment and can help transit agencies avoid compliance review findings of deficiency.
Several commenters objected to FTA's development of an ADA Circular. They asserted that a “best practices” manual might be a more useful tool for stakeholders. The purpose of a Circular is to provide grantees with direction on program-specific issues, and this final Circular does that. Most of FTA's program circulars provide guidance on statutory provisions in the absence of a robust regulatory scheme. Here, we are providing guidance on a regulatory scheme that can be imposing and, in some cases, extremely technical. FTA has found stakeholder comments on the various phases of the proposed Circular to be extremely helpful in developing a final document that we believe will be useful to transit agencies, advocates, and persons with disabilities alike.
Some commenters asserted the Circular was a “de facto regulation” that would have significant cost impacts and should be subject to evaluation under Executive Orders 12866 and 13563, which direct federal agencies to assess costs and benefits of available regulatory alternatives. FTA is confident the final Circular does not include any new requirements and thus has no cost impacts. Where commenters asserted we had “blended” the regulations with good practices in the proposed Circular, we have clearly distinguished between the regulations and optional good practices or recommendations in the final Circular.
Commenters also asserted that FTA does not have the authority to interpret the DOT ADA regulations, and that any such interpretations must come from DOT. FTA is the agency charged with enforcing the ADA as it applies to public transportation services, and has been interpreting the regulations through complaints, letters of finding, and compliance reviews for many years. We note that we coordinated development of the Circular with DOT, and we also consulted with the U.S. Department of Justice (DOJ) and the United States Architectural and Transportation Barriers Compliance Board (Access Board).
Some commenters requested that FTA publish all twelve chapters one more time for additional notice and comment. Given that interested stakeholders have had an opportunity to comment on all of the guidance presented in the final Circular, and providing a second opportunity to comment would not be consistent with past practice, we decline to undertake a second round of notice and comment.
FTA received numerous comments outside the scope of the Circular, such as comments objecting to the DOT regulations themselves or requesting amendments to the regulations, comments rendered moot by publication of DOT's “Final Rule on Transportation for Individuals with Disabilities; Reasonable Modification of Policies and Practices” [hereinafter, “final rule on reasonable modification”] (80 FR 13253) (
The Circular is organized topically, as requested by several commenters. Each chapter begins with an introduction, and is divided into sections and subsections. In response to many comments requesting inclusion and clear delineation of the regulations in the text of each section, we revised the organizational structure to include the text of the regulations, followed by a clearly delineated discussion section that provides means of complying with the provisions and optional good practices. Thus, many sections and subsections begin with a “Requirement” section, which states the regulations relevant for that section, and then a “Discussion” section, which includes explanation of the requirement, relevant DOT or FTA guidance, and suggested optional good practices.
The Circular does not, and is not intended, to exhaustively cover all of the DOT ADA requirements applicable to FTA grantees. Additionally, the Circular does not establish new requirements; it represents current regulations, guidance, and policy positions of DOT and FTA.
Many commenters suggested that throughout the proposed Circular, FTA was imposing requirements not otherwise found in the regulations. For example, several commenters stated that FTA expanded regulatory requirements by mixing the DOT ADA regulations with suggestions and good practices. Commenters in particular were concerned with use of the word “should,” which they asserted creates ambiguity as to whether a statement is mandatory or permissive. In response, we removed “should” from the final Circular (except, for example, where we quoted 49 CFR part 37 and Appendix language) and clarified which items are mandatory requirements, and which are permissive. In addition to delineating requirements by having separate “Requirement” and “Discussion” sections as discussed above, we indicated requirements with mandatory words such as “must,” “obligates,” or “requires.” Similarly, we indicated a certain action or activity is not a requirement by using terms such as “encourages,” “optional,” “recommends,” or “suggests.”
We added regulatory text and citations to 49 CFR part 37, Appendices D and E of 49 CFR part 37, and previously published DOT guidance throughout the final Circular to provide support for requirements. Several commenters requested clarification of items presented as “good practices.”
Many commenters requested specific citations to the regulations, letters of finding, existing guidance and case law. As stated above, we added the citations to the regulations in each section and subsection of the final Circular, as well as direct quotes from and hyperlinks to Appendix D and Appendix E to Part 37. In addition, we included several links to letters of finding from FTA's Office of Civil Rights, as well as DOT guidance documents. Similarly, a commenter asked for a thorough explanation of the role of other federal agencies regarding the ADA. Where relevant and helpful, we included references to other agencies such as the Access Board, the Department of Justice, the Federal Highway Administration and the Federal Railroad Administration. We did not, however, include citations to case law in the final Circular. FTA circulars typically do not include case law citations, and where we included one in chapter 3 of the proposed Circular, commenters objected. We have removed the citation from chapter 3 and instead discuss the relevant case law in this
Commenters made stylistic and word choice suggestions throughout the Circular. In many cases, we adopted them because they improve the readability, accuracy, or clarity of the document. Commenters also pointed out typographical errors, grammatical mistakes, bad web links, lack of citations, and inconsistent numbering and cross references throughout the Circular. We made corrections based on those comments, and we made additional stylistic, grammatical, and minor technical changes to improve readability of the document.
In addition, we made changes to enhance clarity for the reader. We reduced repetition in the text and honed the language to be clearer and more direct. We added more headings and subheadings throughout to make it easier for the reader to find and reference sections. We reorganized chapters and moved sections around for more logical flow and ease of read. We deleted text that either was not relevant or provided little value to the reader. We also added internal cross-reference citations to assist the reader in following topical discussions throughout the document.
Several commenters suggested the circular should provide specificity when discussing the types of public transportation systems and services, particularly in regard to ADA complementary paratransit and general public demand responsive service. Throughout the Circular, we refrain from using the term “paratransit” in isolation unless the type of paratransit—ADA complementary or general public demand response—to which we are referring is clear. Another commenter asked for definitions for “fixed route” and “demand responsive service,” and we have provided definitions of those terms and other terms where relevant; for example, at the start of Chapter 7 we provide the section 37.3 definitions for fixed route and demand responsive service and include a brief discussion.
Commenters noted that portions of the text included the term “common wheelchair” although the term was removed from the DOT ADA regulations in the 2011 Amendments. The dimensions of a common wheelchair (30 inches by 48 inches, weighing 600 pounds when occupied) remain the minimum dimensions that must be accommodated on a transit vehicle, pursuant to 49 CFR part 38. In the final Circular, we use the term only when referring to securement areas (vehicle acquisition bus and van checklist in chapter 4), and when quoting 49 CFR 37.123 in chapter 9. In addition, we have added some explanatory text to chapter 2.
Chapter 1 introduces the Circular, provides a brief summary of the regulations applicable to public transit providers, discusses the applicability of the DOT ADA regulations, includes a list of transportation services not addressed in the Circular, and outlines the organization of the document.
To clarify the types of entities addressed, we added a footnote with the DOT ADA regulatory definition of public entity. Consistent with organizing the final Circular by topic, we removed the discussions included in the proposed Circular on university transportation systems, vanpools, airport transportation systems, and supplemental services for other transportation modes from Chapter 1. We moved the discussions on university transportation systems and supplemental services for other transportation modes to Chapter 6 and vanpools to Chapter 7. We added airport transportation systems to the list of transportation services not covered in the Circular.
Several commenters expressed concern about which entities are covered or not covered by the ADA regulations and which are addressed in the Circular. In response, we made edits to Chapter 1 to address the coverage of both the Circular specifically and the DOT ADA regulations generally.
On the topic of services under contract or other arrangements, one commenter requested guidance on whether the “stand-in-the-shoes” requirements referenced in the DOT ADA regulations apply to a situation in which a public entity contracts with another public entity. We added Appendix D language to clarify that a public entity may contract out its service but not its ADA responsibilities. Another commenter suggested adding an example in the section, “When the Stand-in-the-Shoes Requirements Do Not Apply” to clarify when private entities do not “stand in the shoes” of the public entity. We added language to clarify this point. Moreover, one commenter expressed concern about the stand-in-the-shoes requirement as it relates to private entities receiving section 5310 funding (Enhanced Mobility for Seniors and Individuals with Disabilities Formula Program). In the proposed Circular we distinguished between “traditional section 5310 projects” and other projects when applying the “stand-in-the-shoes” provisions. We revised this section to instead draw a distinction between closed-door and open-door service. Essentially, subrecipients that receive section 5310 funding and provide closed-door service to their own clientele do not stand in the shoes of the state administering agencies or designated recipients. Subrecipients that provide open door service, defined as service that is open to the general public or to a segment of the general public, do stand in the shoes of state agencies or designated recipients.
One commenter expressed concern about the following statement: “FTA grantees are also subject to the
Chapter 2 discusses the regulations related to nondiscrimination and other applicable crosscutting requirements, including prohibitions against various discriminatory policies and practices, equipment requirements for accessible services, assistance by transit agency personnel, service animals, oxygen supplies, accessible information, personnel training, reasonable modification of policy, and written policies and procedures. The content of Chapter 2 of the final Circular is substantially similar to Chapter 2 of the proposed Circular, except we have added Reasonable Modification of Policy, and we removed the discussion on monitoring. In addition to edits made in response to comments, we have made stylistic and technical changes, and reorganized the chapter to be consistent with the format of the rest of the Circular.
We did not include reasonable modification in the proposed Circular, but several commenters preemptively objected to the concept of reasonable modification being included in the Circular without the support of a final rule. The DOT's final rule on reasonable modification was published on March 13, 2015 (80 FR 13253), and became effective on July 13, 2015. Therefore, we added the “Reasonable Modification of Policy” section to this chapter, provided background on the final rule, and discussed requirements of and exceptions to the rule with language from the preamble and the final rule itself. In particular, we noted the rule does not require an agency to establish a separate process for handling reasonable modification requests; an agency can use some or all of its procedures already in place. The “discussion” sections following the regulatory text do not attempt to interpret the regulation beyond what is published in the final rule, the preamble, and Appendix E to 49 CFR part 37.
We received a number of comments on nondiscrimination and prohibited policies and practices. In the examples of policies and practices FTA considers discriminatory, one commenter suggested including related state laws. Due to the wide variation of nondiscrimination laws across states and local jurisdictions, we decided not to include state laws in the examples. While one commenter supported the examples listed, another commenter, citing the example of boarding passengers with disabilities separately, noted there are situations where requiring persons with disabilities to board separately is valid, such as allowing a rider with a mobility device to board first or last to ensure space in the securement area. We determined that including the example about separate boarding could create confusion, so we removed it from the bulleted list.
Regarding the prohibition against imposition of special charges, one commenter suggested including an additional example regarding cancelled and no-show trips. We added this example to the bulleted list of examples of prohibited charges. Another commenter asserted providers must not charge extra for paratransit service. Charging twice the fixed route fare is an allowable charge for complementary paratransit service and is not a special charge. As discussed in chapter 8, charging for premium complementary paratransit service (
On service denials due to rider conduct, several commenters suggested making clear that verbal assault of a driver or other passengers can be grounds for refusing service. We included this suggestion and added an example. A few commenters wanted clarification on the statement that a transit agency cannot deny service to persons with disabilities based on what the transit agency perceives to be safe or unsafe. Because a transit agency is permitted to deny service to someone who is a direct threat to the health or safety of
One commenter expressed support for the discussion on the right of individuals to contest service denials. Another commenter suggested inclusion of additional language related to appeal rights. We revised the language to reflect that riders must have the opportunity to present information to have service reinstated.
We received multiple comments on equipment requirements for accessible service. One commenter stated that FTA should encourage transportation providers to perform routine maintenance and updates to features over which they have control. We note both the proposed and final Circular include language that transit agencies must inspect all accessibility features often enough to ensure they are operational and to undertake repairs or other necessary actions when they are not.
In response to a comment requesting clarification on snow removal and asking for a specific timeframe in which snow must be removed to allow for accessible routes to transit service, we added a subsection, “Ensuring Accessibility Features Are Free from Obstructions.” We stated in the subsection that agencies have an obligation to keep accessible features clear of obstructions if they have direct control over the area. We included an illustrative example of how a particular transit agency clears snow, but we do not prescribe a specific timeframe because there are context-specific factors to account for, as well as local laws governing timeframes for snow removal. Another commenter asked whether a transit agency has an obligation to tow illegally parked vehicles occupying accessible parking spaces. We stated in this subsection that agencies have an obligation to enforce parking bans and to keep accessible features clear where they have direct control over the area, which may include removing illegally parked vehicles.
We received numerous comments on lifts, ramps, and securement use. In the final Circular, throughout the section, we added language from Appendix D and previously published DOT Disability Law Guidance to clarify the discussion.
In regard to wheelchairs, one commenter indicated it required footrests for personal safety of the passenger while maneuvering. We made clear in the final Circular a transit agency cannot require a wheelchair to be equipped with specific features, and noted that a policy requiring wheelchairs to be so equipped is prohibited by the general nondiscrimination provision of 49 CFR 37.5. Another commenter requested an express statement that blocking an aisle is a legitimate safety concern for which
A few commenters requested further guidance on other mobility devices. We included language from DOT Disability Law Guidance that a provider is not required to allow onto a vehicle a device that is too big or poses a direct threat to the safety of others, and provided a link to the guidance in a footnote. Another commenter requested guidance related to a bicycle as a mobility device. In response, we added bicycles to the list of items not primarily designed for use by individuals with mobility impairments, along with shopping carts and skateboards. A few commenters sought clarification as to whether users of non-wheelchair mobility devices, such as rollators, can be required to transfer to a vehicle seat. In response, we added language stating an agency can require people using such devices to transfer to a vehicle seat.
One commenter pointed out an inconsistency of using both “lap and/or shoulder belts” and “lap and shoulder belts” and suggested using a consistent term. In response to this and other comments on the subject, we used the more accurate terms of “seat belts and shoulder harnesses.” Further, we provided a link to DOT Disability Law Guidance for more information on seat belts.
On allowing standees on lifts, one commenter suggested explicitly mentioning passengers with non-visible disabilities as eligible users. In response, we added language specifying that the standees on lifts requirement applies to riders who may not have a visible or apparent disability. In addition, we provided Appendix D language about allowing individuals who have difficulty using steps to use a lift on request.
Regarding assistance by transit agency personnel, one commenter suggested clarification of assistance with securement systems, ramps, and lifts. We provided examples of types of assistance, and clarified the interaction between direct threat and required assistance for securement systems, ramps, and lifts. Of note, we explained the regulations do not set a minimum or maximum weight for an occupied wheelchair that drivers are obligated to help propel, and that transit agencies will need to assess whether a level of assistance constitutes a direct threat to a driver on a case-by-case basis.
We received several comments related to service animals. Some commenters requested that DOJ and DOT reconcile their rules on service animals; the Circular explains the current requirements, and we have forwarded those comments to DOT for their consideration. One commenter appreciated the specification that emotional support is not enough to meet the regulatory definition for service animal because animals that provide emotional support passively as “emotional support animals” are not trained to perform a certain task. Another commenter asked whether service animals include those to detect onset of illnesses like seizures. In response, we included examples of service animals that serve individuals with hidden disabilities such as seizures or depression. In response to comments requesting clarification on how to determine if an animal is a service animal, we added to the final Circular the two questions transit personnel may ask a passenger with a service animal: (1) Is the animal a service animal required because of a disability? and, (2) What work or task has the animal been trained to perform?
On the bulleted list of guidance on service animals, one commenter supported the point about transit agencies not imposing limits on the number of service animals accompanying a rider, as well as the examples of when a service animal is under the owner's control and when it is not. A few commenters suggested including more examples to the bulleted list of guidance applicable to service animals: A driver is not required to take control of a service animal, and clarification regarding passengers with animal allergies. In response, we edited the list to state a rider's request regarding the driver taking charge of a service animal may be denied and, because the regulations expressly state that service animals must be allowed to accompany individuals on vehicles and in facilities, we added text stating that other passengers' allergies to animals would not be grounds for denying service to a person with a service animal. Further, we added a footnote referencing DOJ guidance on service animals with the note that some of the guidance may be inapplicable to a transit environment.
One commenter asked for clarification regarding the ADA regulation and DOT safety guidance related to oxygen. We revised the discussion to make clear that commonly used portable oxygen concentrators do not require the same level of special handling as compressed oxygen cylinders. This revision includes a citation to the regulation and an explanation of the referenced FTA complaint response.
We received multiple comments on the provision of information in accessible formats. One commenter requested guidance on when and how often a transit agency should provide information on system limitations, such as elevator/escalator outages and service delays. We do not prescribe a single standard because of the vast differences among transit agencies, but we cited the regulation and explained that a transit agency is obligated to ensure access to information, including information related to temporary service changes/outages, for individuals with disabilities. One commenter supported the nuance that information needs to be in usable format, even if it is not a preferred format. On the topic of Web site accessibility, a few commenters requested clarification on requirements and examples of good practices. Another commenter noted Web site accessibility is a requirement, not a good practice. In response, we added an “Accessible Web sites” subsection, in which we specified that section 37.167(f) requires information concerning transportation services to be available and accessible. We also referred to DOJ and Access Board guidance. Another commenter stated visual displays must be made available for people who have hearing disabilities. In response, we added the “Alternatives to Audio Communications” subsection, which addresses visual information, and referenced DOT Standard 810.7. One commenter stated the voice relay services must be maintained despite advances in smartphone and other
We received a few comments on personnel training. One commenter disagreed with the statement that, “rider comments and complaints can be the ultimate tests of proficiency; comments that reveal issues with the provision of service are good indicators employees are not trained proficiently,” because the rider comments may not contain violations of the regulations. In response, we replaced “are” with “may serve as” in the sentence at issue. Another commenter suggested including more language on training, specifically for contractors and third-party operators. Accordingly, we included language directly from Appendix D.
We received numerous comments related to monitoring as proposed in Chapter 2, which was comprised primarily of bulleted lists on data collection, reviewing data, and direct observation. Several commenters disagreed with its inclusion and asked for the regulatory basis for these requirements. Multiple commenters disagreed with the discussion, asserting it would be time consuming and costly. Several commenters called for its deletion. Conversely, there were commenters who supported the inclusion of this section. In response to commenters' concerns—and in recognition that the specifics of a monitoring approach are developed locally—we removed the proposed monitoring section from this chapter.
Chapter 3 discusses the regulations related to transportation facilities, with emphasis on the requirements for new construction and alterations. It also addresses common issues with applying the requirements.
On the topic of coordinating with other entities, several commenters objected to this section, asserting that FTA was adding a requirement that did not exist in the regulation, while one commenter believed the discussion was critically important to accessibility for individuals who use public transportation and required more than a single paragraph on the topic. Some commenters noted that coordination with public agencies and other stakeholders, whether formally or informally, is a routine part of their local decision-making process. The commenters who objected believed this discussion created a new, open-ended responsibility that was not supported by the regulations; one particular concern was that this language appeared to create an active monitoring requirement for every facility element in their service area. In response, we added a subsection on “Coordination with Other Entities,” which states FTA encourages a transit agency to engage with other entities that control facility elements used to access the transportation facility when undertaking a construction or alteration project involving its own facilities. This subsection also explains the goal of coordination efforts and uses the terms “engage” and “encourage” to distinguish the efforts from a highly formalized coordination process. Thus, there is no open-ended responsibility with unlimited obligations on the part of transit agencies.
Several commenters asked for specifics as to what coordination efforts should look like. Because these are context-specific engagement efforts, we did not provide extensive examples of what engagement looks like. We did, however, include an example on advising a municipality that its sidewalks adjacent to a transit agency's facilities were inaccessible. Another commenter suggested the agencies document coordination efforts to demonstrate a good faith effort to coordinate, in the event the other entity is uncooperative or nonresponsive, and we adopted this suggestion. In a related comment, another commenter was concerned with the recourse available for unsuccessful engagement efforts. We added language that a transit agency can contact the FTA Office of Civil Rights to help facilitate coordination with the Federal Railroad Administration (FRA), the Federal Highway Administration (FHWA), or other counterparts.
Next, we received numerous comments on the section, “Common Issues in Applying the DOT Standards.” Some commenters supported this section because it provided a good level of detail and explained important issues. One commenter suggested discussing escalators and elevators, but we declined to add these topics because in the context of applying the DOT Standards, they are not common issues.
We received several comments on passenger loading zones. Some of the commenters asked for added details or further explanation of the discussion and figures. We did not add all of the suggestions because we wanted the figures to be easily readable and focused on common issues. But we did revise figures based on suggestions, such as including a curb ramp as part of an accessible route to the facility entrance in Figure 3-2, which depicts the required dimensions for passenger loading zones and access aisles. On the topic of curb ramps, a few commenters asked for clarification on level landing, and in response we added text providing the slope requirement for a level landing to Figure 3-3, which depicts curb ramp requirements and common deficiencies. One commenter suggested additional guidance on slopes and vertical lips rather than only pointing them out in Figure 3-3. We added an example regarding slopes in curb ramps that were too steep for wheelchairs to maneuver them, and cited to the relevant DOT Standards and FHWA guidance. In Figure 3-3, a commenter pointed out the detectable warnings incorrectly extend through the curb line, so we corrected the figure.
Regarding station platforms, a few commenters stated the guidance on detectable warning orientation was unclear. We revised the statement on orientation and alignment to state they are commonly aligned at 90 degrees, but 45 degrees is acceptable.
We received one comment regarding new construction. The commenter suggested including the manner in which conditions of structural impracticability may be petitioned to FTA. In response, we added the suggestion that transit agencies should contact the FTA Office of Civil Rights.
We received numerous comments on the “Alteration of Transportation Facilities” section. Several commenters believed this section expanded the regulations concerning the various concepts of alterations, technical infeasibility, usability, and disproportionate cost. In response, we revised the section by incorporating suggestions and clarifying the requirements and discussion. Although we proposed to introduce the topic by citing the regulatory language and providing definitions and a case law example, commenters expressed concern with this approach. In response, we revised the section's introductory paragraph to explain the two types of alterations (as described in 49 CFR 37.43(a)(1) and (a)(2), discussed below), as well as to note the difference between the two types, and the requirements for alterations.
Commenters' concerns generally centered on FTA's interpretation of 49 CFR 37.43(a)(1) and (a)(2). Importantly, there is a distinction between these two provisions. Section 37.43(a)(1) applies to alterations of existing facilities that could affect the usability of the facility—what we have labeled in the final Circular, “General Alterations.” When making general alterations, the entity “shall make the alterations . . . in such a manner, to the maximum extent feasible, that the altered portions
On the other hand, section 37.43(a)(2) provides that when a public entity “undertakes an alteration that affects or could affect the usability of or access to an area of a facility containing a primary function, the entity shall make the alteration in such a manner that, to the maximum extent feasible, the path of travel to the altered area . . . [is] readily accessible to and usable by individuals with disabilities, including individuals who use wheelchairs, upon completion of the alteration.
Some commenters asserted this is a new interpretation, the interpretation adds regulatory requirements related to alterations, is inconsistent with the statute, and amounts to an unfunded mandate. Importantly, while the issue of alterations to the path of travel itself does not arise frequently, this is not a new interpretation by FTA. For example, in 2011, subsequent to a compliance review, we found a transit agency deficient when it made alterations to a pedestrian overpass and two sets of stairs but did not analyze the feasibility of making the station fully accessible, and did not make the station fully accessible. Further, the plain language of the ADA and DOT's implementing regulations, federal appellate case law, and the Department of Justice's (DOJ) interpretation of the ADA's legislative history each dictate that costs and cost-disproportionality related to alterations may be considered by a public entity
Thus, where an element of a path of travel (such as a sidewalk, pedestrian ramp, passageway between platforms, staircase, escalator, etc.) in an existing facility is itself the subject of alteration—that is, not in connection with an alteration to a primary function area—and is therefore subject to 49 CFR 37.43(a)(1), the public entity is required to conduct an analysis of the technical feasibility of making the altered portion (
Some commenters expressed concern that the language in this subsection was drafted broadly, and that an alteration to a sidewalk or parking lot could trigger the requirement to conduct an analysis regarding the feasibility of installing an elevator. We have amended the text to clarify that it is the element of the path of travel undergoing the alteration that must be made accessible. Only alterations to stairs or escalators would require an analysis of whether it is technically feasible to install a ramp, elevator, or other level-change method or device. A commenter expressed concern about multiple station entrances and an apparent requirement for each station entrance to be accessible. Specifically, where one entrance has an accessible path of travel, the commenter was concerned that alteration to escalators or stairs at other station entrances would require those station entrances be made accessible. We have added language citing Exception 1 to DOT Standard 206.4, providing that where an alteration is made to an entrance, and the building or facility has another accessible entrance that is on an accessible route, the altered entrance does not have to be accessible.
Several commenters asserted the language in the proposed Circular would require agencies to add an elevator any time even minor repairs are made to stairs or escalators. We included the definition of “alteration” in both the proposed and final Circular. The definition of alteration specifically excludes normal maintenance, and we would consider minor repairs to be normal maintenance. We have provided examples of what would be considered an alteration to staircases in the final Circular.
Finally, some commenters asserted that requiring an accessible vertical path of travel whenever alterations are made to staircases or escalators is a costly endeavor, and that some transit agencies may simply not make those alterations, thus allowing path of travel elements to fall out of a state of good repair. Further, commenters asserted that prioritizing accessibility over state of good repair would necessarily divert resources from state of good repair needs to elevator installations. FTA notes that accessibility and state of good repair are two critical responsibilities of transit agencies. In an arena of insufficient capital resources, priorities and choices must always be made. Accessibility is a civil right, and civil rights must be assured in all operating and capital decisions. State of good repair is also essential to the effective provision of service, particularly when the safety of all passengers—with and without disabilities—is dependent on the condition of infrastructure. It is the role of the transit agency management and governing board to balance both accessibility and state of good repair to ensure the civil rights and safety needs of all passengers and employees are met.
On the subsection of “Maximum Extent Feasible,” a few commenters asserted we had redefined “technically infeasible” as physically impossible. That was not our intention; rather, we cited the definition of technical infeasibility found in section 106.5 of the DOT Standards. Given that we cited the definition without explanatory text, one commenter requested guidance on determinations for technical infeasibility or disproportionate cost. In response, we provided the necessary elements an entity must document to demonstrate technical infeasibility, which include a detailed project scope, coordination efforts where necessary and appropriate, a description of facility-specific conditions, and a step-by-step discussion on how the entity determined the facility could not be made accessible. Entities have provided this information to FTA in the past to demonstrate technical infeasibility.
Several commenters were concerned that FTA appeared to expand the definition of “usability” by referencing a court case in the text of the proposed Circular. We have removed the case reference, and provided guidance regarding the concept of usability consistent with the legislative history of the ADA and federal case law. Importantly, the legislative history of the ADA states that “[u]sability should
We have amended the subsection, “Disproportionate Costs” in response to comments. Many of the comments reflected a misunderstanding of the difference between 49 CFR 37.43(a)(1) and (a)(2), as discussed above, suggesting that FTA was adding a requirement for elevators when a stairway or escalator was repaired, as opposed to altered, and generally disagreeing that elevators are required irrespective of costs when a stairway or escalator is altered. In response, we cited the regulatory authority, reorganized the subsection, and retained the example of when the cost of adding an elevator would be deemed disproportionate and, therefore, not required.
For the subsection, “Accessibility Improvements When Costs Are Disproportionate,” we refined the language and added more specific citations to the regulations and DOT Standards. One commenter expressed concern that the proposed language eliminated an agency's ability to limit the scope of an alteration along the path of travel to discrete elements that could be evaluated independently. In response, we included the text of section 37.43(g), which prohibits public entities from circumventing the requirements for path of travel alterations by making a series of small alterations to the area served by a single path of travel. We also removed irrelevant regulatory citations, specifically section 37.43(h)(2) and (3) because they were unnecessary to the discussion.
On platform and vehicle coordination, several commenters requested clarification and further guidance for specific situations. In response to comments, we determined platform and vehicle coordination would be better served in a discussion separate from the other common issues with station platforms, so we reorganized the chapter and provided a new section entitled, “Platform-Vehicle Coordination.” In this section, we described level boarding in plain language, listed various ways to meet the Part 38 requirements, and provided photos of level boarding, mini-high platforms, bridge plates, and platform-based lifts.
We received a number of comments related to rapid rail and light rail, specifically as to gaps and level boarding. In response, we added sections for rapid rail platforms and light rail platforms. The “Rapid Rail Platforms” section cites the gaps allowed by the regulation for new and retrofitted vehicles and new and key stations. The “Light Rail Platforms” section includes the gap requirements and provides a discussion related to platform heights and level boarding requirements in light rail systems.
We have slightly reorganized the section, “Intercity, Commuter, and High-Speed Rail Platforms,” and provided further detail and clarification by adding regulatory citations and a link to DOT guidance. In addition, we added a subsection on “Platform Width of New or Altered Platforms,” which provides suggestions from DOT guidance.
One commenter applauded the inclusion of Attachment 3-1, “Rail Station Checklist for New Construction and Alterations.” A few commenters expressed concern that the checklist could be misconstrued as requirements for the transportation facilities rather than a guidance tool to determine needs. Another commenter was concerned with the blurring of requirements and best practices in regards to the checklist.
As we did throughout the final Circular, we connected each requirement to its relevant authority with citations to the regulation. Although there are requirements and standards contained in the checklist, use of the checklist itself is not a requirement. Accordingly, we amended the checklist title and stated that the checklist is “optional.” Other commenters stated the checklist included a number of erroneous citations and omitted several sections that are part of the DOT Standards. In response, we reviewed the citations to ensure accuracy and noted the checklist does not cover all of the DOT Standards. Another commenter asserted the accessible routes checklist was unusable without distances to compare with inaccessible routes. We did not provide distances because of local discretion and the variety of different contexts and possible situations. On signage at defined entrances, one commenter asked for clarification as to maps, and we specified signage must comply with DOT Standard 703.5. Another commenter pointed out that we used “area of refuge” and “area of rescue assistance” interchangeably, so we revised the text for consistency. Further, the commenter asked for guidance on what signs at inaccessible exits should look like and where they need to be placed. Because of the great variety of possibilities, we do not provide more specific guidance other than citing the International Building Code, which the DOT Standards follow as to accessible means of egress.
One commenter noted the proposed Circular did not include guidance to transit facility operators regarding facility illumination levels or illumination quality, and requested the final Circular include this information. Given the Access Board has not issued specific ambient lighting standards for compliance under the ADA, we decline to include guidance on this topic in the final Circular.
Chapter 4 discusses accessibility requirements and considerations for acquiring buses, vans, and rail cars. We covered new, used, and remanufactured vehicles for various types of service, and then we provided considerations for each type. This chapter was initially titled, “Vehicle Acquisition,” but we revised the title to more accurately describe what is included in the chapter.
We amended the organization and content of this chapter to align this chapter with the format of the subsequently published chapters and to respond to comments. For example, one commenter suggested the section on demand responsive systems follow the section on fixed route as it does in the regulations. In response, we changed the order of the sections. In the introduction to the chapter, we added a footnote that the Part 38 vehicle requirements closely follow the Access Board Guidelines set forth in 36 CFR 1192.
One commenter suggested removing the word “covers” from the regulation subparts listed as redundant since they are requirements. We agreed and removed the word “covers” from the list of subparts, added text clarifying Part 38 contains technical design requirements, and clarified this chapter broadly covers crucial, often-overlooked accessibility elements. We also clarified that bus rapid transit (BRT) is covered under buses, and streetcars are covered under light rail operating on non-exclusive rights of way.
One commenter suggested replacing usage of the term “acquire” with “purchase or lease” wherever applicable because using “acquire” can lead to the impression the requirements in the chapter only apply to the purchasing
We received several comments on bus and van acquisition. A commenter objected to the inclusion of demand responsive service and equivalent service in this chapter. In response, we moved the discussion of demand responsive service to Chapter 7. We did retain a brief discussion of demand responsive bus and van acquisition in this chapter. We did so to explain that inaccessible used vehicles may be acquired, so long as the equivalent service standards in section 37.77 are met. The commenter also objected to usage of the term “designated public transportation” in the chapter, and we removed the term because it was unnecessary, but we added it to Chapter 7 when defining “demand responsive” and “fixed route.”
We received several comments on the considerations for acquiring accessible buses and vans. On the topic of lifts, one commenter recommended separating from the discussion of design load weight the mention of safety factor, which is based on the ultimate strength of the material, because it was awkward. In response, we edited the discussion on lifts so the minimum design load and minimum safety factor language is easier to understand.
On the topic of securement systems, several commenters objected to conducting tests or the use of “independent laboratory test results” for securement-system design specifications because they are rarely available, difficult for a transit agency to pursue, and not required by regulation. In response, we changed the language to an FTA recommendation that design specifications be in “compliance with appropriate industry standards.” We also added the recommendation to consult with other agencies that use the same securement system under consideration. Further, we added language on the purpose of securement systems, including that the securement system is not intended to function as an automotive safety device. Another commenter pointed out we included a reference to the “versatility” of a securement system for the “Mobility Aids” bullet point, which does not appear in the regulation. In response, we removed the reference to versatility. Under the bullet point for “Orientation,” a commenter suggested replacing “backward” with “rearward” because it is more technically accurate and appropriate. We adopted this suggestion. Under the bullet point for “Seat belt and shoulder harness,” a commenter suggested changes to the bullet point. We adopted these changes and revised “seat belt” to “lap belt” to be more descriptive. Another commenter questioned our securement system example of short straps and “S” hooks and suggested using the example of a “strap-type tie-down” system. We adopted this suggestion in an effort to avoid confusion from the proposed language. The commenter also suggested replacing the reference to “connecting loops” with “tether straps,” a more recognizable term—we made the change based on this comment.
We received several comments on the various rail car sections (rapid rail, light rail, and commuter rail). One commenter noted the omission of restroom accessibility requirements. In discussing the standards for accessible vehicles, we chose to highlight common issue areas, which includes doorway-platform gaps, boarding devices, priority seating signs, and between-car barriers. Several commenters asserted that level boarding is not always practical or feasible. Based on these comments, we determined boarding devices are an area of particular interest and included a subsection on them under considerations for light rail and commuter rail vehicles. We explained that where level boarding is not required or where exceptions to level boarding are permitted, various devices can be used to board and alight wheelchair users, including car-borne lifts, ramps, bridge plates, mini-high platforms, and wayside lifts.
On the topic of priority seating signs, one commenter stated the requirement does not account for situations where priority seating and wheelchair seating occupy the same space or where the first forward-facing seat is up a stair at the rear of a bus. In response, we clarified that aisle-facing seats may be designated and signed as priority seats, as long as the first forward-facing seats are also designated and signed as priority seating. One commenter noted it supplements priority seating signage with automated audible and visual messages that ask customers to leave priority seats unoccupied for seniors and persons with disabilities. In line with this comment, we clarified the language an agency places on its signs does not need to match exactly the text in section 38.55(a), but instead capture the general requirement.
On the topic of between-car barriers, one commenter suggested adding text recognizing that track and tunnel geometry may prohibit the use of vehicle-borne between-car barriers. To clarify the discussion on between-car barriers, we revised and explained their purpose and the distinction between between-car barriers and detectable warnings. The commenter also suggested FTA include more information on design and standards for between-car barriers. We enhanced the discussion related to between-car barriers in light rail systems and added Figure 4-7 to illustrate various between-car barrier options. Notably, FTA issued a Dear Colleague letter on September 15, 2015, related to between-car barriers on light rail systems, available here:
Chapter 4 uses multiple figures for illustration, and we received several comments on those figures. For Figure 4-1, which depicts the accessibility requirements for a bus that is 22 feet or longer, one commenter suggested labeling the clear path to or from securement areas. We revised the figure and added label “E” to denote the clear path to and from securement areas. For Figure 4-2, which depicts the exterior components of an accessible bus, a few commenters pointed out that the international symbol of accessibility, while helpful, is not required on buses as it is on rail cars. In response, we replaced the photograph with a diagram that does not include the international symbol of accessibility. Another commenter suggested adding an arrow pointing out the transition from ground to ramp. The diagram replacing the photograph indicates the transition from ground to ramp without the need for an arrow. For Figure 4-3, a photograph of a deployed lift, one commenter expressed difficulty in seeing what the arrows pointed to and suggested adding a label for “Transition from ground to platform.” In response, used a different photograph, and provided a label for that element and made the existing labels more accurate. We also lightened the background elements to draw attention to specific lift elements. For Figure 4-4, which depicts a securement and passenger restraint system, several commenters suggested removing unmarked angles from the figure; we agree the angles were unnecessary and
We received several comments related to ensuring vehicles are compliant. One commenter suggested the reference to “detailed specifications” be changed to “required specifications.” We made this change because the specifications are required. A few commenters suggested more specificity with the requirements for measurements and tolerances because the language was too generalized. We added more specific measurements and tolerances where needed; for example, we specified that securement straps have required minimum load tolerances of 5,000 pounds rather than stating the straps have required minimum load tolerances. Another commenter pointed out the phrase, “Sample Documentation of Test Results” was present without any explanation or accompanying text. We removed the text because its inclusion was in error.
On the topic of obtaining public input, one commenter suggested using an alternative phrase to, “full-size sample.” We revised the language to, “partial, full-scale mockups” to be more specific and avoid confusion. Another commenter suggested that in addition to public input, transit agencies involve their board members and staff. This may be an important process for a transit agency to have, but it is unrelated to the public input section and we did not include it in the final Circular. A couple of commenters disagreed with the ramp example used to illustrate that a transit agency may exceed the minimum requirements. They disagreed because ramps are a complex topic which is under continued discussion and study at the Access Board. In response, we used a simpler example of exceeding the minimum requirements: a transit agency acquiring buses with three securement locations when the minimum requirement is two securement locations.
We received numerous comments on the checklist for buses and vans. Multiple commenters expressed support for the inclusion of checklists and found this checklist helpful. In line with our efforts to distinguish between requirements and good practices, we renamed the checklist to: “Optional Vehicle Acquisition Checklist of Buses and Vans.” A few commenters asked for a similar checklist for rail cars or other vehicle types, but we declined to include one because the bus and van checklist is designed to be only a sample; transit agencies may create their own checklists for buses, vans, or rail cars to ensure compliance with the regulations. In the section on securement areas, several commenters took issue with the mention of common wheelchairs as being incorrect or inappropriate, given the recent change in the regulation. We added a note clarifying the dimensions and weight of a common wheelchair still represent the minimum requirements for compliance in accordance with 49 CFR part 38. A few commenters also asked for an explanation of what “average dexterity” means. We declined to provide a standard or definition for this term and expect readers to use a plain language meaning. Another commenter pointed out the regulations require “at least” one or two securement locations and not only one or two, so we corrected the text to reflect this.
Chapter 5 discusses equivalent facilitation, including the requirements for seeking a determination of equivalent facilitation, and provides considerations and suggested practices when submitting requests.
This final Chapter remains largely unchanged from the proposed Chapter except for some reorganization and edits made for clarity and responsiveness to comments. Several commenters expressed support for inclusion of this chapter, and in particular the discussion of requests for and documentation of equivalent facilitation. One commenter asked for an explanation regarding the equivalent facilitation determination process. The commenter believed it was inconsistent to state that a determination pertains only to the specific situation for which the determination is made (and that each entity must submit its own request), yet the FTA Administrator is permitted to make a determination for a class of situations concerning facilities. In response, FTA notes the specific situation for which a determination of equivalent facilitation is made may be a class of situations, and where the Administrator makes such a determination, the determination will explicitly state it applies to a class of situations, in which case other transit agencies would not be required to submit new requests for equivalent facilitation for the same situation. We have added language to clarify this.
Several commenters sought clarification on the type of information or materials that must be submitted to FTA in order to support a request for equivalent facilitation. A few commenters asked to whom these submissions must be sent. We added language specifying that the submissions are to be addressed to the FTA Administrator, and we request a copy be sent to the FTA Office of Civil Rights. A few commenters were concerned about costs of testing, particularly with mockups. We listed a mockup as an example of part of the evidence that may be presented with the submission, but we do not expect requestors to send mockups to FTA. Detailed information such as drawings, data, photographs, and videos are valuable forms of documentation and we encourage their inclusion in submission materials.
One commenter expressed concern with the “Dos and Don'ts” section of this chapter, asserting we conflated requirements with recommendations, so we added “suggested” to the heading to make clear the included items are suggestions and not requirements.
Chapter 6 discusses the DOT ADA regulations that apply specifically to fixed route service, including alternative transportation when bus lifts are inoperable, deployment of lifts at bus stops, priority seating and the securement area, adequate vehicle boarding and disembarking time, and stop announcements and route identification.
The final chapter remains substantively similar to the proposed chapter. However, we moved several sections that applied across modes to other chapters to minimize repetition, and also made several changes based on specific comments.
There were a few comments regarding alternative transportation requirements when a fixed route vehicle is unavailable because of an inoperable lift. These commenters noted the proposed Circular stated, “agencies must provide the alternative transportation to waiting riders within 30 minutes” when a bus lift is inoperable, but implied the regulations were more flexible. In response, we substituted language with a direct quote from Appendix D, which provides examples for providing alternative transportation. We also added text explaining that with regard to ramp-equipped buses, FTA finds local policies to require drivers to manually deploy ramps instead of arranging alternative transportation acceptable because Part 38 does not require ramps to have a mechanical deployment feature. We merged the sections regarding alternative transportation when the driver knows the lift is not
One commenter, discussing when a bus may not be available to riders because it is full, noted the description of a “full” bus should also include a bus where securement areas are already occupied by riders whom the driver has asked to move, but are unwilling to do so. In response, we added this point to the description of “full.” Some commenters asked what a transit agency must do if an individual is unable to board a bus because all of the wheelchair positions were full. We added text encouraging agencies to instruct drivers to explain the policy to waiting riders, so the riders do not believe they are being passed by.
One commenter praised the text regarding deployment of lifts and ramps, specifically the suggestion that when a driver cannot deploy a lift or ramp at a specific location, the preferred solution is to move the bus slightly. This suggestion is now mirrored by 49 CFR part 37, Appendix E, Example 4, and we incorporated the example into the final Circular. Another commenter requested examples for what operators can do when passengers seek to disembark at a stop without accessible pathways. Example 4 also addresses this issue.
There were many comments regarding priority seating. Commenters sought clarification regarding when bus drivers can ask individuals, including persons with disabilities or seniors, to move. We edited the text to make clear when the operator must ask individuals to move. We also explained that while operators must ask individuals to move, they are not required to enforce the request and force an individual to vacate the seat. However, we highlighted that agencies may adopt a “mandatory-move” policy that requires riders to vacate priority seating and securement areas upon request, and encouraged agencies with these policies to inform all riders and post signage regarding these policies. Some of the priority seating comments noted the proposed chapters did not address situations in which the priority seats were also fold-down seats in the securement area. We edited the text to encourage transit agencies to develop local policies regarding whom drivers may ask to move from priority seats if an individual using a wheelchair needs the securement location.
One commenter sought clarification as to whether operators are required to proactively assist seniors or persons with disabilities or whether the customers need to ask for assistance, citing concern for individuals without visible disabilities. We clarified that while the regulations do not require operators to proactively lead riders with disabilities or seniors to the priority seating area, we encourage local agencies to develop policies for drivers regarding serving riders who need assistance and not just those with apparent disabilities. One commenter provided an example of stroller and luggage policies on their vehicles. Consequently, we added a hyperlink to an example of a local policy governing the use of strollers in the securement space on its fixed route buses.
Several commenters expressed concerns about adequate boarding time. Some of these commenters noted that agencies should institute pre-boarding policies for individuals with disabilities who need to use the ramp or lift, to ensure that wheeled mobility device users were not denied service as a result of overcrowding. We maintained the text stating transit agencies may develop policies to allow riders with wheeled mobility devices to board first, but we added that transit agencies do not need to, and are not advised to, compel individuals on a vehicle to leave the vehicle to allow individuals with a wheeled mobility device to board. There were also comments related to ensuring individuals with disabilities are safely seated on a bus or rail vehicle before it moves, and conversely, commenters stated the discussion of this issue seems to assume individuals with disabilities require additional time to sit. Another commenter noted an operator may not always know that a rider has a disability. We edited the text to encourage transit agencies to develop wait-time standards or other procedures and instruct personnel to pay attention to riders who may need extra time, including those who use wheelchairs and others who may need extra time boarding or disembarking, rather than allowing time for riders with disabilities to be safely seated before moving the vehicle. We also added a suggestion for rail vehicles, where it is more difficult to have visual contact with riders: Instead of having drivers and conductors assess on their own how long it takes for a rider to board, transit agencies can establish local wait-time policies to give riders sufficient time to sit or situate their mobility device before the vehicle moves.
There were a number of comments regarding stop announcements and route identification. Many commenters echoed the general comment that the proposed Circular instituted requirements for stop announcements not included in the regulations, specifically with announcing transfer route numbers and the “ability to transfer” at transit stops. We addressed these comments by making clear what is required and what is suggested and removing the use of the term “should.” Additionally, we removed the sentence suggesting route numbers be announced, and we specified that it is a suggestion, but not a requirement, to announce the first and last stops in which two routes intersect. Another commenter noted asking an agency employee for a stop announcement is not always possible. We added language encouraging riders to approach an agency employee “when possible” to request a stop announcement when boarding the vehicle. We also clarified that while the DOT ADA regulations have certain requirements for stop announcements, the selection of which locations are the major intersections and major destinations to be announced, or what are sufficient intervals to announce, are deliberately left to the local planning process. A few commenters also noted a transit agency may not know about all private entities that intersect with their routes and, therefore, it may be difficult to announce these entities during stop announcements. In response, we clarified that the requirement to announce transfer points with other fixed routes does not mean an agency must announce the other routes, lines, or transportation services that its stop shares—only that it announce the stop itself (
One commenter noted that if an automated stop announcement system does not work, the operator must make the announcement. We added text stating the operator must make stop announcements if the automated announcement system does not work. Another commenter noted it would be challenging to test speaker volume in the field. In response, we note the suggestion to test speaker volume in the field is one of several suggestions provided, and it is not a requirement. We also added the DOT Standards requirement providing that where public address systems convey audible information on a vehicle to the public, the same or equivalent information must be provided in visual format, often in the form of signage displaying the route and direction of the vehicle.
We clarified that transit agencies must sufficiently monitor drivers and the effectiveness of the announcement equipment to ensure compliance with the regulatory stop announcement requirements. There were also several comments about the sample data collection forms, stating FTA was
One commenter asked us to clarify a sentence regarding rail station signage visibility requirements. We reworded this sentence to be clearer and to include regulatory text.
Chapter 7 discusses characteristics of demand responsive service; the equivalent service standard; and types of demand responsive service, including dial-a-ride, taxi subsidy service, vanpools, and route deviation service; and offers suggestions for monitoring demand responsive service. We have reorganized the chapter and made edits in response to comments.
We received multiple comments on equivalent service. Several commenters expressed concern that the concepts of demand responsive service were being mixed with equivalent service and vehicle acquisition. In response, we reorganized this chapter to better explain the service requirements for demand responsive systems. First, we discussed characteristics of demand responsive systems. Next, we mentioned vehicle acquisition, which the regulations directly tie to demand responsive service requirements. Then, we discussed equivalent service, followed by coverage of types of demand responsive services. We revised the equivalent service discussion to specify that the equivalent service standard does not apply when a vehicle fleet is fully accessible, and we clarified the applicability of the section 37.5 nondiscrimination requirements to all demand responsive services.
A commenter expressed concern with a statement in the proposed chapter about equivalent service being “the same” implies “the same or better,” asserting it might result in preferential treatment for individuals with disabilities. In response, we emphasized in the final Circular that providing a higher level of service to individuals with disabilities would be a local decision, but equivalent service remains a regulatory requirement. That is, service must be at least “equivalent,” though it may be better. When discussing restrictions or priorities based on trip purpose, a commenter suggested not using the phrase “regardless of ability,” so we reworded the concept.
Following the equivalent service discussion, each type of demand responsive service is discussed with equivalency considerations for the respective service. For taxi subsidy service, we received comments expressing concern about the language on equivalency and monitoring, with one commenter suggesting it would effectively end all taxi subsidy service across the nation and hurt customers with disabilities. We disagree with this characterization. The entity administering a taxi subsidy program has the responsibility to ensure equivalent service, and can do this through a number of different methods as described in the final Circular. We recognize taxi service is generally subject to DOJ's Title III jurisdiction.
Regarding route deviation service, we received comments requesting further clarification about the service requirements. We included additional discussion on service delivery options and inserted Table 7.1, Service Delivery Options, to highlight the service options in a quick-reference table format. One commenter suggested modifying Figure 7-1, which depicts route deviation service, to show a requested pickup or drop-off location with a dotted line, and we revised the figure to incorporate the suggestion. Several commenters had questions related to the subsection, “Combining Limited Deviation and Demand Responsive Services to Meet Complementary Paratransit Requirements.” In response to comments, we removed the discussion and added other subsections that clarify ways an agency can meet ADA requirements. We emphasized three route deviation-related service options, including comingling complementary paratransit and fixed route service on the same vehicle, and included a link to an FTA letter further explaining service options.
Regarding other types of demand responsive service, we noted for innovative, emerging forms of transportation there may be applicable ADA requirements that may not be immediately clear. We added a suggestion to contact the FTA Office of Civil Rights for guidance on identifying applicable ADA requirements.
We received a few comments on monitoring as it relates to demand responsive systems, and we incorporated these into the suggestions for monitoring service. One commenter objected to what it perceived as additional requirements to monitor and report on subrecipients. We added language explaining that agencies must monitor their service to confirm the service is being delivered consistent with the ADA requirements, and that FTA does not dictate the specifics of an agency's monitoring efforts. Another commenter asked if there were options for monitoring equivalency that were allowed or accepted other than the approaches in Table 7.2, “Suggested Approaches for Determining Equivalency for Each Service Requirement.” We note the approaches in Table 7.2 are suggestions and there are other ways to fulfill monitoring obligations. Another commenter suggested adding information about what it means for online service to be accessible. We added a reference to Chapter 2 in the section leading up to the table because Chapter 2 discusses accessible information in greater detail. Because the items in Table 7.2 focus on determining equivalency, in the final Circular we added additional suggestions for monitoring specific service types: Comingled dial-a-ride and complementary paratransit services, taxi subsidy services, and demand responsive route deviation services.
Finally, we received a couple of comments on certification. One commenter requested FTA clarify the extent to which a state administering agency has a duty to confirm the statements made by grant subrecipients in connection with the certification process. In response, we added language clarifying that state administering agencies need to have review procedures in place to monitor subrecipients' compliance with certification requirements. Another commenter noted the section contained confusing cross-references and suggested we reexamine it for accuracy. We addressed this by using Appendix D language and a bulleted list with references to specific FTA program Circulars. The commenter also questioned why Attachment 7-1 was labeled as a sample certification if it was the same as the one found in Appendix C to Part 37. In response, in Attachment 7-1 we removed the word “Sample” from the title and removed the date line to mirror the Appendix C Certification of Equivalent Service.
Chapter 8 addresses complementary paratransit service delivery, including topics such as service criteria, types of service options, capacity constraints, and subscription and premium service.
This chapter was reformatted and reorganized from the proposed chapter
One commenter noted paratransit is not supposed to be a guarantee of “special” or “extra” service. We emphasized that any services beyond the minimum requirements are optional and local matters. We added a reference and link to FTA's existing bulletin “Premium Charges for Paratransit Services” to highlight further that premium services are not required, and if transit agencies provide premium services, they are permitted to charge an additional fee.
A few commenters questioned why commuter service and intercity rail were not included in the list of entities excluded from complementary paratransit. In the final Circular we added the definitions for commuter rail and bus and intercity rail. These commenters also suggested the Circular include more explanation as to when a route called a “commuter bus” route may be required to provide paratransit service, and they suggested including FTA findings regarding this issue. We added a more thorough explanation, cross-referencing to Chapter 6, explaining why a case-by-case assessment by the transit agency is needed to determine whether a particular route meets the definition of commuter bus. We also provided a link to a complaint decision letter regarding the elements FTA examined to determine whether the service in question in the complaint was in fact commuter service.
We received a number of comments regarding origin-to-destination service. Most of these comments questioned FTA's requirement for door-to-door service, in at least some cases, which they asserted was related to the then-pending rulemaking on reasonable modification and not required by the DOT regulations. Commenters asserted the proposed Circular was essentially requiring door-to-door service and expanding service beyond the standard curb-to-curb service many transit agencies provide. Commenters also expressed concerns about the safety issues of leaving a vehicle unattended for a long period of time to provide door-to-door service to an individual.
As DOT has explained, the requirement for door-to-door service was not contingent upon the reasonable modification rulemaking, but rather rooted in § 37.129. However, this argument is moot since DOT issued its final rule on reasonable modification subsequent to publication of Amendment 2 of the proposed Circular. The final rule, incorporated into Part 37, includes a definition of origin-to-destination consistent with the long-standing requirement (See 80 FR 13253, Mar. 13, 2015). We edited this section to incorporate the regulatory text, preamble text from the final rule on reasonable modification, and relevant examples from the new Appendix E to Part 37. We incorporated several Appendix E examples verbatim that address origin-to-destination issues, including a driver leaving a vehicle unattended.
A few commenters requested clarification on the responsibilities of the transit agency to provide hand-to-hand attended transfers to riders on paratransit. We explained that if an agency requires riders to transfer between two vehicles to complete the complementary paratransit trip within that agency's jurisdiction, then the agency is required to have an employee (driver or other individual) wait with any riders who cannot be left unattended. But, we added specific language emphasizing that the requirement for attended transfers does not apply when an agency is dropping off a rider to be picked up by another provider to be taken outside the agency's jurisdiction.
One commenter argued it is not accurate to state that “double feeder” service, a service where complementary paratransit is used to provide feeder service to and from the fixed route on both ends of the trip, is typically not realistic. We revised the text and added Appendix D text for clarification, which states “the transit provider should consider carefully whether such a `double feeder' system, while permissible, is truly workable in its system.”
A few commenters suggested clarifications to the figures regarding paratransit service areas, Figures 8-1 and 8-2, depicting bus and rail service areas, such as clarifying the terms in the figures and making the graphics easier to read and less blurry. We made these changes.
There were a few comments regarding access to restricted properties. One commenter requested clarification on what to do in the case of a gated community. Another commenter questioned what recourse transit agencies and passengers have when a commercial facility limits access to paratransit vehicles. In response to these comments, we added a section entitled, “Access to Private or Restricted Properties” and added an Appendix E example from Part 37 that discusses transit agencies' obligations with respect to service to restricted properties. Another commenter stated passengers should be required to arrange access to locked communities or private property if they want to be picked up or dropped off in a restricted area. The Appendix E example specifically notes the possibility of the transit agency working with the passenger to get permission of the of the property owner to permit access for the paratransit vehicle.
There were many comments regarding negotiating trip times with riders, mostly regarding drop-off windows and next day scheduling. Many commenters expressed that paratransit scheduling to drop-off time is not required, while one commenter supported scheduling to drop-off times. We revised the text to explain that a true negotiation considers the rider's time constraints. While some trips have inherent flexibility (
Several commenters requested clarification on next-day scheduling as to what “no later than one day ahead” means. One commenter suggested changing the text to “on the day before,” which we did, to make clear that scheduling can be done the day before, and not only 24 hours before. A few commenters asked for clarification as to how late “the day before” goes to, specifically for transit agencies that operate service past midnight. We maintained the text stating transit agencies with service past midnight must allow riders to schedule during normal business hours on the day before the trip, including for a trip that would begin after midnight. And we added
There was also a comment regarding changing negotiated trip times. The commenter questioned to what extent leaving a voicemail is adequate to notify the passenger of a change in pickup time. We clarified that when voicemail is used for trip reservations, if an agency needs to negotiate the pickup time or window, they must contact the rider and conduct a negotiation. Any renegotiation situation is treated similarly, such that if the transit agency calls the rider, and the rider cannot be reached, the transit agency must provide the trip at the time previously negotiated. We also expanded the discussion on how call-backs relate to trip negotiation requirements.
We added clarifications to the section on negotiating trip times. Transit agencies are permitted to establish a reasonable window around the negotiated pickup time, during which the vehicle is considered “on time.” We explained that FTA considers pickup windows longer than 30 minutes to be unacceptable, as they cause unreasonably long wait times for service. We also included examples to describe the 30 minute window.
A few comments regarding “no strand” policies sought clarification on the sentence that suggested providing a return trip, “even if later than the original schedule time,” and requested FTA to state the “no strand” policies are optional. We edited the sentence to specify these policies are optional and that the return trip will typically be within regular service hours.
We received several comments on paratransit fares. A few commenters were concerned about the fare rules regarding how to choose between the minimum alternative base fares for paratransit when there is more than one fixed route option. We clarified by adding Appendix D language specifying that the agency chooses the mode or route that the typical fixed route user would use. A few commenters questioned whether transit agencies using distance based fares on fixed route are required to vary paratransit fares as well. We clarified that transit agencies are not required to use distance based fares on paratransit, but must set the fares at no more than double the lowest full-price fixed route fare for the same trip. One commenter requested the citation for the regulatory requirement to provide free paratransit trips in situations with free fare zones. We provided the relevant regulatory citation. Another commenter suggested it should be pointed out that agency trips, or fares negotiated with social service agencies or other organizations, can be more than double the fixed route fare. We made this change. We also added text stating that FTA finds monthly passes on fixed route are considered discounts, and, therefore, cannot be used to calculate the maximum paratransit fare, which is capped at double the full-price fixed route fare.
We received a number of comments regarding capacity constraints. A commenter requested clarification on the meaning of considering “two closely spaced trips by the same rider so they do not overlap” during scheduling. We added an example of when this occurs to better explain that scenario. Another commenter requested clarification that it is not a waiting list, and, therefore, not a capacity constraint, to tell riders they will provide the trip, but then state the transit agency will call back before “X” p.m. to give a precise time to the rider. We added language to more clearly explain what is and what is not a waiting list. We also added text specifying that as long as the call-taker accepts the trip request and confirms the requested time with the rider, this is not a waiting list.
Within the topic of capacity constraints, there were many comments on untimely service. On the topic of pickup windows, one commenter expressed it is important to point out that if the local agency has instituted a 5-minute waiting period for paratransit pickups, the 5 minute wait cannot begin until the start of the pickup window. The text in the final Circular states this explicitly. In addition, there were several comments on assessing on-time performance. One commenter requested a clarification of what “on-time” means, and whether this includes only the 30 minute window or also early pickups. We edited the language to express that on-time is only within the 30-minute window, but service standards may evaluate on-time pickups and early pickups together by setting a goal of “X” percent of pickups will be on-time or early. Another commenter requested we include a standard for “very early pickups” in the Circular. While we did not add a specific standard, we provided examples of service standards some agencies have instituted for very early pickups.
There were several comments on trip denials and missed trips. Regarding trip denials, one commenter expressed that when a trip is actually made, it cannot be counted as a denial, referring to DOT's September 2011 amendments to the regulation. We agree with the commenter, and clarified the language and linked to the preamble to the amendments. Regarding missed trips, we added more clarification on what constitutes a missed trip and provided examples. One commenter suggested it would be a good practice for dispatchers to ask drivers to describe the pickup location and document the description in case a no-show is later questioned. We added the requested language. Another commenter requested substantiation for stating that a transit agency with a high rate of missed trips may not be able to arrive on time, possibly indicating the need to add capacity. We substantiated this statement based on complementary paratransit reviews completed by FTA's Office of Civil Rights.
A few commenters stated that untimely drop-offs and poor telephone performance are not mentioned in the regulations, and are therefore only good practices and should be presented as such. We clarified why we consider these actions capacity constraints under the regulations, and, therefore, a requirement to ensure a transit agency is not allowing these situations to occur, and tied it to the relevant regulation at section 37.131(f)(3)(i).
There were many comments about poor telephone performance, including call wait times and busy signals. One commenter requested we more directly address long hold times, and we clarified this section to focus more clearly on long hold times. A couple of commenters stated it is unclear what specific telephone hold times are required without actual numbers of minutes or percentages, and recommended FTA adopt a best practice standard for maximum hold times of two minutes. We did not set absolute maximum hold times; however, we added optional good practices of setting certain thresholds, and provided examples. For example, “an optional good practice is to define a minimum percentage (
One commenter asked why steering eligible individuals to different services would be considered discouraging the use of complementary paratransit if the other service might serve the individual better. We deleted references to “steering” in the document and instead added language to clarify that while transit agencies may not discourage use of ADA complementary paratransit, which is a capacity constraint, it is a good practice to make people aware of their transportation options so they can make informed decisions. Making sure people are aware of their transportation options so that they can make informed decisions is very different from discouraging paratransit use. We added text stating FTA encourages agencies to coordinate their services with other services available to individuals with disabilities.
Numerous commenters suggested that as long as an agency doesn't have capacity constraints, there should not be a limit on subscription service to 50 percent of an agency's paratransit service. While this language was included in the proposed Circular, in the final Circular we clarified the language, and added language stating FTA encourages transit agencies to maximize use of subscription service as long as there are no capacity constraints.
One commenter noted will-call trips should be premium services, and asked for clarification. We edited the text to reflect that will-call trips are premium services and added them to the list of premium service provided in the, “Exceeding Minimum Requirements (Premium Service)” section. We also clarified in the earlier sections that will-call trips may be restricted by trip purpose and transit agencies may charge higher fares for these trips.
Regarding complementary paratransit plans, a few commenters requested FTA provide reasons for requiring a plan when a system is not in compliance, and why there is no requirement for compliance with paratransit on the first day of a fixed route service. We edited the text in line with the regulations and FTA policy requiring implementation of complementary paratransit immediately upon introduction of a fixed route service, and not over time. Additionally, we added the regulatory support for requiring a complementary paratransit plan when a transit system is not in compliance with its paratransit obligations.
A commenter suggested the section on public participation add a “good practice,” stating when a transit agency proposes a reduction in service, the transit agency should consider a review similar to a Title VI analysis. We clarified that under 49 U.S.C. 5307 there are requirements for public comment on fare and service changes, and a major reduction in fixed route service must also include consideration of the impact on complementary paratransit service.
We received many comments regarding the “Monitoring and Data Collection” section of this chapter, generally questioning the value of this section to the reader. Upon review, we concluded that many of the points were repetitive of earlier sections and removed the section from the Circular.
Chapter 9 discusses ADA paratransit eligibility standards, the paratransit eligibility process, the types of eligibility, recertification, and appeals processes, no-show suspensions, and issues involving personal care attendants and visitors.
Several commenters asked for clarification on the dilemma between having mobility device weight restrictions and paratransit eligibility. We clarified that ADA paratransit eligibility is based on an individual's functional ability, and while the size or weight of a mobility device exceeding the vehicle's capacity is not grounds to reject paratransit eligibility, in some cases, an individual will be granted eligibility, but cannot be transported on a transit agency vehicle. We added language stating the vehicle capacity should be communicated to the rider, and the individual's eligibility will be maintained, so if the individual later obtains a smaller or lighter mobility device, he or she will be able to be transported.
A few commenters inquired regarding the role of the age of children in paratransit eligibility. One commenter suggested specifying that policies limiting the availability of transit service to children cannot be imposed solely on the paratransit system. Another commenter stated an agency's fare policies should not be indicative of a child's ability to travel on fixed route, and a reasonable person standard should apply: Whether a child can travel independently without the assistance and supervision of an adult is set not to a certain age, but to what a reasonable person would conclude. Several commenters asserted these policies should be decided at the local level because eligibility requirements must be “strictly limited” and based solely on “an individual's ability.” We clarified the language to state transit agencies can set requirements on what age children must be accompanied by an adult based on the age a child is able to use fixed route independently. This age requirement must be uniform across fixed route and paratransit. We also clarified that fare policies alone, such as providing that children under a certain age ride free, or children accompanied by an adult ride free, do not set a requirement for a child to be accompanied by an adult, and, therefore, do not extend to paratransit policies.
One commenter wondered why a discussion of individuals with psychiatric disabilities who may not be able to travel in unfamiliar areas would be found paratransit eligible under two different categories of eligibility. We clarified that these individuals may be eligible for multiple reasons.
One commenter stated that eligibility based on current functional ability may lead to confusion about impairment-related conditions that vary from time to time. We added language stating it would be inappropriate to deny eligibility to someone with a variable disability if the assessment happened to take place on a “good day,” and transit agencies should consider that an individual's functional ability may change from day to day because of the variable nature of the person's disability.
One commenter requested FTA note the qualification for a half-fare discount under 49 U.S.C. 5307 for seniors and riders with disabilities does not have a bearing on one's complementary paratransit eligibility. We added a section explaining that the standards for half-fare eligibility are different from the paratransit eligibility requirements, and half-fare eligibility does not automatically give the rider ADA paratransit eligibility.
There were a few comments regarding conditional paratransit eligibility. Commenters emphasized that in the section discussing the necessity for conditional eligibility for individuals where hot or cold weather exacerbates their health conditions to the point that they are unable to use fixed route, it should be clarified that it is the local agency's decision what the temperature thresholds are. We added a footnote explaining that the Circular text provides specific examples of temperatures where it may be “too hot;” establishing different thresholds for specific regions is appropriate because climates vary from region to region. Another commenter noted conditional eligibility should not be limited based on trip purpose. We added text specifying that giving eligibility to individuals for “dialysis trips only” is
A commenter requested FTA clarify that while confidentiality in paratransit eligibility is vital, agencies can still tell drivers that riders need particular types of assistance. We added text noting an optional good practice for transit agencies is to add necessary information to the manifest that the operators may need to safely serve the rider, without including specific information on the nature of the rider's disability.
Regarding the eligibility determination process, we emphasized that local agencies devise the specifics of their process, including how and when they will conduct functional assessments, within the broad requirements of the regulations. One commenter requested the Circular go more in depth on having assessments conducted by professionals trained to evaluate the disabilities at issue. We added text, including support from Appendix D, stating while the ultimate determination is a functional one, medical evaluation from a physician may be helpful to determine the ability of the applicant, particularly if a disability is not apparent. We also stated that the professional verification is not limited to physicians, but may include other professionals such as mobility specialists, clinical social workers, and nurses, among others. Several commenters requested specific guidance regarding appropriate assessments and eligibility applications, including sample applications and assessments. We provided links to Easter Seals Project Action, which provides information on implementing functional assessments, administering the Functional Assessment of Cognitive Transit Skills (FACTS), and other technical assistance materials.
A couple of commenters suggested adding information regarding making applications available in alternative formats. We added relevant language from Appendix D regarding alternative formats and deleted the suggestion that transit agencies ask applicants if they want future communications in alternative formats to prevent a reader from concluding that providing an accessible format is optional when a rider needs it. We also added information regarding the Title VI Limited English Proficiency (LEP) requirements for complementary paratransit, which ensure that those who do not speak English as their primary language can access paratransit services. This was added for consistency with a similar section in Chapter 8.
One commenter indicated the content on identification cards for paratransit eligibility should be left to local agencies. We clarified that the decision of whether to have identification cards and the content on them are local decisions, but if the card does not contain all the information required by section 37.125(e) (
We clarified that FTA considers any determination less than unconditional eligibility, such as conditional and temporary eligibility, to be forms of ineligibility. Therefore, transit agencies must send letters regarding appeals to any applicant that receives any type of eligibility less than unconditional eligibility.
There were several comments regarding recertification. One commenter requested clarification of what is a “reasonable interval” between eligibility determination and recertification. We added language from Appendix D explaining that requiring recertification too frequently would be burdensome to riders. Another commenter requested information regarding what steps a transit agency should take for recertification under a new or revised process. We added language encouraging agencies to consider the impact on riders when they tighten eligibility processes.
There were many comments regarding the paratransit eligibility appeals process. We noted that transit agencies must inform riders they have the right to appeal any eligibility denial and added text explaining that riders can reapply for eligibility at any time. Many of these commenters stated the draft text encouraging transit agencies to provide free transport to and from paratransit appeals was not appropriate, and it was not required, and, therefore, should not be included in the Circular. A few comments supported FTA's inclusion encouraging free transport to and from paratransit appeals. While it was only a recommendation, we removed the text encouraging free transport, instead encouraging agencies to “ensure that hearing locations are easy for appellants to reach.”
Another commenter indicated the draft text was ambiguous regarding transit agencies arranging appeals without unreasonable delays. We clarified the statement by recommending that, although the regulations do not specify a deadline for which agencies must hold an in-person appeal after an applicant requests a hearing, FTA encourages transit agencies to hold the appeal hearings promptly and suggests that hearings be held within 30 days of the request. A couple of commenters requested clarification regarding who can be on an appeals panel, specifically requesting FTA to specify that although someone hearing an appeal should not represent one particular point of view, it is acceptable to have an impartial employee of the transit agency participate in the appeals hearing. We edited the text to note if transit agency staff or members of the disability community are selected to hear paratransit eligibility appeals, it is important for them to remain impartial.
There were many comments regarding personal care attendants (PCAs). A couple of commenters noted the terminology was inconsistent throughout, and requested the references to “personal attendants” be changed to “personal care attendants.” We edited the relevant text in Chapters 8 and 9 to consistently reference “personal care attendants.” Many commenters questioned the draft text stating that if a rider needs a PCA during the eligibility process that may be an indication the paratransit rider must be “met at both ends of the trip” and “never left unattended.” Commenters argued the language was inaccurate because there is no requirement for a paratransit rider not to be left unattended or met at both ends of the trip. We deleted this sentence as it was inconsistent with the regulations and policy, and clarified that a transit agency cannot impose a requirement for a rider to travel with a PCA. We also clarified the reasoning for asking during the eligibility process whether a complementary paratransit applicant needs a PCA or not, which is to “prevent potential abuse” of the provision. By documenting a rider's need for a PCA during the eligibility process, the agency can determine if an individual traveling with the rider is a PCA or a companion, which in turn simplifies determining required fares. One commenter noted the regulation is singular, and, therefore, transit agencies are only required to provide each paratransit eligible rider with one PCA. We amended the language to state each rider is only entitled to travel with one PCA. Likewise, another commenter asked FTA to clarify that while transit agencies are required to accommodate only one companion per paratransit eligible rider, the regulations also require the transit agency to accommodate additional companions if space is available. We added text
We received several comments praising regional paratransit eligibility approaches and encouraging FTA to support this concept. In response, we added a section entitled, “Coordination of Eligibility Determination Processes,” and stated FTA encourages transit agencies to coordinate eligibility determinations to make regional travel easier for customers.
There were many comments regarding no-show suspensions. One commenter requested that the Circular provide specific guidance on how suspensions for no-shows should be calculated, and what constitutes a no-show outside the passenger's control. We addressed these items by providing the regulatory text and examples of when no-shows are outside the passenger's control, and providing examples of no-show policies that lead to suspensions. We also added language specifying that agencies are permitted to suspend riders who establish a pattern or practice of missing scheduled trips, but only after providing a rider with due process. In the case of no-show suspensions, due process means first notifying the individual in writing of the reasons for the suspension and of their right to appeal as outlined in section 37.125(g). We also added language specifying the purpose of no-show suspensions, which is to deter chronic no-shows. We explained that transit agencies must consider a rider's frequency of use in order to determine if a pattern or practice of no-shows exist and recommended a two-step process for determining pattern or practice. We also clarified that FTA recommends the no-show suspension notification letters inform riders that no-shows beyond their control will not be counted, and we provided examples of how riders can explain the no-shows outside of their control. We recommended transit agencies have “robust procedures” to verify the no-shows were recorded accurately.
Many of the comments on the topic of no-show suspensions challenged the proposed Circular statement, “FTA considers suspensions longer than 30 days to be excessive under any circumstance.” Commenters argued this is not based in regulation, and in some instances, suspensions longer than 30 days are necessary for repeat offenders of the no-show policy. We edited this text to state, “While it is reasonable to gradually increase the duration of suspensions to address chronic no-shows, FTA generally considers suspensions longer than 30 days to be excessive.” We also added language clarifying that FTA requires suspensions to be for reasonable periods, and FTA considers up to one week for a first offense to be reasonable.
One commenter requested clarification regarding when an applicant can independently and consistently “remain safe when traveling alone.” The commenter noted this contradicts an earlier statement in Chapter 9 that general public safety concerns are not a factor in paratransit eligibility. In the final Circular, we have clearly distinguished between general public safety concerns, such as traveling at night or in high crime areas, from an individual's personal safety skills, such as an individual whose judgment, awareness and decisionmaking are significantly affected by a disability and who would therefore be at unreasonable risk if they attempted to use the fixed route independently.
Chapter 10 discusses nondiscrimination regulations related to passenger vessels, including accessible information for passengers of passenger vessels, assistance and services, and complaint procedures.
Chapter 10 remains substantially similar to the proposed chapter, with the primary exceptions of technical corrections and clarifications, and the addition of a few Part 39 provisions that were not included in the proposed chapter, but which commenters pointed out were relevant.
Many commenters inquired as to which passenger vessel operators (PVOs) were addressed by the Circular. We edited the text to more clearly reflect which PVOs the Circular addresses. One commenter requested that we clarify whether Part 39 applies to only U.S. ships or also foreign flagged vessels. We edited the text to make clear the Circular does not address U.S. or foreign flag cruise ships. One commenter also pointed out that with respect to private PVOs operating under contract to public entities, a dock that received Federal financial assistance would not fall under PVO rules if the vessel was not covered. In response, we removed the term “and facilities” from the section discussing services using vessels acquired with FTA grant assistance.
Several commenters also responded to the Part 39 nondiscrimination provisions. A few commenters suggested the sentence stating that passengers with disabilities cannot be excluded from participating or denied the benefits of transportation solely because of their disability was an inaccurate interpretation of the regulations because individuals with disabilities can be excluded from PVOs for many reasons based on their disabilities. The commenters also challenged the draft text regarding what PVOs cannot do, for example, require medical certificates or advance notice of travel from passengers with a disability, because under certain conditions PVOs can require these. While operators of public ferry service, in practice, would rarely if ever deny service on these grounds, we added sections discussing the applicable regulations, including refusing service to individuals with disabilities (10.2.2), refusing service based on safety concerns (10.2.3), requiring passengers to provide medical certifications (10.2.4), limiting the number of passengers with disabilities on vessels (10.2.5), and requiring advance notice from passengers with disabilities (10.2.6).
One commenter noted that in the section regarding auxiliary aids and services, the proposed Circular included a statement that passengers needing a sign language interpreter should make this request early. The commenter asked for this to be deleted because PVOs are not required to provide sign language interpreters. We deleted this sentence because the types of trips addressed by this Circular are generally short and individuals would not require sign language interpreters.
Regarding service animals, one commenter noted the regulations and definitions for service animals in the DOT (49 CFR part 39) and DOJ (28 CFR part 36) regulations are confusing because they are different, and PVOs are often unsure which to follow. We clarified that the service animal definition for DOT in Part 39 in the water transportation environment is different from DOT's Part 37 definition. We included a link to guidance regarding ADA requirements for passenger vessels that addresses service animals, which explains that DOT interprets the service animal provisions of Part 39 to be consistent with DOJ's service animal provisions.
Similarly, we clarified that the relevant regulations and definition for wheelchairs and other assistive devices on passengers vessels are also found in Part 39, and different from the definitions provided in Part 37.
Chapter 11 discusses other modes, including the general requirements for vehicles not otherwise mentioned in the Circular or covered by Part 38, as well as mode-specific requirements for certain types of vehicles. Vehicles referred to in this chapter include high-speed rail cars, monorails, and automated guideway transit, among other systems.
This chapter is considerably shorter than the proposed chapter. One of the few comments we received noted the chapter lacked discussion. We agreed with the comment, and in the absence of recommendations for tailoring the chapter, we removed several sections that were largely composed of lists referring to regulatory sections and instead broadly summarized the requirements and directed the reader to the regulations for the specific technical information.
Chapter 12 discusses FTA's oversight of recipients and enforcement processes, onsite review information, and complaint process. It also discusses requirements and suggestions for the transit agency complaint process, and requirements and suggestions for transit agency monitoring of its services. Chapter 12 remains substantially similar to the proposed chapter, although we made changes based on DOT's issuance of the reasonable modification final rule and in response to comments.
The DOT final rule on reasonable modification amended the longstanding local complaint procedure requirements in 49 CFR 27.13, and then mirrored that provision in a new section 37.17. The rule added specific requirements that transit agencies must incorporate into their complaint procedures. For example, agencies must now sufficiently advertise the process for filing a complaint, ensure the process is accessible, and promptly communicate a response to the complainant. We revised sections to capture these new requirements, quoting the new regulatory text. We also edited slightly the Sample Comment Form attachment to illustrate how agencies may use such a form to collect ADA complaints consistent with the final rule.
We received several specific comments on the chapter. One commenter suggested that viewing compliance review reports are helpful to improve service delivery. In response, we added a link to our Civil Rights Specialized Reviews Web page on the FTA Web site. Another commenter noted while the Circular discusses finding agencies “compliant,” what FTA actually does is find that agencies lack deficiencies. We edited the text to incorporate the deficiency focus.
One commenter, discussing FTA's administrative enforcement mechanisms, stated that FTA should not be interpreting the provisions of 49 CFR 27.125, which provides steps FTA can take in response to deficiencies. Another commenter noted the Circular should not discuss suspension or termination of financial assistance, or alternatively consider intermediate steps such as voluntary arbitration or mediation, because suspension and termination are contrary to FTA's goals. In response, we restated the regulatory requirements for suspending or terminating Federal financial assistance.
Regarding FTA grant reviews, one commenter requested that the section be revised to offer guidance on the content of the reviews, including the scope of the reviews and how to prepare for them. Upon consideration, we have removed this section from the chapter, since grant reviews are not part of our oversight program.
There were several comments regarding the FTA complaint process. We clarified that FTA also processes ADA complaints against non-grantees in accordance with Part 37 and added the relevant Appendix D language for explanation. Commenters noted that complaint decision letters are only relevant to specific situations and are not legally equivalent to regulations, and suggested FTA clarify the responses are only applicable to specific situations and do not create new requirements. In response, we explained that complaint determinations are applicable only to specific facts in question and are not necessarily applicable to other situations and that references to complaint responses in the Circular serve as illustrative examples of how regulations were applied by FTA in specific instances.
In response to a comment requesting that FTA notify the grantee whenever a complaint is filed against it, we explained that we contact the grantee when we investigate a complaint and noted our discretion for accepting complaints for investigation. We also added a section explaining the criteria FTA uses to close complaints administratively, a process that typically does not include outreach or notification to the grantee. The administrative closure bases were taken from FTA's Title VI Circular and are consistent with how FTA closes cases across its civil rights programs.
A few commenters noted requiring corrective action based on deficiency findings within 30 days of receipt of the corrective action letter is not required by regulations and is inappropriate. We edited the text to clarify FTA typically requests a response from the transit provider within 30 days outlining the corrective actions taken or a timetable for implementing changes—if correcting a deficiency takes longer, a timetable for corrective action is appropriate.
There were several comments regarding the transit agency complaint processes. One commenter requested guidance regarding methods transit agencies can take to resolve customer complaints. As a result of the new complaint process requirements for transit agencies provided in the final rule on reasonable modification, we added information regarding the transit agency complaint process. Several of the new sections directly respond to this comment by providing additional information regarding how local transit agencies can act to resolve complaints, including information regarding designation of a responsible employee for ADA complaints, changes to the requirements regarding complaint procedures, and communicating the complaint response to the complainant. We also added language cautioning transit agencies against directing local complaints to contracted service providers for resolution, as it is the agency's responsibility for ADA compliance. In addition, we provided additional guidance highlighting that agencies can use the same process for accepting and investigating ADA and Title VI complaints.
We emphasized that local transit agencies have flexibility to establish the best formats for receiving ADA complaints, and provided information regarding different formats agencies may choose to use.
A commenter requested additional guidance regarding publishing the name of the designated ADA coordinator. We clarified that while an individual must be designated as the “responsible employee” to coordinate ADA compliance, the individual can be publicized by title as opposed to by name, for example, “ADA Coordinator.” Another commenter provided a list of information that could be helpful in investigating complaints. We incorporated the list into an already existing list.
Several commenters argued broadly that monitoring is not required in the regulations, and, therefore, FTA cannot impose the requirement on local agencies. Similar comments were made specific to Chapter 12. We added
Pipeline and Hazardous Materials Safety Administration (PHMSA), DOT.
Notice and request for comments.
In accordance with the Paperwork Reduction Act of 1995, PHMSA invites comments on certain information collections that will be expiring March 31, 2016. PHMSA will request an extension with no change for the information collections identified by the Office of Management and Budget (OMB) control numbers 2137-0610, 2137-0624, and 2137-0625. In addition, PHMSA will request a non-substantive change to the information collection identified under OMB control number 2137-0589 to revise the number of respondents PHMSA expects to comply with this information collection.
Interested persons are invited to submit comments on or before December 4, 2015.
Comments may be submitted in the following ways:
Angela Dow by telephone at 202-366-1246, by fax at 202-366-4566, or by mail at DOT, PHMSA, 1200 New Jersey Avenue SE., PHP-30, Washington, DC 20590-0001.
Section 1320.8(d), Title 5, Code of Federal Regulations, requires PHMSA to provide interested members of the public and affected agencies an opportunity to comment on information collection and recordkeeping requests. This notice identifies several information collection requests that PHMSA will submit to OMB for renewal. The following information is provided for each information collection: (1) Title of the information collection; (2) OMB control number; (3) Current expiration date; (4) Type of request; (5) Abstract of the information collection activity; (6) Description of affected public; (7) Estimate of total annual reporting and recordkeeping burden; and (8) Frequency of collection. PHMSA will request a three-year term of approval for each information collection activity. PHMSA requests comments on the following information collections:
(a) The need for the renewal and revision of these collections of information 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 of the proposed collection of information, including the validity of the methodology and assumptions used;
(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 those who are to respond, including the use of appropriate automated, electronic, mechanical, or other technological collection techniques.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended; and 49 CFR 1.48.
National Highway Traffic Safety Administration (NHTSA) Department of Transportation (DOT).
Grant of petition for exemption.
This document grants in full the Ford Motor Company's (Ford) petition for an exemption of the MKC vehicle line in accordance with 49 CFR part 543,
The exemption granted by this notice is effective beginning with the 2017 model year (MY).
Ms. Deborah Mazyck, Office of International Policy, Fuel Economy and Consumer Programs, NHTSA, W43-443, 1200 New Jersey Avenue SE., Washington, DC 20590. Ms. Mazyck's phone number is (202) 366-4139. Her fax number is (202) 493-2990.
In a petition dated June 25, 2015, Ford requested an exemption from the parts-marking requirements of the Theft Prevention Standard for the Lincoln MKC vehicle line beginning with MY 2017. The petition requested exemption from parts-marking pursuant to 49 CFR part 543,
Under 49 CFR part 543.5(a), a manufacturer may petition NHTSA to grant an exemption for one vehicle line per model year. In its petition, Ford provided a detailed description and diagram of the identity, design, and location of the components of the antitheft device for its Lincoln MKC vehicle line. Ford stated that the Lincoln MKC will be installed with its Intelligent Access with Push Button Start (IAwPB) system as standard equipment on the entire vehicle line. The IAwPB system is a passive, electronic engine immobilizer device that uses encrypted transponder technology. Key components of the IAwPB device will include an Intelligent Access electronic Push-Button Start key fob, keyless ignition system, body control module (BCM), powertrain control module (PCM) and a passive immobilizer. Ford further stated that its Lincoln MKC vehicle line will be offered with a perimeter alarm system as standard equipment. The perimeter alarm system will activate a visible and audible alarm whenever unauthorized access is attempted.
Ford stated that the device's integration of the transponder into the normal operation of the ignition key assures activation of the system. Ford also stated that the MKC vehicle line's electronic key will be programmed into the vehicle during system initialization at the manufacturing plant. Ford further stated that the vehicle engine can only be started when the key is present in the vehicle and the “StartStop” button inside the vehicle is pressed. Ford stated that when the “StartStop” button is pressed, the transceiver module will read a key code and transmit an encrypted message to the control module to determine key validity and engine start by sending a separate encrypted message to the BCM and the PCM. The powertrain will function only if the key code matches the unique identification key code previously programmed into the BCM. If the codes do not match, the powertrain engine will be inoperable. Ford also expressed that any attempt to short the “StartStop” button will have no effect on a thief's ability to start the vehicle without the correct code being transmitted to the electronic control modules. Ford stated
Ford's submission is considered a complete petition as required by 49 CFR 543.7, in that it meets the general requirements contained in § 543.5 and the specific content requirements of § 543.6.
In addressing the specific content requirements of 543.6, Ford provided information on the reliability and durability of its proposed device. To ensure reliability and durability of the device, Ford conducted tests based on its own specified standards. Ford provided a detailed list of the tests conducted and believes that the device is reliable and durable since the device complied with its own specified requirements for each test.
Ford stated that incorporation of several features in the device further support the reliability and durability of the device. Specifically, some of those features include: Encrypted communication between the transponder, BCM control function and the PCM; virtually impossible key duplication; and shared security data between the body control module/remote function actuator and the powertrain control module. Additionally, Ford stated that its antitheft device has no moving parts (
Ford stated that its MY 2017 Lincoln MKC vehicle line will also be equipped with several other standard antitheft features common to Ford vehicles, (
Ford compared the device proposed for its vehicle line with other antitheft devices which NHTSA has determined to be as effective in reducing and deterring motor vehicle theft as would compliance with the parts-marking requirements. Ford stated that it believes that the standard installation of the IAwPB device would be an effective deterrent against vehicle theft.
Ford further stated that its antitheft device was installed on all MY 1996 Ford Mustang GT and Cobra models as well as other selected models. Ford stated that on its 1997 models, the installation of its antitheft device was extended to the entire Ford Mustang vehicle line as standard equipment. Ford also stated that according to the National Insurance Crime Bureau (NICB) theft statistics, MY 1997 Mustangs installed with the SecuriLock device showed a 70% reduction in theft rate compared to its MY 1995 Mustangs without an antitheft device.
Ford stated that the proposed antitheft device is very similar to the system that was offered in its MY 2016 Lincoln MKX vehicle line. The Lincoln MKX vehicle line was granted a parts-marking exemption on November 25, 2014 by NHTSA (See 79 FR 70276) beginning with its MY 2016 vehicles. The agency notes that current theft rate data for MYs 2010 through 2012 Lincoln MKX vehicle line are 0.5670, 0.4056 and 0.5841 respectively.
Ford also reported that beginning with MY 2010, its antitheft device was installed as standard equipment on all of its North American Ford, Lincoln and Mercury vehicles but was offered as optional equipment on its 2010 F-series Super Duty pickups, Econoline and Transit Connect vehicles. Ford further stated that beginning with MY 2010, the IAwPB was installed as standard equipment on its Lincoln MKT vehicles and starting in MY 2011, offered as standard equipment on the Lincoln MKX and optionally on the Lincoln MKS, Ford Taurus, Edge, Explorer and the Focus vehicles. Beginning with MY 2013, the device was offered as standard equipment on the Lincoln MKZ and optionally on the Ford Fusion, C-Max and Escape vehicles.
Ford referenced the agency's published theft rate data by calendar year for all vehicles and the Ford Escape for comparison purposes because it stated that the Lincoln MKC will use the IAwPB system that will be similar to the Ford Escape in design and architecture. Ford further stated that the Lincoln MKC is comparably similar to the Ford Escape in vehicle segment, size and equipment. Ford reported that the Escape's theft rate is lower than the vehicle theft rate for all vehicles in each of the last five calendar years for which published data is available. Specifically, the agency's data show that theft rates for the Ford Escape for MYs 2010-2012 are 0.7265, 0.6409, and 0.8336 respectively. Using an average of the most current of three MYs data (2010-2012), the theft rate for the Ford Escape vehicle line is well below the median at 0.7336. Ford stated that with the installation of its IAwPB device as standard equipment, the Lincoln MKC will have a very low theft rate comparable to the theft rate of the Ford Escape vehicle line.
The agency agrees that the device is substantially similar to devices installed on other vehicle lines for which the agency has already granted exemptions.
Based on the supporting evidence submitted by Ford on the device, the agency believes that the antitheft device for the Lincoln MKC vehicle line is likely to be as effective in reducing and deterring motor vehicle theft as compliance with the parts-marking requirements of the Theft Prevention Standard (49 CFR part 541).
Pursuant to 49 U.S.C. 33106 and 49 CFR 543.7 (b), the agency grants a petition for exemption from the parts-marking requirements of Part 541 either in whole or in part, if it determines that, based upon substantial evidence, the standard equipment antitheft device is likely to be as effective in reducing and deterring motor vehicle theft as compliance with the parts-marking requirements of Part 541. The agency finds that Ford has provided adequate reasons for its belief that the antitheft device for the Lincoln MKC vehicle line is likely to be as effective in reducing and deterring motor vehicle theft as compliance with the parts-marking requirements of the Theft Prevention Standard (49 CFR part 541). This conclusion is based on the information Ford provided about its device.
The agency concludes that the device will provide the five types of performance listed in § 543.6(a)(3): Promoting activation; attracting attention to the efforts of unauthorized persons to enter or operate a vehicle by means other than a key; preventing defeat or circumvention of the device by unauthorized persons; preventing operation of the vehicle by unauthorized entrants; and ensuring the reliability and durability of the device.
For the foregoing reasons, the agency hereby grants in full Ford's petition for exemption for the Lincoln MKC vehicle line from the parts-marking requirements of 49 CFR part 541. The agency notes that 49 CFR part 541, Appendix A-1, identifies those lines that are exempted from the Theft Prevention Standard for a given model year. 49 CFR part 543.7(f) contains publication requirements incident to the disposition of all Part 543 petitions. Advanced listing, including the release of future product nameplates, the beginning model year for which the petition is granted and a general description of the antitheft device is necessary in order to notify law enforcement agencies of new vehicle lines exempted from the parts-marking requirements of the Theft Prevention Standard.
If Ford decides not to use the exemption for this line, it must formally notify the agency. If such a decision is made, the line must be fully marked according to the requirements under 49 CFR parts 541.5 and 541.6 (marking of major component parts and replacement parts).
NHTSA notes that if Ford wishes in the future to modify the device on which this exemption is based, the company may have to submit a petition to modify the exemption. Part 543.7(d) states that a Part 543 exemption applies only to vehicles that belong to a line exempted under this part and equipped with the antitheft device on which the line's exemption is based. Further, Part 543.9(c)(2) provides for the submission of petitions “to modify an exemption to permit the use of an antitheft device similar to but differing from the one specified in that exemption.”
The agency wishes to minimize the administrative burden that Part 543.9(c)(2) could place on exempted vehicle manufacturers and itself. The agency did not intend in drafting Part 543 to require the submission of a modification petition for every change to the components or design of an antitheft device. The significance of many such changes could be
(a) Committee for the Preservation of the White House; Executive Order 11145, as amended (Department of the Interior).
(b) President's Commission on White House Fellowships; Executive Order 11183, as amended (Office of Personnel Management).
(c) President's Committee on the National Medal of Science; Executive Order 11287, as amended (National Science Foundation).
(d) Federal Advisory Council on Occupational Safety and Health; Executive Order 11612, as amended (Department of Labor).
(e) President's Export Council; Executive Order 12131, as amended (Department of Commerce).
(f) President's Committee on the International Labor Organization; Executive Order 12216, as amended (Department of Labor).
(g) President's Committee on the Arts and the Humanities; Executive Order 12367, as amended (National Endowment for the Arts).
(h) President's National Security Telecommunications Advisory Committee; Executive Order 12382, as amended (Department of Homeland Security).
(i) National Industrial Security Program Policy Advisory Committee; Executive Order 12829, as amended (National Archives and Records Administration).
(j) Trade and Environment Policy Advisory Committee; Executive Order 12905 (Office of the United States Trade Representative).
(k) Governmental Advisory Committee to the United States Representative to the North American Commission for Environmental Cooperation; Executive Order 12915 (Environmental Protection Agency).
(l) National Advisory Committee to the United States Representative to the North American Commission for Environmental Cooperation; Executive Order 12915 (Environmental Protection Agency).
(m) Good Neighbor Environmental Board; Executive Order 12916 (Environmental Protection Agency).
(n) Presidential Advisory Council on HIV/AIDS; Executive Order 12963, as amended (Department of Health and Human Services).
(o) President's Committee for People with Intellectual Disabilities; Executive Order 12994, as amended (Department of Health and Human Services).
(p) Invasive Species Advisory Committee; Executive Order 13112, as amended (Department of the Interior).
(q) Marine Protected Areas Federal Advisory Committee; Executive Order 13158 (Department of Commerce).
(r) Advisory Board on Radiation and Worker Health; Executive Order 13179 (Department of Health and Human Services).
(s) National Infrastructure Advisory Council; Executive Order 13231, as amended (Department of Homeland Security).
(t) President's Council on Fitness, Sports, and Nutrition; Executive Order 13265, as amended (Department of Health and Human Services).
(u) President's Advisory Council on Faith-Based and Neighborhood Partnerships; Executive Order 13498 (Department of Health and Human Services).
(v) President's Advisory Commission on Asian Americans and Pacific Islanders; Executive Order 13515, as amended (Department of Education).
(w) Presidential Commission for the Study of Bioethical Issues; Executive Order 13521 (Department of Health and Human Services).
(x) National Council on Federal Labor-Management Relations; Executive Order 13522 (Office of Personnel Management).
(y) U.S. General Services Administration Labor-Management Relations Council; Executive Order 13522 (General Services Administration).
(z) President's Board of Advisors on Historically Black Colleges and Universities; Executive Order 13532, as amended (Department of Education).
(aa) President's Management Advisory Board; Executive Order 13538, as amended (General Services Administration).
(bb) President's Council of Advisors on Science and Technology; Executive Order 13539, as amended (Department of Energy).
(cc) Interagency Task Force on Veterans Small Business Development; Executive Order 13540 (Small Business Administration).
(dd) Advisory Group on Prevention, Health Promotion, and Integrative and Public Health; Executive Order 13544 (Department of Health and Human Services).
(ee) State, Local, Tribal, and Private Sector (SLTPS) Policy Advisory Committee; Executive Order 13549 (National Archives and Records Administration).
(ff) President's Advisory Commission on Educational Excellence for Hispanics; Executive Order 13555, re-established by Executive Order 13634 (Department of Education).
(gg) President's Global Development Council; Executive Order 13600, as amended (United States Agency for International Development).
(hh) President's Advisory Commission on Educational Excellence for African Americans; Executive Order 13621 (Department of Education).
(ii) President's Advisory Council on Doing Business in Africa; Executive Order 13675 (Department of Commerce).
(jj) Presidential Advisory Council on Combating Antibiotic-Resistant Bacteria; Executive Order 13676 (Department of Health and Human Services).
(kk) Advisory Council on Wildlife Trafficking; Executive Order 13648 (Department of the Interior).
(ll) Commerce Spectrum Management Advisory Committee; initially established pursuant to Presidential Memorandum on Improving Spectrum Management for the 21st Century (November 30, 2004) (Department of Commerce).
(mm) National Space-Based Positioning, Navigation, and Timing Advisory Board; National Security Policy Directive-39, “U.S. National Space-Based Position, Navigation, and Timing Policy” (December 8, 2004) (National Aeronautics and Space Administration).
(nn) San Juan Islands National Monument Advisory Committee; Proclamation 8947 of March 25, 2013 (Department of the Interior).
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 |