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Animal and Plant Health Inspection Service
Commodity Credit Corporation
Forest Service
Census Bureau
Industry and Security Bureau
National Oceanic and Atmospheric Administration
Army Department
Engineers Corps
Federal Energy Regulatory Commission
Centers for Medicare & Medicaid Services
Food and Drug Administration
Health Resources and Services Administration
Indian Health Service
National Institutes of Health
Coast Guard
Bureau of Safety and Environmental Enforcement
Fish and Wildlife Service
Geological Survey
Indian Affairs Bureau
Land Management Bureau
National Park Service
Alcohol, Tobacco, Firearms, and Explosives Bureau
National Institute of Justice
Mine Safety and Health Administration
Copyright Royalty Board
Federal Aviation Administration
Federal Railroad Administration
National Highway Traffic Safety Administration
Pipeline and Hazardous Materials Safety Administration
Internal Revenue Service
United States Mint
Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, and notice of recently enacted public laws.
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Office of the Assistant Secretary for Administration and Management, Department of Labor.
Direct final rule.
The U.S. Department of Labor (DOL) is removing its regulations implementing the government-wide common rule on nonprocurement debarment and suspension, currently located in Part 98 of Title 29 of the Code of Federal Regulations (CFR), and adopting the Office of Management and Budget's (OMB) guidance at Title 2 of the CFR. This regulatory action implements the OMB's initiative to streamline and consolidate into one title of the CFR all Federal regulations on nonprocurement debarment and suspension. These changes constitute an administrative simplification that would make no substantive change in DOL policy or procedures for nonprocurement debarment and suspension.
This final rule is effective on April 29, 2016 without further action. Submit comments on or before May 31, 2016 on any unintended changes this action makes in DOL policies and procedures for debarment and suspension. If an adverse comment about unintended changes is received, DOL will publish a timely withdrawal of the rule in the
Comments may be submitted in two ways. All email comments regarding this rule should be sent to Ms. Duyen Tran Ritchie at
Duyen Tran Ritchie, Office of Chief Procurement Officer, (202) 693-7277 [Note: This is not a toll-free telephone number]; or by email at
On November 26, 2003, at 68 FR 66534, DOL adopted the government-wide nonprocurement debarment and suspension common rule, which recast the nonprocurement debarment and suspension regulations in plain English and made other required updates.
Thereafter, on May 11, 2004, at 69 FR 26276, OMB established Title 2 of the CFR as the new central location for OMB guidance and agency implementing regulations concerning grants and agreements. This approach benefits the public by making it easier for the affected public to identify an agency's additions and clarifications to the Government-wide policies and procedures. In that action, OMB announced its intention to replace the common rules with OMB guidance that agencies could adopt. OMB began that process by proposing on August 31, 2005, at 70 FR 51863, an interim final guidance on non-procurement debarment and suspension. That guidance requires each agency to issue a brief rule that: (1) Adopts the guidance, giving it regulatory effect for that agency's activities; and (2) states any agency-specific additions or clarifications to the government-wide policies and procedures. The notice stated that the substantive content of the guidance was intended to conform with the substance of the Federal agencies' most recent update in 2003 to the common rule. The guidance was finalized on November 15, 2006, at 71 FR 66431. The proposed regulatory actions will bring the Department into compliance with OMB's 2006 guidance.
Pursuant to requirements in OMB's guidance, DOL is taking three actions. First, DOL is adding a new part to its existing Chapter XXIX under Title 2 of the CFR Subtitle B, which is a brief adoption of the OMB guidance and states DOL-specific additions and clarifications. Second, DOL is removing 29 CFR part 98, the part containing the common rule on nonprocurement debarment and suspension that the OMB guidance supersedes. Third, DOL is making technical corrections to provisions within 29 CFR 95 to replace references to the earlier common rule.
Taken together, these regulatory actions are solely an administrative simplification and are not intended to make any substantive change in policies or procedures. In soliciting comments on these actions, we therefore are not seeking to revisit substantive issues that were resolved during the development of the final common rule in 2003. We are inviting comments specifically on any unintended changes in substantive content that the new part in 2 CFR would make relative to the common rule at 29 CFR part 98.
Please submit comments by only one method. Receipt of comments will not be acknowledged; however, the Department will post all comments received on
The Department cautions commenters not to include personal information, such as Social Security Numbers, personal addresses, telephone numbers and email addresses, in comments, as such submitted information will become viewable by the public via
Under the Administrative Procedure Act (5 U.S.C. 553), agencies generally propose a regulation and offer interested parties the opportunity to comment before it becomes effective. However, as described in the “Background” section of this preamble, the policies and procedures in this regulation have been proposed for comment two times—one time by Federal agencies as a common rule in 2003 and a second time by OMB as guidance in 2006—and adopted each time after resolution of the comments received.
This direct final rule is solely an administrative simplification that would make no substantive change in DOL's policy or procedures for debarment and suspension. We therefore believe that the rule is noncontroversial and do not expect to receive adverse comments, although we are inviting comments on any unintended substantive change this rule makes.
Accordingly, we find that the solicitation of public comments on this direct final rule is unnecessary and that “good cause” exists under 5 U.S.C. 553(b)(B) and 553(d) to make this rule effective immediately without further action. However, we are affording the public an opportunity to comment, in the unlikely scenario where unintended consequences are identified. If an adverse comment is received, then the rule will be revoked so that such comments can be considered fully.
OMB has determined this rule to be not significant for purposes of E.O. 12866.
This proposed regulatory action will not have a significant adverse impact on a substantial number of small entities.
This proposed regulatory action does not contain a Federal mandate that will result in the expenditure by State, local, and tribal governments, in aggregate, or by the private sector of $100 million or more in any one year.
This regulatory action will not impose any additional reporting or recordkeeping requirements under the Paperwork Reduction Act.
This proposed regulatory action does not have Federalism implications, as set forth in Executive Order 13132. It will not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.
This proposed regulatory action does not have tribal implications under Executive Order 13175 that would require a tribal summary impact statement. The proposed rule would not have substantial direct effects on one or more Indian tribes, on the relationship between the Federal government and Indian tribes, or on the distribution of power and responsibilities between the Federal government and Indian tribes.
The proposed regulatory action is not subject to Executive Order 12630 because it does not involve implementation of a policy that has takings implications or that could impose limitations on private property use.
Administrative practice and procedure, Debarment and suspension, Government procurement, Grant programs; Grants administration, Reporting and recordkeeping requirements.
Foreign governments, Grants and agreements with institutions of higher education, hospitals, and other non-profit organizations, and with commercial organizations, Organizations under the jurisdiction of foreign governments, and International organizations.
Governmentwide debarment and suspension (nonprocurement).
Accordingly, for the reasons set forth in the preamble, and under the authority of 5 U.S.C. 301; E.O. 12549 (3 CFR, 1986 Comp. p.189); E.O. 12689 (3 CFR, 1989 Comp. p.235); sec 2455 Public Law 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note), the United States Department of Labor amends the Code of Federal Regulations, Title 2, Subtitle B, and Parts 95 and 98 of Subtitle B of Title 29, as follows:
5 U.S.C. 301; E.O. 12549 (3 CFR, 1986 Comp., p.189); E.O. 12689 (3 CFR, 1989 Comp., p.235); sec 2455 Pub. L. 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note).
This part adopts the Office of Management and Budget (OMB) guidance in subparts A through I of 2 CFR part 180, as supplemented by this part, as the Department of Labor (DOL) policies and procedures for non-procurement debarment and suspension. It thereby gives regulatory effect for DOL to the OMB guidance as supplemented by this part. This part satisfies the requirements in section 3 of Executive Order 12549, “Debarment and Suspension” (3 CFR 1986 Comp., p. 189); Executive Order 12689, “Debarment and Suspension” (3 CFR 1989 Comp., p. 235); and section 2455 of the Federal Acquisition Streamlining Act of 1994, 103 (31 U.S.C. 6101 note).
This part and, through this part, pertinent portions of the OMB guidance in subparts A through I of 2 CFR part
(a) Participant or principal in a “covered transaction” (see subpart B of 2 CFR part 180 and the definition of “non-procurement transaction” at 2 CFR 180.970);
(b) Respondent in a Department of Labor suspension or debarment action;
(c) Department of Labor debarment or suspension official; or
(d) Department of Labor grants officer, agreements officer, or other official authorized to enter into any type of non-procurement transaction that is a covered transaction.
(a) The Department of Labor's policies and procedures that you must follow are specified in:
(1) Each applicable section of the OMB guidance in subparts A through I of 2 CFR part 180; and
(2) The supplement to each section of the OMB guidance that is found in this part under the same section number. (The contracts that are covered transactions, for example, are specified by section 220 of the OMB guidance (
(b) For any section of OMB guidance in subparts A through I of 2 CFR part 180 that has no corresponding section in this part, the Department of Labor's policies and procedures are those in the OMB guidance.
Within the Department of Labor, the Secretary of Labor or designee has the authority to grant an exception to let an excluded person participate in a covered transaction, as provided in the OMB guidance at 2 CFR 180.135. If any designated official grants an exception, the exception must be in writing and state the reason(s) for deviating from the government-wide policy in Executive Order 12549.
In addition to the contracts covered under 2 CFR 180.220(b) of the OMB guidance, this part applies to any contract, regardless of tier, that is awarded by a contractor, subcontractor, supplier, consultant, or its agent or representative in any transaction, if the contract is to be funded or provided by the Department of Labor under a covered non-procurement transaction. This extends the coverage of the Department of Labor non-procurement suspension and debarment requirements to all lower tiers of subcontracts under covered non-procurement transactions, as permitted under the OMB guidance at 2 CFR 180.220(c) (see optional lower tier coverage in the figure in the appendix to 2 CFR part 180).
You, as a participant, must include a term or condition in lower-tier transactions requiring lower-tier participants to comply with subpart C of the OMB guidance in 2 CFR part 180, as supplemented by this subpart.
To communicate to a participant the requirements described in 2 CFR 180.435 of the OMB guidance, you must include a term or condition in the transaction that requires the participant's compliance with Subpart C of 2 CFR part 180, and supplemented by subpart C of this part, and requires the participant to include a similar term or condition in lower-tier covered transactions.
5 U.S.C. 301; OMB Circular A-110, as amended, as codified at 2 CFR part 215.
Commodity Credit Corporation and Farm Service Agency, USDA.
Final rule.
The Farm Service Agency (FSA) administers the FSFL Program on behalf of the Commodity Credit Corporation (CCC). This rule amends the FSFL Program regulations to add eligibility for portable storage structures, portable equipment, and storage and handling trucks, and to reduce the down payment and documentation requirements for a new “microloan” category of FSFLs up to $50,000. These changes are intended to address the needs of smaller farms and specialty crop producers. This rule also includes technical and clarifying changes that are consistent with how the FSFL Program is already implemented, including specifying commodities that are already eligible for FSFLs but are not currently listed in the regulations, and changing the required life span of the storage facility from a minimum of 15 years to a minimum of the FSFL term, plus any extensions.
Toni Williams; phone (202) 720-2270.
The FSFL Program is a CCC program administered by FSA. As specified in the CCC Charter Act (15 U.S.C. 714b), the goal of the FSFL Program is to increase producer-owned storage capacity to alleviate national, regional, and local shortages in the storage of eligible commodities. FSFLs are available in amounts up to $500,000 for terms not to exceed 12 years.
The FSFL Program provides low-cost financing for producers to build or upgrade on-farm storage and handling facilities. FSFLs can be used for items such as drying and cooling equipment, safety equipment, and new concrete foundations, as well as for storage buildings and grain bins. The FSFL Program benefits producers who lack local commercial storage options or have limited marketing options for their commodities at harvest time. This rule does not change the basic administrative structure and nature of the FSFL Program.
Having on-farm storage helps producers to sell their crop at a time when the market is favorable for them, rather than being forced to sell immediately after harvest or pay for commercial storage. Producers can use on-farm storage to store livestock feed grown on-farm, rather than buying feed. On-farm storage allows producers to better serve their customers that buy commodities throughout the year. FSFLs are for storage and handling facilities and equipment only; FSFLs are not made for crop production equipment. For example, cold storage facilities to store aquaculture products are eligible for FSFLs, but not tanks in which to raise live aquaculture species.
Eligible commodities for which an FSFL is available include:
• Aquaculture;
• Floriculture;
• Fruits (including nuts) and vegetables;
• Harvested as whole grain: Corn, grain sorghum, rice, soybeans, oats, wheat, sugar, peanuts, barley, and minor oilseeds;
• Harvested as other-than-whole grain: Corn, grain sorghum, wheat, oats, and barley;
• Hay;
• Honey;
• Hops;
• Maple sap;
• Meat and poultry;
• Milk;
• Other grains (triticale, spelt, and buckwheat);
• Pulse crops (lentils, chickpeas, and dry peas);
• Renewable biomass;
• Rye;
• Eggs; and
• Cheese, butter and yogurt.
As part of the application process, FSFL borrowers must demonstrate a satisfactory credit history and an ability to repay the debt. All FSFLs are secured by the facility or equipment for which the FSFL is made. Each FSFL must be secured by a promissory note and security agreement. FSFLs greater than $100,000 require additional security, which typically is a lien on the real estate parcel on which the structure is located or another form of security acceptable to USDA, such as a deed of trust or irrevocable letter of credit. As part of the application process, borrowers must demonstrate their need for storage capacity based on their historical production of eligible commodities.
As part of an ongoing effort to improve the effectiveness of our programs, FSA evaluated the needs of smaller farms and identified potential barriers to their eligibility for FSFLs. Smaller farms and specialty crop producers typically have limited commercial financing options to purchase or upgrade storage and handling facilities that would allow them to expand their business, and with limited capital resererves, may struggle to meet the down payment requirements for FSFLs. Beginning farmers sometimes do not have the production history to demonstrate the need for additional storage capacity. Specialty crop producers have a need for portable equipment such as storage trucks to store and deliver fresh commodities to farmers markets, and need financing to own rather than rent that equipment.
The changes in the rule are primarily intended to help smaller farms and specialty crop producers who have not previously participated in the FSFL Program. Traditional grain producers and large farm operations who have historically been the key customers for the FSFL Program may also benefit if they have a need for portable equipment and portable storage such as portable grain handling equipment and scales, which were not previously eligible for FSFL.
This rule defines “FSFL microloan” as a new category of the FSFL program. An FSFL microloan is a loan for which the producer's total outstanding balance for all of their outstanding FSFLs is less than or equal to $50,000 at the time of loan application and disbursement. This rule defines the down payment and documentation requirements for an FSFL microloan. Some of the requirements for the FSFL microloan category are different from the existing requirements that will continue to apply to all loans greater than $50,000. Producers can have more than one FSFL outstanding at a time, so the definition is based on the “aggregate” or total outstanding balance to the borrower. For example, a new FSFL of $50,000 would be an FSFL microloan if the producer didn't have any other outstanding FSFLs. A producer with an outstanding balance of $20,000 on an existing FSFL could get an additional FSFL for $30,000 and that second FSFL would be considered an FSFL microloan. However, if the second FSFL was for $40,000, then it would not be considered an FSFL microloan because the aggregate total of the two FSFLs would be $60,000, which exceeds the $50,000 FSFL microloan aggregate outstanding balance threshold.
The $50,000 limit for FSFL microloans is consistent with the FSA Farm Loan Programs Microloan Program limit established as specified in section 5106 of the Agricultural Act of 2014 (Pub. L. 113-79, referred to as the 2014 Farm Bill), amending the Consolidated Farm and Rural Development Act of 1972 (Pub. L. 92-419) (7 U.S.C. 1943), to set the limit of $50,000 for the total microloan indebtedness outstanding at any one time to any single borrower.
This rule specifies a smaller down payment for FSFL microloans than for loans over $50,000 and also specifies different documentation requirements. The smaller down payment requirement for FSFL microloans is intended to help small farm operations, such as beginning farmers, niche and non-traditional farm operations. Currently, the FSFL minimum down payment requirement of the net cost of the storage facility is 15 percent, which may be a difficult requirement for small farms or new farm operations. The rule establishes the down payment requirement for an FSFL microloan at 5 percent of the net cost of the eligible storage facility (costs that may be included in the net cost are specified in § 1436.9(b)) for producers who have no
For FSFL applications in the new microloan category, this rule also does not require that producers demonstrate storage needs based on 3 years of production history. Instead, the producer applying for an FSFL microloan will have the option to self-certify the farm's storage needs at the time of application, and will not be required to file acreage reporting on an FSA-578 to qualify for an FSFL microloan. (Many producers will need to continue to file an FSA-578 to establish eligibility for other FSA programs.) This distinction for FSFL microloans as compared to regular FSFLs allows applicants for FSFL microloans to self-certify their commodity storage and handling needs. The change is intended to assist smaller start-up farm operations, which may not be able to meet the existing 3-year production requirement. The self-certified information will be used by FSA county- and State-level personnel to determine FSFL eligibility and feasibility. The requirement to document 3 years of production history to justify storage needs will remain for non-microloan FSFLs to borrowers with an aggregate outstanding FSFL indebtedness above $50,000. FSFL microloans will be for a term of 3, 5 or 7 years, with the loan term selected by the producer at the time of application. The loan term for used equipment will be 3 or 5 years.
This rule expands the FSFL program to include new and used portable storage and handling equipment and storage and handling trucks. Portable or used storage and handling equipment have not previously been eligible for an FSFL. This rule adds definitions for “portable storage and handling equipment” and “storage and handling trucks.” This rule revises the definition of “collateral” to include these new types of equipment. Approval requirements for portable storage and handling equipment and those requirements for storage and handling trucks will be specified in the FSA Handbook.
In § 1436.6, “Eligible storage and handling equipment,” this rule adds new provisions for new and used portable storage and handling equipment. Portable storage and handling equipment includes components such as, but not limited to: Conveyors, augers, vacuums, pilers, scales, batch dryers, storage containers, and other necessary equipment used to handle and maintain eligible commodities being stored. The new provisions ensure efficient operation of the storage and handling of eligible commodities and provides affordable financing so producers can obtain the necessary equipment. For example, if the producer's eligible commodities are fruits and vegetables that sell in farmers markets, the producer will be able to use the FSFL to purchase equipment to weigh vegetables, forklifts to handle the fruits and vegetables, and portable storage containers to store fruits and vegetables for short or extended periods of time. Eligible portable storage facilities include manufactured storage containers that may be used when transported, hitched, or mounted on a trailer or truck for the purpose of storing and handling eligible commodities. All storage and handling trucks must be registered with the applicable State Motor Vehicle Administration (MVA) and all State and local MVA laws, insurance, and title provisions must be adhered to before loan disbursement. The minimum requirement for insurance will require that the producer must obtain insurance equal to the value of the security at the time of loan closing and maintain that insurance for the term of the loan. The insurance obtained by the applicant should be the standard insurance policy for the locality in which the property is located and CCC will be listed as loss payee.
Portable handling equipment for eligible storage commodities will allow a producer to use equipment for more than one storage facility located on the farm. Portable handling equipment includes, but is not limited to, hydraulic self-propelled fork lifts, wheel loaders, grippers, skid steers, front-end loader attachments, or 3-point hitch lifts. Portable handling equipment for eligible storage commodities is often less expensive than affixed equipment, which is especially beneficial to smaller farm operations that may have lower gross incomes available to repay FSFLs.
FSA will add certain details and examples in program related handbooks, that will further explain requirements for types of eligible portable equipment that are being added by this rule. The promise to pay and security requirements for FSFL microloans and other types of FSFL will be outlined in the Promissory Note and Security Agreement, which FSA will provide to the borrower before loan closing. Requirements for how and where to apply for a loan are not changing, and are specified in § 1436.4, “Application for Loans.” Additionally, in order to protect FSA's security interest, throughout the loan term, the Promissory Note and Security Agreement will specify that FSA must have access, which is consistent with the requirement in § 1436.15(e), to the portable collateral to ensure the equipment is being used for its intended purpose and required compliance inspections.
The specific procedures for portable collateral liens, which are applicable to State and local laws for perfecting liens, and allowing FSA physical access to inspect portable collateral to ensure the collateral is being used for its intended purpose will be specified in FSA program related handbooks and in the Promissory Note and Security Agreement. For example, CCC seals with identifiable numbers may be placed on the FSFL portable collateral and storage and handling trucks, and a CCC lien will be recorded at the State or county courthouse for the collateral and with the State MVA for storage and handling trucks, according to State and local laws. This is consistent with current FSFL practice for liens on other types of storage facilities and equipment when the FSFL is $100,000 or less: There is a lien on the collateral (the building or equipment), but no additional security required. Most FSFLs for portable equipment and storage and handling trucks, in general, are expected to be under $100,000, have a maximum of four axles, and have a gross vehicle weight rating of 60,000 lbs. or less.
New and used portable equipment determined to be eligible for an FSFL by the FSA Deputy Administrator for Farm Programs include, but are not limited to, bulk tanks, conveyors, augers, scales, vacuums, pilers, scales, batch dryers, and storage containers. The FSFL request for portable storage and handling equipment will be processed using the existing FSFL process; FSA county office reviewers will review FSFL applications to determine the producer's on-farm production and storage and handling needs for eligible commodities. Loans associated with portable storage and handling equipment and storage and handling trucks may be applied for under an FSFL microloan or regular FSFL request. However, loans for defined used storage and handling equipment or trucks may not have a loan term greater than 5 years.
This rule provides flexibility to the FSA Deputy Administrator for Farm Programs to establish new loan terms, for commodities other than sugar, not to exceed 12 years based on the FSFL principal and request type. With the addition of FSFLs for portable storage and handling equipment and trucks, new or used, and the new provisions for FSFL microloans, we anticipate that the FSFL Program will make a greater number of FSFLs with smaller loan amounts than in the past. Shorter loan terms of 3 or 5 years for example, may be more appropriate for these smaller FSFLs and more specifically, for used portable storage and handling equipment and trucks; in the past, producers have requested a shorter loan term, but that option had not previously been available. For example, producers have asked FSA for shorter loan terms on FSFLs with larger loan amounts so that their real estate collateral does not have a lien for many years.
Prior to this rule, the regulations have specified that no extensions of the loan term (refinancing to extend the maturity date) are possible, and that the FSFL must be repaid in full at the end of the loan term. In order to permit consideration of external factors that may warrant discretion to extend the loan term, this rule allows extensions when, at the discretion of the Deputy Administrator, unforeseen weather events, unexpected changes to a farming operation (such as unexpected or unplanned departure of a member or partner), unexpected low commodity prices, or other matters, as determined appropriate by the Deputy Administrator, adversely impact the borrower's ability to repay the FSFL by the end of the loan's term. The borrower agrees to the loan term (maturity date of the loan) through the Promissory Note at the time of loan distribution. Borrowers who have already agreed to a loan's term have no right to an extension or even the consideration of a request for extension; however, the regulation will permit the Deputy Administrator to exercise discretion to consider a request to extend a loan's term. This will allow FSA to better manage potentially delinquent debt in the portfolio. It is expected that extensions would be for 1 or 2 years, to be decided on a case by case basis.
Although the rule will now allow the Deputy Administrator the discretion to consider extension requests, if the Deputy Administrator chooses not to consider the extension request, then there are no appeal rights because the borrower is not entitled to an extension at any time. However, if the Deputy Administration does consider an extension request and makes a decision to deny the extension or grant a shorter than requested extension, then the borrower may appeal that determination.
In addition to the substantive provisions discussed above, this rule makes a number of clarifying and housekeeping changes to make the rules clear and consistent with how the FSFL Program is currently implemented.
This rule adds a definition for “facility” to specify that a facility includes any on-farm storage and handling facility or structure, storage and handling equipment, or storage and handling truck.
This rule adds a definition for “off farm paid labor.” This definition is needed to clarify that paying workers who are not regular or seasonal employees, but are only hired to construct or install the storage facility, is an eligible FSFL expense.
This rule specifies the full list of currently eligible commodities in the definition of “facility loan commodity.” The CCC Charter Act, in 15 U.S.C. 714b, authorizes CCC to make FSFLs to grain producers needing grain storage facilities in areas where the Secretary determines a deficiency of such storage exists. The Food, Conservation, and Energy Act of 2008 (Pub. L. 110-246, referred to as the 2008 Farm Bill) provides discretionary authority to the Secretary to add additional storable commodities to the list of eligible crops for the FSFL Program. FSA's intent for adding new FSFL commodities is to provide increased access to capital to smaller and specialty producers to purchase and erect storage, drying, and handling facilities for their commodities.
FSA has used this authority, as delegated by the Secretary, to add eligible commodities through notices to the field and handbook changes.
This rule therefore changes the definition of “facility loan commodity” to add the discretionary additional commodities that are already eligible for FSFLs, but are not listed in the regulations. These commodities include specialty grains (triticale, spelt, and buckwheat), floriculture (flowers and ornamental plants), honey, maple sap, hops, rye, milk, cheese, butter, yogurt, meat, poultry, eggs, and aquaculture. A conforming change is made in § 1436.2, “Administration,” to include the additional eligible commodities. In multiple sections, specific references to fruits, vegetables, and grains are removed, since many other types of commodities are eligible for the FSFL Program.
This rule amends the regulations in § 1436.9, “Loan Amount and Loan Application Approvals,” to change the expiration of the 4 month FSFL approval period to 6 months, which was already implemented administratively. As part of the FSFL application process, the county committee determination form is provided to the applicant as part of the application package; on that form, it specifies the 6 month expiration date of the approval and specifies that loan funds will not be disbursed, except for any partial loan disbursement as allowed under the regulation, until the structure has been constructed, assembled, or installed and inspected. As indicated in the county committee determination form and this rule, as amended, 6 months is the timeframe, from approval to expiration, during which the facility must be completely and fully delivered, erected, constructed, assembled, or installed and a CCC representative has inspected and approved the facility. As specified in § 1436.9(a), the cost on which the FSFL is based is the net cost of the eligible facility, accessories, and services; those costs are not known until the FSFL construction or acquisition project is completed. Changing the expiration of the approval period to 6 months helps producers who have difficulty completing their FSFL project in 4 months. For various reasons, such as weather conditions, equipment delivery, or construction scheduling, FSA determined it usually takes more than 4 months for an FSFL construction project to be completed or equipment to be installed. Over a 2-year period, FSA piloted an FSFL approval change from 4 months to 6 months and confirmed the change was beneficial to producers and FSA staff. FSFL producers may also request an additional FSFL approval extension beyond 6 months, if it is determined necessary for the producer to complete the FSFL construction project. For example, if the FSFL request was approved on January 4 and was recorded as having an FSFL loan approval expiration date of July 4, then the producer would need to finish the FSFL project and have receipts from all the suppliers by July 4th. However, the producer may request an additional 6 months for a loan approval extension in June, before the loan approval window expires. After approval by the State or County Office Committee, the loan approval period in this example would be extended to January 4 of the following year.
Current FSFL provisions require that the storage facility or equipment must have a useful life of at least 15 years. That may not be a realistic requirement for portable equipment, so this rule changes the requirement for all FSFL storage and handling equipment, trucks and structures to have a useful life of at least the term of the loan and any authorized loan term extensions.
This rule revises the provisions in § 1436.1, “Applicability,” to specify that unless otherwise specified in the regulation all of the provisions of 7 CFR part 1436 apply to FSFL microloans. This rule also revises the provisions in § 1436.4, “Application for Loans,” to specify where the FSFL application must be submitted.
Aquaculture is one of the eligible commodities added to the definition of “facility loan commodity.” Aquaculture species, for FSFL purposes, are defined as any species of aquatic organism grown as food for human consumption, or fish raised as feed for fish that are consumed by humans. Aquaculture species are perishable commodities and their quality can only be maintained for a limited period of time. The FSFL program provides cold storage facilities which may extend this period of time. The aquaculture storage capacity will be determined based on production for 1 year. All applicable State laws must be followed by the producer for storing aquaculture in the FSFL storage facility.
Pending a completed Environmental Assessment (EA), consistent with the National Environmental Policy Act (NEPA, 42 U.S.C. 4321-4347), and the Clean Water Act, FSA will consider whether the FSFL program could authorize holding or storage structures that will have uptake or discharge water that comes from natural sources, tributaries, coastal and ocean waters, or perennial waterways. FSA is currently making preparations to have the Environmental Assessment (EA) completed. Once the EA is completed, the findings will be posted on the FSA Web site at
This rule provides flexibility for the FSA Deputy Administrator, Farm Programs, or a State Committee to rescind authorization for self-certification of storage needs for FSFL microloans or provisions authorizing eligibility of portable collateral, such as storage and handling equipment and storage and handling trucks when it is determined such actions are having an adverse effect on the financial integrity of the FSFL Program. For example, if the FSFL default rate rises for smaller FSFLs or storage and handling equipment and trucks, specifically, portable facility FSFLs, FSA would have the ability to remove or implement additional administrative provisions, such as requiring additional security at a determined threshold, but not less than $50,000, to protect CCC's financial interest at the State or the national level. The authority can only be exercised at the State or national level; it cannot be used to disapprove or to add documentation requirements for individual FSFLs.
In general, the Administrative Procedure Act (5 U.S.C. 553) requires that a notice of proposed rulemaking be published in the
The Administrative Procedure Act (5 U.S.C. 553) provides generally that before rules are issued by Government agencies, the rule must be published in the
Executive Order 12866, “Regulatory Planning and Review,” and Executive Order 13563, “Improving Regulation and Regulatory Review,” direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility.
The Office of Management and Budget (OMB) designated this final rule as not significant under Executive Order 12866 and, therefore, OMB did not review this final rule.
The Regulatory Flexibility Act (5 U.S.C. 601-612), as amended by the Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA), generally requires an agency to prepare a regulatory flexibility analysis of any rule subject to the notice and comment rulemaking requirements under the Administrative Procedure Act (5 U.S.C. 553) or any other statute, unless the agency certifies that the rule will not have a significant economic impact on a substantial number of small entities. This rule is not subject to the Regulatory Flexibility Act because CCC is not required by any law to publish a proposed rule for public comments for this rulemaking.
The environmental impacts of this rule have been considered in a manner consistent with the provisions of NEPA, the regulations of the Council on Environmental Quality (40 CFR parts 1500-1508), and the FSA regulations for compliance with NEPA (7 CFR 799). Previous changes to the FSFL Program were analyzed and evaluated in a Programmatic Environmental Assessment and subsequent Finding of No Significant Impact (74 FR 71674) after the 2008 Farm Bill. FSA has determined that the provisions defined herein will not have a significant impact on the quality of the human environment either individually or cumulatively. Therefore, no Environmental Assessment or Environmental Impact Statement will be prepared for these regulatory changes. To consider additional FSFL provisions for aquaculture beyond those included in this rule, an Environmental
Executive Order 12372, “Intergovernmental Review of Federal Programs,” requires consultation with State and local officials that would be directly affected by proposed Federal financial assistance. The objectives of the Executive Order are to foster an intergovernmental partnership and a strengthened Federalism, by relying on State and local processes for State and local government coordination and review of proposed Federal Financial assistance and direct Federal development. For reasons specified in the final rule related notice to 7 CFR part 3015, subpart V (48 FR 29115, June 24, 1983), the programs and activities within this rule are excluded from the scope of Executive Order 12372.
This rule has been reviewed in accordance with Executive Order 12988, “Civil Justice Reform.” This rule will not preempt State or local laws, regulations, or policies unless they present an irreconcilable conflict with this rule. This rule will not have retroactive effect. Before any judicial action may be brought regarding the provisions of this rule, the administrative appeal provisions of 7 CFR parts 11 and 780 are to be exhausted.
This rule has been reviewed under Executive Order 13132, “Federalism.” The policies contained in this rule do not have any substantial direct effect on 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, except as required by law. Nor will this rule impose substantial direct compliance costs on State and local governments. Therefore, consultation with the States is not required.
This rule has been reviewed in accordance with the requirements of Executive Order 13175, “Consultation and Coordination with Indian Tribal Governments.” Executive Order 13175 requires Federal agencies to consult and coordinate with tribes on a government-to-government basis on policies that have tribal implications, including regulations, legislative comments or proposed legislation, and other policy statements or actions that have substantial direct effects on one or more Indian tribes, on the relationship between the Federal government and Indian tribes or on the distribution of power and responsibilities between the Federal government and Indian tribes.
FSA has assessed the impact of this rule on Indian tribes and determined that this rule does not, to our knowledge, have tribal implications that require tribal consultation under Executive Order 13175. If a Tribe requests consultation, FSA will work with the USDA Office of Tribal Relations to ensure meaningful consultation is provided.
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA, Pub. L. 104-4) requires Federal agencies to assess the effects of their regulatory actions on State, local, and Tribal governments or the private sector. Agencies generally must prepare a written statement, including a cost benefit analysis, for proposed and final rules with Federal mandates that may result in expenditures of $100 million or more in any 1 year for State, local, or Tribal governments, in the aggregate, or to the private sector. UMRA generally requires agencies to consider alternatives and adopt the more cost effective or least burdensome alternative that achieves the objectives of the rule. This rule contains no Federal mandates, as defined in Title II of UMRA, for State, local, or tribal governments or the private sector. Therefore, this rule is not subject to the requirements of sections 202 and 205 the UMRA.
This rule is not a major rule under SBREFA (Pub. L. 104-121). Therefore, there is no requirement to delay the effective date for 60 days from the date of publication to allow for Congressional review. This rule is effective on the date of publication in the
The title and number of the Federal Domestic Assistance Program in the Catalog of Federal Domestic Assistance to which this rule applies is the Farm Storage Facility Loans—10.056.
The regulations in this rule are exempt from requirements of the Paperwork Reduction Act (44 U.S.C. Chapter 35), as specified in section 1601(c)(2) of the 2008 Farm Bill, which provides that the regulations for the programs in Title I of the 2008 Farm Bill be promulgated and administered without regard to the Paperwork Reduction Act.
FSA is committed to complying with the E-Government Act, to promote the use of the Internet and other information technologies to provide increased opportunities for citizen access to Government information and services, and for other purposes.
Administrative practice and procedure, Loan programs-agriculture, Penalties, Price support programs, Reporting and recordkeeping requirements.
For the reasons discussed above, CCC amends 7 CFR part 1436 as follows:
7 U.S.C. 7971 and 8789; and 15 U.S.C. 714-714p.
(b) Unless specified otherwise in this part, for FSFL microloans, all provisions of this part apply.
(g) The purpose of the Farm Storage Facility Loan Program is to provide CCC funded loans for producers of grains, oilseeds, pulse crops, sugar, hay, renewable biomass, fruits and vegetables (including nuts), aquaculture, butter, cheese, eggs, floriculture, honey, hops, maple sap, meat, milk, poultry, rye, yogurt, and other grains and storable commodities, as determined by the Secretary, to construct or upgrade storage and handling facilities for the eligible facility loan commodities they produce.
The additions and revisions read as follows:
(a) An application for an FSFL must be submitted to the administrative FSA county office that maintains the records of the farm or farms to which the applicant applies. If some or all of the land does not have farm records established, the application may be submitted to the FSA county office that services the county where the FSFL financed equipment or facility will be primarily located.
(e) The application must include documentation of the need for storage, or for FSFL microloans self-certification, as specified in § 1436.9.
The revisions and additions read as follows:
(a) All eligible storage and handling facilities must be one of the following types:
(1) Conventional-type cribs or bins designed and engineered for whole grain storage and having a useful life of at least the entire term of the loan;
(2) Oxygen-limiting storage structures or remanufactured oxygen-limiting storage structures built to the original manufacturer's design specifications using original manufacturer's rebuild kits or kits from a supplier approved by the Deputy Administrator, Farm Programs, and other upright silo-type structures designed for whole grain storage or other than whole grain storage and with a useful life of at least the entire term of the loan;
(3) Flat-type storage structures including a permanent concrete floor, designed for and primarily used to store facility loan commodities for the term of the loan and having a useful life of at least the entire term of the loan;
(4) Structures that are bunker-type, horizontal, or open silo structures designed for whole grain storage or other than whole grain storage and having a useful life of at least the entire term of the loan;
(5) Structures suitable for storing hay that are built according to acceptable design guidelines from the National Institute of Food and Agriculture (NIFA) or land-grant universities and with a useful life of at least the entire term of the loan;
(6) Structures suitable for storing renewable biomass that are built according to acceptable industry guidelines and with a useful life of at least the entire term of the loan; or
(7) Bulk storage tanks, as approved by the Deputy Administrator, suitable for storing any eligible loan commodity, as determined appropriate by county committees and having a useful life of at least the entire term of the loan.
(b) * * *
(1) Drying and handling equipment, including perforated floors determined by the FSA approving committee to be needed and essential to the proper functioning of the storage system;
(d) Loans for all eligible facility loan commodities, except sugar, may be approved for financing additions to or modifications of an existing storage facility with an expected useful life of at least the entire term of the loan if the county committee determines there is a need for the capacity of the structure, but loans will not be approved solely for the replacement of worn out items such as motors, fans, or wiring.
(e) Loans for all eligible facility loan commodities, except sugar, may be approved for facilities provided the completed facility has a useful life of at least the entire term of the loan. The pre-owned facility must be purchased and moved to a new location. Eligible items for such a loan include costs such as bin rings or roof panels needed to make a purchased pre-owned structure useable, aeration systems, site preparation, construction off-farm paid labor cost, foundation material and off-farm paid labor. Ineligible items for such a loan include the cost of purchasing and moving the used structure.
(g) * * *
(2) * * *
(i) A cold storage facility of wood pole and post construction, steel, or concrete, that is suitable for storing cold storage commodities produced by the borrower and having a useful life of at least the entire term of the loan;
(ii) Walk-in prefabricated cold storage coolers that are suitable for storing the producer's cold storage commodities and having a useful life of at least the entire term of the loan;
(iii) Equipment necessary for a cold storage facility such as refrigeration units or system and circulation fans;
(iv) Equipment to maintain or monitor the quality of commodities stored in a cold storage facility;
(3) FSFLs may be approved for financing additions or modifications to an existing storage facility having an expected useful life of at least the entire term of the loan if CCC determines there is a need for the capacity of the cold storage facility.
(4) FSFLs will not be made for structures or equipment that are not suitable for facility loan commodities that require cold storage.
(h) Storage and handling trucks for facility loan commodities are authorized according to guidelines established by the Deputy Administrator. Storage and handling trucks may include, but are not limited to, cold storage reefer trucks, grain haulers, and may also include storage trucks with a chassis unit. The Deputy Administrator, Farm Programs, or a State Committee may rescind this provision on a Statewide basis if it is determined that allowing loans for storage and handling trucks has increased loan defaults and is not in the best interest of CCC.
(i) The loan collateral must be used for the purpose for which it was delivered, erected, constructed, assembled, or installed for the entire term of the loan.
(a) For eligible facility loan commodities other than sugar, the term of the loan will not exceed 12 years, based on the total loan principal and loan request type, from the date a promissory note and security agreement is completed on both the partial and final loan disbursement. As determined by the Deputy Administrator, used equipment FSFLs may have a loan term of 3 or 5 years. The applicant will choose a loan term, based on the loan request type at the time of submitting the loan application and total cost estimates. Available loan terms are 3, 5, 7, 10, or 12 years; available terms for a specific loan will be based on the loan principal and facility or equipment type.
(b) The Deputy Administrator has the discretion and authority to extend loan terms for 1 or 2 years, on a case by case basis. Loan term extensions will only be granted after a written request is received from the producer before loan term expires and when determined appropriate by Deputy Administrator to assist borrowers with additional loan servicing options. Producers and participants who have already agreed to the loan term (maturity date) have no right to an extension of the loan term. The borrower agrees to the loan term through the Promissory Note at the time of distribution. The Deputy Administrator's refusal to exercise discretion to consider an extension will not be considered an adverse decision or a failure to act under any law or regulation and, therefore, is not appealable. Participants are not entitled to extensions or the consideration of a request for extension.
The addition and revision read as follows:
(a) * * *
(3) CCC will hold title in accordance to applicable State laws and motor vehicle administration title provisions, to all eligible equipment, structures, components and storage and handling
(b) * * *
(1) Agree to increase the down payment on the facility loan from 15 percent to 20 percent, except for an FSFL microloan; or
The revisions and addition read as follows:
(b) The net cost for all facilities:
(c) The maximum total principal amount of the FSFL, except for FSFL microloans, is 85 percent of the net cost of the applicant's needed facility, not to exceed $500,000 per loan. For FSFL microloans the maximum total principal amount of the farm storage facility loan is 95 percent of the net costs of the applicant's needed storage, handling facility, including drying and handling equipment, or storage and handling trucks, not to exceed an aggregate outstanding balance of $50,000.
(d) * * *
(3) * * *
(i) Multiply the average of the applicant's share of production or of acres farmed for the most recent 3 years for each eligible commodity requiring cold storage at the proposed facility;
(4) For all eligible facility loan commodities, except sugar, if acreage data is not practicable or available for State and County Committees or authorized FSA staff to determine the storage need, specifically, but not limited to, maple sap, eggs, butter, cheese, yogurt, milk, meat and poultry, a reasonable production yield, such as ERS or NASS data may be used to determine the storage capacity need. A reasonable production yield may also be used for newly acquired farms, specialty farming, changes in cropping operations, prevented planted acres, or for facility loan commodities being grown for the first time.
(5) For FSFL microloans if the FSA State and county committees determine that self-certification is practicable based on the applicant's farm operation, then CCC may allow applicants to self-certify to the storage capacity need. The Deputy Administrator, Farm Programs, or an FSA State committee may rescind the FSFL microloan provision on a Statewide basis if it is determined that allowing FSFL microloans has increased the likelihood of loan defaults and is not in the best interest of CCC.
(h) The Farm storage facility loan approval period, which is the timeframe, from approval until expiration, during which the facility must be completely and fully delivered, erected, constructed, assembled, or installed and a CCC representative has inspected and approved such facility for all eligible facility loan commodities except sugar, will expire 6 months after the date of approval unless extended in writing for an additional 6 months by the FSA State Committee. A second 6 month extension, for a total of 18 months from the original approval date, may be approved by the FSA State Committee. This authority will not be re-delegated. Sugar storage facility loan approvals will expire 8 months after the date of approval unless extended in writing for an additional 4 months by the FSA State Committee.
The addition reads as follows:
(d) The minimum down payment for an FSFL will be 5 percent for an FSFL microloan and 15 percent for all other FSFLs, with the down payment to be calculated as a percentage of net cost as specified in § 1436.9. As specified in § 1436.8, a larger down payment may be required to meet security requirements.
The revision reads as follows:
(a) The borrower must maintain the loan collateral in a condition suitable for the storage or handling of one or more of the facility loan commodities.
Office of Energy Efficiency and Renewable Energy, Department of Energy.
Final rule.
On November 4, 2015, the U.S. Department of Energy (DOE) issued a notice of proposed rulemaking (NOPR) to clarify the test procedures for fluorescent lamp ballasts. That proposed rulemaking serves as the basis for the final rule. DOE is issuing a final rule to replace all instances of ballast efficacy factor (BEF) with ballast luminous efficiency (BLE) in its regulations concerning fluorescent lamps ballasts and to add rounding instructions to the same section for BLE and power factor. DOE is also clarifying the represented value instructions for power factor. Finally, DOE is amending Appendix Q to clarify the lamp-ballast pairings for testing.
The effective date of this rule is May 31, 2016. The final rule changes will be mandatory for product testing starting June 28, 2016.
The incorporation by reference of certain material listed in this rule is approved by the Director of the Federal Register as of May 31, 2016.
The docket, which includes
A link to the docket Web page can be found at:
For further information on how to review the docket, contact Ms. Brenda Edwards at (202) 586-2945 or by email:
DOE is incorporating by reference the following industry standards into 10 CFR part 430.
(1) ANSI _IEC78.901-2005, Revision of ANSI C78.901-2001 (“ANSI C78.901”), American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics, approved March 23, 2005.
(2) IEC
Copies of ANSI C78.901 and IEC 60081 can be obtained from the American National Standards Institute, 25 West 43rd Street, 4th Floor, New York, NY 10036, (212) 642-4900, or go to
Copies of these industry standards can also be reviewed in person at U.S. Department of Energy, Building Technologies Program, 950 L'Enfant Plaza SW., Suite 600, Washington, DC, 20024. For further information on accessing standards incorporated by reference, contact Ms. Brenda Edwards at (202) 586-2945 or by email:
This standard is discussed further in section IV.M.
Title III, Part B
Under EPCA, the energy conservation program consists essentially of four parts: (1) Testing, (2) labeling, (3) Federal energy conservation standards, and (4) certification and enforcement procedures. The testing requirements consist of test procedures that manufacturers of covered products must use as the basis for (1) certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA, and (2) making representations about the efficiency of those products. Similarly, DOE must use these test procedures to determine whether the products comply with any relevant standards promulgated under EPCA.
DOE published test procedure final rules on April 24, 1991, October 22, 2009, and May 4, 2011 (hereafter the “May 2011 test procedure final rule”), establishing active mode test procedures, standby and off mode test procedures, and revised active mode test procedures respectively. 56 FR 18677, 74 FR 54445, and 76 FR 25211. The May 2011 test procedure final rule established Appendix Q1
This final rule adopts additional clarifications in support of the current test procedure. On November 4, 2015, DOE published a NOPR (hereafter the “November 2015 NOPR”) proposing clarifications to the test procedures for fluorescent lamp ballasts. 80 FR 68274. That notice of proposed rulemaking serves as the basis for this final rule.
Under 42 U.S.C. 6293, EPCA sets forth the criteria and procedures DOE must follow when prescribing or amending test procedures for covered products. EPCA provides that any test procedures prescribed or amended under this section shall be reasonably designed to produce test results which measure energy efficiency, energy use or
In addition, if DOE determines that a test procedure amendment is warranted, it must publish proposed test procedures and offer the public an opportunity to present oral and written comments on them. (42 U.S.C. 6293(b)(2)) Finally, in any rulemaking to amend a test procedure, DOE must determine to what extent, if any, the proposed test procedure would alter the measured energy efficiency of any covered product as determined under the existing test procedure. (42 U.S.C. 6293(e)(1))
With respect to this rulemaking, DOE has determined that the four amendments it is adopting (replacing ballast efficacy factor with ballast luminous efficiency [described in section III.A], rounding requirements for ballast luminous efficiency [described in section III.B], rounding and represented value requirements for power factor [described in section III.C] and lamp pairings for testing [described in section III.D]) will not change the measured energy use of fluorescent lamp ballasts when compared to the current test procedure.
In this final rule, DOE is amending the test procedure with several clarifications to the requirements for fluorescent lamp ballasts. DOE is replacing all instances of ballast efficacy factor (BEF) with ballast luminous efficiency (BLE) in 10 CFR 429.26 and adding rounding instructions in 10 CFR 429.26 for BLE and power factor. DOE is also clarifying the represented value instructions for power factor. Finally, DOE is revising Appendix Q to clarify the lamp-ballast pairings for testing.
Manufacturers are required to comply with the requirements included in this rulemaking starting 60 days after the publication of the final rule.
Manufacturers were previously required to use the test procedure for fluorescent lamp ballasts at 10 CFR part 430, subpart B, appendix Q to determine compliance with DOE's standards, which were expressed in terms of a BEF metric. The May 2011 test procedure final rule, which changed the test procedure to a measurement of BLE, established appendix Q1 to subpart B of 10 CFR part 430 to determine compliance with DOE's fluorescent lamp ballast standards. 76 FR 25211. On November 14, 2011, DOE issued amended standards for fluorescent lamp ballasts based on BLE and compliance with those standards has been required since November 14, 2014. 76 FR 70548. 10 CFR 430.32(m). Because the fluorescent lamp ballast standards based on BEF are no longer applicable, the June 2015 clarification final rule removed the test procedure for BEF at Appendix Q and redesignated the Appendix Q1 test procedure for BLE as Appendix Q. 80 FR 31971. To support the transition from BEF to BLE, DOE proposed in the November 2015 NOPR to replace all instances of BEF with BLE in 10 CFR 429.26.
NEMA commented that they agreed with DOE's suggested changes. (NEMA, No. 33 at p. 1)
Currently, rounding requirements are not provided for the represented value of BLE. When developing standards in the November 2011 standards final rule, DOE rounded BLE to the thousandths place when analyzing the costs and benefits of the adopted standard. For consistency with the November 2011 standards final rule, DOE proposed to specify rounding the represented value of BLE to the nearest thousandths place in a NOPR proposing clarifications to the test procedures for fluorescent lamp ballasts published on January 6, 2015 (hereafter the “January 2015 clarification NOPR”). 80 FR 404. NEMA agreed that rounding to the thousandths place is acceptable as long as significant figures are handled correctly. (NEMA, No. 30 at p. 3) However, DOE determined that rounding requirements would be more appropriately addressed in 10 CFR 429.26,
NEMA commented that they agreed with DOE's proposed amendments in the November 2015 NOPR. (NEMA, No. 33 at p. 1) DOE received no further comments on this clarification. Thus, based on the reasons presented in the November 2015 NOPR, DOE is adopting the clarification in 10 CFR 429.26 that the represented value of BLE must be rounded to the nearest thousandths place.
Currently, rounding requirements are not provided for the represented value of power factor. Manufacturers have shown the capability to round to the nearest hundredths place. When reporting power factor in product literature and data sheets, it is standard for manufacturers to round to the nearest hundredths place. In the November 2015 NOPR, DOE proposed to amend 10 CFR 429.26 by specifying that the power factor must be rounded to the nearest hundredths place. DOE also proposed to add power factor to 10 CFR 429.26(a)(2)(ii) to clearly indicate the requirements for calculating the represented value of power factor prior to rounding.
NEMA commented that they agreed with DOE's proposed amendments. (NEMA, No. 33 at p. 1) DOE received no additional comments on the changes regarding power factor. Based on the reasons presented in the November 2015 NOPR, DOE is adopting the changes to 10 CFR 429.26 regarding power factor in this final rule.
In the May 2011 test procedure final rule, DOE specified that ballasts are to be paired with the most common wattage lamp and provided a table (Table A of appendix Q of subpart B of 10 CFR part 430) to indicate which lamp should be used with each ballast. 76 FR 25211. Table A lists the ballast description along with the lamp type intended for testing. Though ballasts can frequently operate lamps of the same diameter but different wattages, DOE requires testing with only one lamp wattage per ballast. To clarify this requirement, in the January 2015 clarification NOPR, DOE proposed to indicate in section 2.3.1.7 of Appendix Q that each ballast should be tested with only one lamp type corresponding to the lamp diameter and base type the ballast is designed and marketed to operate. 80 FR 404, 415. For example, a ballast designed and marketed to operate both 32 watt (W) 4-foot medium bipin (MBP)
Regarding the proposal in the January 2015 clarification NOPR, NEMA recommended that DOE include the American National Standards Institute (ANSI) lamp abbreviations from ANSI C78.81
In the November 2015 NOPR, DOE agreed that referencing the ANSI and IEC lamp specifications would further clarify the lamp pairings used for testing. Section 2.3.1.3 of Appendix Q states that the fluorescent lamp used for testing must meet the specifications of a reference lamp as defined by ANSI C82.13 (IBR 430.3), and ANSI C82.13 states that the lamps used must operate at values of lamp voltage, lamp wattage and lamp current, each within 2.5 percent of the values given in the corresponding lamp standards found in ANSI C78.81 and ANSI C78.901. Therefore in the November 2015 NOPR, DOE proposed to add the appropriate page number corresponding to the lamp specifications in ANSI_ANSLG C78.81-2010 (hereafter “ANSI C78.81-2010”), ANSI_IEC C78.901-2005 (hereafter “ANSI C78.901-2005”),
NEMA commented that they agreed with DOE's proposed amendments. (NEMA, No. 33 at p. 1) DOE received no additional comments regarding the addition of page number references to Table A of Appendix Q. Based on the reasons presented in the November 2015 NOPR, DOE is adopting these changes in this final rule.
The Office of Management and Budget (OMB) has determined that test procedure rulemakings do not constitute “significant regulatory actions” under section 3(f) of Executive Order 12866, Regulatory Planning and Review, 58 FR 51735 (Oct. 4, 1993). Accordingly, this action was not subject to review under the Executive Order by the Office of Information and Regulatory Affairs (OIRA) in OMB.
The Regulatory Flexibility Act (5 U.S.C. 601
This rulemaking clarifies existing requirements for testing and compliance with standards and does not change the burden associated with fluorescent lamp ballast regulations on any entity, large or small. Therefore, DOE concludes and certifies that this rulemaking will not have a significant economic impact on a substantial number of small entities.
Accordingly, DOE did not prepare a regulatory flexibility analysis for this rulemaking. DOE's certification and supporting statement of factual basis will be provided to the Chief Counsel for Advocacy of the SBA
Manufacturers of fluorescent lamp ballasts must certify to DOE that their products comply with any applicable energy conservation standards. In certifying compliance, manufacturers must test their products according to the DOE test procedures for fluorescent lamp ballasts, including any amendments adopted for those test procedures. DOE has established regulations for the certification and recordkeeping requirements for all covered consumer products and commercial equipment, including fluorescent lamp ballasts. See generally, 10 CFR part 429, subpart B. The collection-of-information requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA).
DOE requested OMB approval of an extension of this information collection for three years, specifically including the collection of information proposed in the present rulemaking, and estimated that the annual number of burden hours under this extension is 30 hours per company. In response to DOE's request, OMB approved DOE's information collection requirements covered under OMB control number 1910-1400 through November 30, 2017. 80 FR 5099 (January 30, 2015).
Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB Control Number.
In this final rule, DOE amends its test procedure for fluorescent lamp ballasts. DOE has determined that this rule falls into a class of actions that are categorically excluded from review under the National Environmental Policy Act of 1969 (42 U.S.C. 4321
Executive Order 13132, “Federalism,” 64 FR 43255 (August 4, 1999), imposes certain requirements on agencies formulating and implementing policies or regulations that preempt State law or that have Federalism implications. The Executive Order requires agencies to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and to carefully assess the necessity for such actions. The Executive Order also requires agencies to have an accountable process to ensure meaningful and timely input by State and local officials in the development of regulatory policies that have Federalism implications. On March 14, 2000, DOE published a statement of policy describing the intergovernmental consultation process it will follow in the development of such regulations. 65 FR 13735. DOE examined this final rule and determined that it 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. EPCA governs and prescribes Federal preemption of State regulations as to energy conservation for the products that are the subject of this final rule. States can petition DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297(d)) No further action is required by Executive Order 13132.
Regarding the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, “Civil Justice Reform,” 61 FR 4729 (Feb. 7, 1996), imposes on Federal agencies the general duty to adhere to the following requirements: (1) Eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; (3) provide a clear legal standard for affected conduct rather than a general standard; and (4) promote simplification and burden reduction. Section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation: (1) Clearly specifies the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in sections 3(a) and 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, this final rule meets the relevant standards of Executive Order 12988.
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) requires each Federal agency to assess the effects of Federal regulatory actions on State, local, and Tribal governments and the private sector. Public Law 104-4, sec. 201 (codified at 2 U.S.C. 1531). For a regulatory action resulting in a rule that may cause the expenditure by State, local, and Tribal governments, in the aggregate, or by the private sector of $100 million or more in any one year (adjusted annually for inflation), section 202 of UMRA requires a Federal agency to publish a written statement that estimates the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to develop an effective process to permit timely input by elected officers of State, local, and Tribal governments on a proposed “significant intergovernmental mandate,” and requires an agency plan for giving notice and opportunity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect small governments. On March 18, 1997, DOE published a statement of policy on its process for intergovernmental consultation under UMRA. 62 FR 12820; also available at
Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This final rule will not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to prepare a Family Policymaking Assessment.
DOE has determined, under Executive Order 12630, “Governmental Actions and Interference with Constitutionally Protected Property Rights” 53 FR 8859 (March 18, 1988), that this regulation will not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution.
Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516 note) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (Feb. 22, 2002), and DOE's guidelines were published at 67 FR 62446 (Oct. 7, 2002). DOE has reviewed this final rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines.
Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use,” 66 FR 28355 (May 22, 2001), requires Federal agencies to prepare and submit to OMB, a Statement of Energy Effects for any significant energy action. A “significant energy action” is defined as any action by an agency that promulgated or is expected to lead to promulgation of a final rule, and that: (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy; or (3) is designated by the Administrator of OIRA as a significant energy action. For any significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use if the regulation is implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use.
This regulatory action is not a significant regulatory action under
Under section 301 of the Department of Energy Organization Act (Pub. L. 95-91; 42 U.S.C. 7101), DOE must comply with section 32 of the Federal Energy Administration Act of 1974, as amended by the Federal Energy Administration Authorization Act of 1977. (15 U.S.C. 788; FEAA) Section 32 essentially provides in relevant part that, where a proposed rule authorizes or requires use of commercial standards, the notice of proposed rulemaking must inform the public of the use and background of such standards. In addition, section 32(c) requires DOE to consult with the Attorney General and the Chairman of the Federal Trade Commission (FTC) concerning the impact of the commercial or industry standards on competition.
The proposed modifications to the test procedures addressed by this action reference certain sections of the commercial standards, ANSI C78.901-2005, “American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics” and IEC 60081, “International Electrotechnical Commission Double-capped fluorescent lamps—Performance specifications” (Amendment 4, Edition 5.0). DOE has evaluated these two standards and is unable to conclude whether they fully comply with the requirements of section 32(b) of the FEAA (
In this final rule, DOE incorporates by reference the test standard titled ANSI C78.901-2005, “American National Standard for Electric Lamps—Single-Based Fluorescent Lamps—Dimensional and Electrical Characteristics”. The proposed modifications to the test procedures addressed by this action reference certain sections of this commercial standard. ANSI C78.901 is readily available at
DOE also incorporates by reference the test standard published by IEC, titled “International Electrotechnical Commission Double-capped fluorescent lamps—Performance specifications,” IEC 60081 (Amendment 4 Edition 5.0, 2010-02). IEC 60081 is an industry accepted standard that specifies dimensional and electrical characteristics related to fluorescent lamps (specifically T5 lamps) and is applicable to products sold in North America. The description of lamp-ballast pairings for testing amended in this final rule references IEC 60081. IEC 60081 is readily available on IEC's Web site at
As required by 5 U.S.C. 801, DOE will report to Congress on the promulgation of this rule before its effective date. The report will state that it has been determined that the rule is not a “major rule” as defined by 5 U.S.C. 804(2).
The Secretary of Energy has approved publication of this final rule.
Confidential business information, Energy conservation, Household appliances, Imports, Reporting and recordkeeping requirements.
Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Imports, Incorporation by reference, Intergovernmental relations, Small businesses.
For the reasons stated in the preamble, DOE amends parts 429 and 430 of chapter II, subchapter D, of title 10, Code of Federal Regulations, as set forth below:
42 U.S.C. 6291-6317.
(a) * * *
(2) * * *
(ii) Any represented value of the ballast luminous efficiency, power factor, or other measure of the energy efficiency or energy consumption of a basic model for which consumers would favor a higher value must be less than or equal to the lower of:
(b) * * *
(2) Pursuant to § 429.12(b)(13), a certification report must include the following public product-specific information: The ballast luminous efficiency, the power factor, the number of lamps operated by the ballast, and the type of lamps operated by the ballast.
(c)
(2) Round power factor to the nearest hundredths place.
42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.
(p) * * *
(2) IEC Standard 60081, (“IEC 60081”),
2.3 * * *
Federal Aviation Administration (FAA), DOT.
Final rule.
This action establishes Class E airspace extending upward from 700 feet above the surface at South Grand Lake Regional Airport, Ketchum, OK, to accommodate new Standard Instrument Approach Procedures for the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, July 21, 2016. The Director of the Federal Register approves this incorporation by reference action under Title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Z, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points is published yearly and effective on September 15.
Rebecca Shelby, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it establishes Class E airspace at South Grand Lake Regional Airport, Ketchum, OK.
On February 10, 2016, the FAA published in the
Class E airspace designations are published in paragraph 6005 of FAA Order 7400.9Z, dated August 6, 2015, and effective September 15, 2015, which is incorporated by reference in 14 CFR part 71.1. The Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Z, Airspace Designations and Reporting Points, dated August 6, 2015, and effective September 15, 2015. FAA Order 7400.9Z is publicly available as listed in the
This action amends Title 14, Code of Federal Regulations (14 CFR), Part 71 by establishing Class E airspace extending upward from 700 feet above the surface within a 6-mile radius of South Grand Lake Regional Airport, Ketchum, OK, to accommodate new Standard Instrument Approach Procedures for IFR operations at the airport.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1F, “Environmental Impacts: Policies and Procedures” paragraph 5-6.5a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exists that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 6-mile radius of South Grand Lake Regional Airport.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action establishes Class E airspace extending upward from 700 feet above the surface at Hollis Municipal Airport, Hollis, OK, to accommodate new Standard Instrument Approach Procedures for the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, July 21, 2016. The Director of the Federal Register approves this incorporation by reference action under Title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Z, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points is published yearly and effective on September 15.
Rebecca Shelby, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest Region, 10101 Hillwood Parkway, Fort Worth, TX 76177; telephone: 817-222-5857.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part, A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it establishes Class E airspace at Hollis Municipal Airport, Hollis, OK.
On February 4, 2016, the FAA published in the
Class E airspace designations are published in paragraph 6005 of FAA Order 7400.9Z, dated August 6, 2015, and effective September 15, 2015, which is incorporated by reference in 14 CFR part 71.1. The Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Z, Airspace Designations and Reporting Points, dated August 6, 2015, and effective September 15, 2015. FAA Order 7400.9Z is publicly available as listed in the
This action amends Title 14, Code of Federal Regulations (14 CFR), Part 71 by establishing Class E airspace extending upward from 700 feet above the surface within a 6-mile radius of Hollis Municipal Airport, Hollis, OK, to accommodate new Standard Instrument Approach Procedures for IFR operations at the airport.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1F, “Environmental Impacts: Policies and Procedures” paragraph 5-6.5a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exists that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 6-mile radius of Hollis Municipal Airport.
Federal Aviation Administration (FAA), DOT.
Final rule.
This action establishes Class E airspace extending upward from 700 feet above the surface at Horseshoe Bend Airport, Horseshoe Bend, AR, to accommodate new Standard Instrument Approach Procedures for the safety and management of Instrument Flight Rules (IFR) operations at the airport.
Effective 0901 UTC, July 21, 2016. The Director of the Federal Register approves this incorporation by reference action under Title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.
FAA Order 7400.9Z, Airspace Designations and Reporting Points, and subsequent amendments can be viewed on line at
FAA Order 7400.9, Airspace Designations and Reporting Points is published yearly and effective on September 15.
Rebecca Shelby, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest Region, 10101 Hillwood Parkway, Fort Worth, TX 76177; telephone: 817-222-5857.
The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part, A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it establishes Class E airspace at Horseshoe Bend Airport, Horseshoe Bend AR.
On February 10, 2016, the FAA published in the
Class E airspace designations are published in paragraph 6005 of FAA Order 7400.9Z, dated August 6, 2015, and effective September 15, 2015, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations listed in this document will be published subsequently in the Order.
This document amends FAA Order 7400.9Z, Airspace Designations and Reporting Points, dated August 6, 2015, and effective September 15, 2015. FAA Order 7400.9Z is publicly available as listed in the
This action amends Title 14, Code of Federal Regulations (14 CFR), Part 71 by establishing Class E airspace extending upward from 700 feet above the surface within a 6-mile radius of Horseshoe Bend Airport, Horseshoe Bend, AR, to accommodate new Standard Instrument Approach Procedures for IFR operations at the airport.
The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current, is non-controversial and unlikely to result in adverse or negative comments. It, therefore: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that only affects air traffic procedures and air navigation, it is certified that this rule, when promulgated, does not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
The FAA has determined that this action qualifies for categorical exclusion under the National Environmental Policy Act in accordance with FAA Order 1050.1F, “Environmental Impacts: Policies and Procedures” paragraph 5-6.5a. This airspace action is not expected to cause any potentially significant environmental impacts, and no extraordinary circumstances exists that warrant preparation of an environmental assessment.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:
49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
That airspace extending upward from 700 feet above the surface within a 6-mile radius of Horseshoe Bend Airport.
Office of the United States Trade Representative.
Final rule.
The Office of the United States Trade Representative (USTR)
The final rule is effective on April 29, 2016.
For procedural questions, please contact Yvonne Jamison, Trade Policy Staff Committee, at 202-395-3475. Direct all other questions to Constance Hamilton, Deputy Assistant U.S. Trade Representative for African Affairs, at
On March 18, 2016 (81 FR 14716), USTR published an interim final rule, which added 15 CFR part 2017. The new Part 2017 establishes a petition process that supplements the annual (normal cycle) request for public comments on whether a beneficiary sub-Saharan African country is meeting the eligibility criteria and requirements of the AGOA program (
Environmental Protection Agency (EPA).
Final rule.
The Environmental Protection Agency (EPA) is approving the State of Tennessee's May 23, 2014, State Implementation Plan (SIP) revision, submitted through the Tennessee Department of Environment and Conservation (TDEC) on behalf of the Shelby County Health Department (SCHD), seeking to modify the SIP by removing the Inspection and Maintenance (I/M) program in the City of Memphis, Tennessee, and by incorporating Shelby County's revised maintenance plan for the 1997 8-hour ozone national ambient air quality standards (NAAQS). Among other things, the revised maintenance plan updates the emissions inventory estimates and the motor vehicle emissions budgets (MVEBs) for the years 2006 and 2021, and contains an emissions reduction measure to offset the emissions increase expected from the termination of City of Memphis I/M program. EPA has determined that Tennessee's May 23, 2014, SIP revision is consistent with the applicable provisions of the Clean Air Act (CAA or Act).
This rule is effective May 31, 2016.
EPA has established a docket for this action under Docket Identification No. EPA-R04-OAR-2014-0250. All documents in the docket are listed on the
Richard Wong, Air Regulatory Management Section, Air Planning and Implementation Branch, Air Pesticides and Toxics Management Division, Region 4, U.S. Environmental Protection Agency, 61 Forsyth Street SW., Atlanta, Georgia 30303-8960. Mr. Wong can be reached by phone at (404) 562-8726 or via electronic mail at
Shelby County was designated as nonattainment for the carbon monoxide (CO) NAAQS on March 3, 1978 (43 FR 8962). Local transportation sources in the City of Memphis were identified as the prime contributors to monitored CO violations in Shelby County at that time. The City of Memphis I/M program was adopted as a control strategy to attain the CO NAAQS.
On July 26, 1994 (59 FR 37939), EPA redesignated Shelby County to attainment for the CO standard and approved the initial 10-year CO maintenance plan for Shelby County. Subsequently, further improvements in automotive technology led to a consistent reduction in locally monitored levels of CO. On October 25, 2006 (71 FR 62384), EPA approved the required second 10-year CO maintenance plan which demonstrated that I/M was no longer needed to maintain the CO NAAQS.
On April 30, 2004 (69 FR 23858), EPA designated Shelby County, Tennessee, and Crittenden County, Arkansas, as nonattainment for the 1997 8-hour ozone NAAQS, with a classification of `moderate' (hereinafter collectively referred to as the “Memphis 1997 8-hour Ozone Area”).
Following the initial designations for the 1997 8-hour ozone standard, Shelby County, the State of Tennessee, Crittenden County, and the State of Arkansas adopted additional measures to control ozone-forming emissions in the region and petitioned EPA to use its discretion under CAA section 181(a)(4) to reclassify the Area from moderate to marginal. On September 22, 2004 (69 FR 56697), EPA granted the petition to reclassify the Area, which removed the SIP planning requirements mandated of moderate ozone nonattainment areas, including the adoption of a mandatory I/M program, and reset the attainment deadline to June 15, 2007. The Area
The end of the 2008 ozone monitoring season resulted in a design value for the Memphis 1997 8-hour Ozone Area that met the NAAQS. Tennessee, Mississippi, and Arkansas prepared separate, but coordinated, redesignation requests and maintenance plans for their respective portions of the Area. Tennessee, on behalf of Shelby County, submitted the redesignation request and maintenance plan for its portion of the 1997 8-hour Ozone Area to EPA on February 26, 2009, prior to the attainment plan SIP revision due date.
EPA approved Tennessee's redesignation request and maintenance plan on January 4, 2010 (75 FR 56). Although there was no longer a mandatory requirement to implement I/M in Shelby County under section 184(b)(4) of the CAA, the City of Memphis continued to operate its I/M program, and the SIP-approved maintenance plan for the 1997 8-hour ozone NAAQS includes the implementation of a basic I/M program in Shelby County as a contingency measure in the event that the 1997 8-hour ozone NAAQS is violated in the 1997 8-hour Ozone Area after redesignation. In mid-2012, the Memphis City Council voted to defund the City of Memphis I/M program beginning with Fiscal Year 2013/2014. Vehicle inspection operations at all four City of Memphis inspection stations ended on June 28, 2013. Tennessee's May 23, 2014, SIP submission addresses the termination of this program.
In a notice of proposed rulemaking (NPRM) published on February 12, 2016 (81 FR 7483), EPA proposed to approve the May 23, 2014, SIP revision. No comments were received on the February 12, 2012, NPRM. The details of Tennessee's submittal and the rationale for EPA's actions are further explained in the NPRM.
Tennessee's May 23, 2014, maintenance plan revision updates the MVEBs for 2006 and 2021 using on-road mobile source emissions estimates from MOVES and removes the MVEBs for 2009 and 2017. The revised 2021 MVEB accounts for the termination of the I/M program and the shutdown of the Cleo, Inc. facility.
Under section 176(c) of the CAA, new transportation plans, programs, and projects, such as the construction of new highways, must “conform” to (
Under the CAA, states are required to submit, at various times, control strategy SIPs and maintenance plans for nonattainment areas. These control strategy SIPs (including RFP and attainment demonstration) and maintenance plans create MVEBs for criteria pollutants and/or their precursors to address pollution from cars and trucks. Per 40 CFR part 93, a MVEB must be established for the last year of the maintenance plan. A state may adopt MVEBs for other years as well. The MVEB is the portion of the total allowable emissions in the maintenance demonstration that is allocated to highway and transit vehicle use and emissions.
The previously-approved 1997 8-hour ozone maintenance plan for Shelby County contained interim MVEBs for years 2006, 2009, and 2017 in addition to the required maintenance year MVEB of 2021. The consensus formed during the interagency consultation process was that MVEBs should only be set for 2006 and 2021.
EPA is approving Tennessee's May 23, 2014, SIP revision seeking to remove the City of Memphis I/M program from the SIP and to incorporate Shelby County's revised maintenance plan for the 1997 8-hour ozone NAAQS into the SIP.
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 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).
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 as specified by Executive Order 13175 (65 FR 67249, November 9, 2000), nor will it impose substantial direct costs on tribal governments or preempt tribal law.
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 June 28, 2016. 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, Carbon monoxide, Incorporation by reference, Intergovernmental relations, Lead, Nitrogen dioxide, Ozone, Particulate matter, Reporting and recordkeeping requirements, Sulfur oxides, Volatile organic compounds.
40 CFR part 52 is amended as follows:
42.U.S.C. 7401
(e) * * *
Environmental Protection Agency (EPA).
Final rule.
The Environmental Protection Agency (EPA) is taking final action to approve revisions to the Arizona State Implementation Plan (SIP) under the Clean Air Act. These revisions include rescissions of outdated test methods and performance test specifications. The intended effect is to rescind unnecessary provisions from the applicable SIP.
This final rule is effective on May 31, 2016.
The EPA has established docket number EPA-R09-OAR-2016-0028 for this action. The index to the docket is available electronically at
Andrew Steckel, EPA Region IX, (415) 947-4115,
Throughout this document, “we,” “us,” and “our” refer to the EPA.
On February 11, 2016 (81 FR 7259), we proposed to approve revisions to the Arizona SIP under the Clean Air Act (CAA or “Act”) and provided a 30-day comment period. The revisions include rescissions of certain statutory provisions, administrative and prohibitory rules, and test methods. The EPA also proposed to correct certain errors in previous actions on prior revisions to the Arizona SIP and to make certain other corrections.
On that same date, we issued a direct final rule (81 FR 7209) taking final action effective April 11, 2016 but indicated that, if we received adverse comments by the end of the comment period, we would publish a withdrawal of the direct final rule in the
We received a timely adverse comment on a specific test method for which we had approved rescission and found that our action on the test method (and other test methods and performance test specifications from the same approved SIP revision submittal) could be severed from the rest of the rule. Thus, we published a partial withdrawal of the direct final rule in the
In our February 11, 2016 proposed rule (81 FR 7259), we directed commenters to the direct final rule for a detailed rationale for the proposed approval of the SIP revisions and for the proposed corrections. As such, the following paragraphs summarize the background information and evaluation included in the direct final rule also published on February 11, 2016 (81 FR 7209) as it relates to the test methods and performance test specifications that are the subject of this final rule.
On March 10, 2015 and January 13, 2016, the Arizona Department of Environmental Quality (ADEQ) submitted rescissions of certain statutory and regulatory provisions from the applicable Arizona SIP. Under CAA section 110(k)(3), the EPA is obligated to approve, disapprove, or conditionally approve SIPs and SIP revisions, including rescissions. As noted above, the rescissions relate to certain statutory provisions, administrative and prohibitory rules, and test methods. In our February 11, 2016 direct final rule (81 FR 7209), we approved all of the rescissions included in the two SIP revisions except for certain test methods and performance test specifications, for which we withdrew direct final action. In our direct final rule, we also corrected certain errors in previous actions on prior revisions to the Arizona SIP and to make certain other corrections, but because no adverse comments were received on the corrections, we did not withdraw any part of the error corrections portion of the direct final rule.
Table 1 lists the test methods and performance test specifications the rescission of which we withdrew direct final action, the dates on which the EPA approved the provisions as part of the SIP, and the dates on which ADEQ submitted the rescissions to the EPA.
As explained in our February 11, 2016 direct final rule, in April 1982, the EPA approved sections 3 and 4 of the Arizona Testing Manual for Air Pollutant Emissions (“Arizona Testing Manual”) as a revision to the Arizona SIP. Section 3 of the Arizona Testing Manual includes certain test methods from 40 CFR part 60, appendix A, and section 4 of the Arizona Testing Manual includes certain performance test specifications from 40 CFR part 60, appendix B. Both the test methods and performance test methods approved into the Arizona SIP date from the 1970s.
Over the years, the EPA's test methods and performance test specifications in 40 CFR part 60 have
For further information about the SIP revisions and our corresponding evaluation, please see our direct final rule (81 FR 7209, February 11, 2016).
Our February 11, 2016 proposed rule provided for a 30-day comment period. During that period, we received a comment from a member of the public. Staff at EPA Region 9 contacted the commenter to clarify this comment on March 22, 2016. Our response to this comment is provided below.
As far as alternative methods are concerned, AAC R18-2-311, which as noted above has been approved as part of the Arizona SIP,
We do recognize that the EPA has approved Alternative Method 082 as an alternative to EPA Method 9 with certain limitations and for certain purposes. Alternative Method 082 specifies, with certain limitations, the use of American Society for Testing and Materials (ASTM) D7520-09 “Standard Test Method for Determining the Opacity of a Plume in the Outdoor Ambient Atmosphere” as an alternative to EPA Method 9 for sources subject to 40 CFR 60, 61, and 63. See 77 FR 8865 (February 15, 2012). We also note that the National Emissions Standards for Hazardous Air Pollutants (NESHAPS) for the Ferroalloys Production source category was recently amended following the EPA's request for comments on the use of new technologies to provide continuous or near continuous long term approaches to monitoring emissions from industrial sources for the Ferroalloy Production source category. After consideration of comments received and after evaluating the technologies, the EPA amended the Ferroalloys Production NESHAPS to, among other things, replace the weekly Method 9 opacity requirement with a weekly requirement to measure opacity using ASTM D7520-13 (
However, use of Alternative Method 082's or ASTM D7520's digital camera technology by states to determine opacity of visible emissions is not a requirement for SIPs. The State of Arizona could consider a revision to its rules to allow the use of Alternative Method 082 (for appropriate applications and with appropriate limitations) or the most current version of ASTM D7520 if it chooses to do so, as long as the use of the DCOT in lieu of EPA Method 9 is consistent with EPA's approval of ASTM D7520-09 in Alternative Method 082. We generally support its inclusion in State programs where appropriate. The EPA would take action to approve or disapprove such a revision under CAA section 110(k) if the state were to adopt such a revision and submit it to the EPA as a SIP revision.
Pursuant to CAA section 110(k)(3), the EPA is approving the state's rescission of the outdated test methods and performance test specifications listed in Table 1 from the Arizona SIP because we believe they are no longer necessary to retain.
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 rescinds outdated test methods and
• Is not a “significant regulatory action” subject to review by the Office of Management and Budget under Executive Order 12866 (58 FR 51735, October 4, 1993);
• 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 disproportionate human health or environmental effects with practical, appropriate, and legally permissible methods under Executive Order 12898 (59 FR 7629, February 16, 1994).
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 June 28, 2016. 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.
Part 52, Chapter I, Title 40 of the Code of Federal Regulations is amended as follows:
42 U.S.C. 7401
(c) * * *
(29) * * *
(i) * * *
(B) Previously approved on April 23, 1982, in paragraph (c)(29)(i)(A) of this section and now deleted without replacement: Arizona Testing Manual for Air Pollutant Emissions, Sections 3.0 and 4.0.
Environmental Protection Agency (EPA).
Final rule.
The Environmental Protection Agency (EPA) is approving the State plan submitted by the Commonwealth of Puerto Rico to implement and enforce the Emission Guidelines (EG) for existing sewage sludge incineration (SSI) units. Puerto Rico's plan is consistent with the EG promulgated by the EPA on March 21, 2011. Puerto Rico's plan establishes emission limits and other requirements for the purpose of reducing toxic air emissions and other air pollutants from existing SSI units throughout the Commonwealth. At the request of Puerto Rico, the EPA is not taking action on a provision of its SSI plan allowing for affirmative defenses of Clean Air Act violations in the case of malfunctions. Puerto Rico submitted its plan to fulfill the requirements of sections 111(d) and 129 of the Clean Air Act.
This rule is effective on May 31, 2016.
Submit your comments, identified by Docket ID No. EPA-R02-OAR-2015-0755), to
For additional submission methods, the full EPA public comment policy, information about CBI or multimedia submissions, and general guidance on making effective comments, please visit
Anthony (Ted) Gardella, Air Programs Branch, Environmental Protection Agency (EPA), Region 2, 290 Broadway, 25th Floor, New York, New York 10007-1866, (212) 637-3892, or by email at
The EPA is approving Puerto Rico's State plan submitted to the EPA on July 30, 2014, for the control of air emissions from existing sewage sludge incineration (SSI) units throughout the Commonwealth. When the EPA developed the New Source Performance Standards (NSPS) (subpart LLLL) for SSI units on March 21, 2011, it concurrently promulgated Emission Guidelines (EG) (subpart MMMM) to control air emissions from existing SSI units. The Puerto Rico State SSI plan adopts and implements the EG applicable to existing SSI units, and establishes other requirements for SSI units constructed on or before October 14, 2010.
The Puerto Rico Environmental Quality Board (PREQB) developed a plan, as required by sections 111(d) and 129 of the Clean Air Act (CAA), to adopt the EG into its body of regulations, and EPA is acting today to approve Puerto Rico's plan.
As explained below, Puerto Rico requested in its July 30, 2014 submittal, that the EPA not take any action on a provision of the Puerto Rico State SSI plan allowing for affirmative defenses of CAA violations in the case of malfunctions.
Therefore, the EPA is not taking action on the affirmative defense provision portion of Puerto Rico's State SSI plan.
In an April 18, 2014 opinion, the U.S. Court of Appeals for the District of Columbia Circuit (D.C. Circuit Court) vacated an affirmative defense in one of the EPA's Section 112 regulations.
Because of the April 2014 D.C. Court vacatur referred to above, Puerto Rico, in its July 30, 2014 submittal letter to the EPA, requested that the EPA not take action on the affirmative defense provision included in Puerto Rico's State SSI plan submitted to the EPA for approval on July 30, 2014.
Consequently, the EPA is not taking any action on those particular provisions of Puerto Rico's State SSI plan as discussed herein.
On March 21, 2011, in accordance with sections 111(d) and 129 of the CAA, EPA promulgated the SSI EG and compliance times for the control of emissions from existing SSI units. See 76 FR 15371. EPA codified these guidelines at 40 CFR part 60, subpart MMMM. They include a model rule at 40 CFR 60.5085 through 62.5250 that States may use to develop their own plans. Under that rule, EPA has defined an “SSI unit,” in part, as any incineration unit that combusts sewage sludge for the purpose of reducing the volume of the sewage sludge by removing combustible matter. 40 CFR 60.5250.
On July 30, 2014,
Puerto Rico amended Rule 102, entitled “Definitions of the Regulation for the Control of Atmospheric Pollution (RCAP),” and incorporated Rule 405(d), entitled “Emission Guidelines and Compliance Times for Existing Sewage Sludge Incineration Units (SSI),” to include the requirements for implementing the SSI EG covered under Sections 111(d) and 129 of the CAA, and codified in 40 CFR part 60, subpart MMMM. Revisions to Puerto Rico's Rules
For further details, the reader is referred to EPA's proposal located in the EPA's electronic docket at
There were no comments received on the EPA's proposed rulemaking (80 FR 76894, December 11, 2015) regarding Puerto Rico's State plan for existing SSI units. The 30-day public comment period on the EPA's proposed approval ended on January 11, 2016.
For the reasons described in this rulemaking and in EPA's proposal, the EPA is approving Puerto Rico's sections 111(d) and 129 plan for existing SSI units. However, as described above, the EPA is not taking any action on the affirmative defense provisions in Puerto Rico's Rule 405(d), as follows: (d)(2)(E), (d)(2)(E)(i) and (d)(2)(E)(ii) in Puerto Rico's State plan.
Under the CAA, the Administrator is required to approve a 111(d)/129 plan submission that complies with the provisions of the Act and applicable
• Is not a “significant regulatory action” subject to review by the Office of Management and Budget under Executive Order 12866 (58 FR 51735, October 4, 1993);
• 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, this action does not have tribal implications as specified by Executive Order 13175, because the section 111(d)/129 plan 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. Thus, Executive Order 13175 does not apply to this section.
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 June 28, 2016. 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, Administrative practice and procedure, Air pollution control, Aluminum, Fertilizers, Fluoride, Incorporation by reference, Intergovernmental relations, Paper and products industry, Phosphate, Reporting and recordkeeping requirements, Sulfur oxides, Sulfuric acid plants, Waste treatment and disposal.
40 CFR part 62 is amended as follows:
42 U.S.C. 7401
(a) On July 30, 2014, the Puerto Rico Environmental Quality Board (PREQB) submitted to the Environmental Protection Agency a section 111(d)/129 plan for implementation and enforcement of 40 CFR part 60, subpart MMMM—Emission Guidelines and Compliance Times for Existing Sewage Sludge Incineration Units. In emails dated June 4, 2015, August 10, 2015 and November 10, 2015, the PREQB submitted clarifying information concerning Puerto Rico's plan. The State plan includes revisions to Rule 102 and Rule 405 of the Puerto Rico Regulations for the Control of Atmospheric Pollution, entitled, “Definitions” and “Incineration,” Respectively. The revisions to Rules 102 and 405 became effective on July 13, 2014. At the request of Puerto Rico, EPA has not taken any action on a provision of its State plan allowing for affirmative defenses of Clean Air Act violations in the case of malfunctions.
(b) Identification of sources: The plan applies to existing sewage sludge incineration (SSI) units that:
(1) Commenced construction on or before October 14, 2010; or
(2) Commenced a modification on or before September 21, 2011 primarily to comply with Puerto Rico's plan; and
(3) Meets the definition of a SSI unit defined in Puerto Rico's plan.
(c) The effective date of the plan for existing sewage sludge incineration units is May 31, 2016.
Pipeline and Hazardous Materials Safety Administration (PHMSA), Department of Transportation (DOT).
Direct final rule.
This direct final rule incorporates by reference the most recent editions of the ASME Boiler and Pressure Vessel Code. The purpose of this update is to enable non-specification (nurse tank) manufacturers and other DOT and UN specification packaging manufacturers to utilize current technology, materials, and practices to help maintain a high level of safety. PHMSA is replacing the ASME referenced standard (1998 Edition) with the new, current ASME standard (2015 Edition) for boiler and pressure vessels. PHMSA is also replacing the ASME 1998 Edition referenced standard of ASME's Transportation Systems for Liquids and Slurries: Pressure Piping to the current 2012 Edition.
Comments should reference DOT Docket ID Number PHMSA-2015-0271 and may be submitted by any of the following methods:
•
•
•
•
Alex B. Mitchell, Office of Chief Counsel, Pipeline and Hazardous Materials Safety Administration; telephone 202-366-4400; email
This direct final rule is published under authority of the Federal Hazardous Materials Transportation Law under 49 U.S.C. 5101
This rulemaking is a Direct Final Rule under PHMSA's rulemaking authority outlined in 49 CFR 106.40 to incorporate by reference the latest edition of a technical/industry standard. PHMSA has determined that this direct final rule is not a “significant regulatory action” as defined in section 3(f) of Executive Order 12866, and is not “significant” as defined in DOT's Regulatory Policies and Procedures. This rulemaking is exempt from the Office of Management and Budget review in accordance with Executive Order 12866.
PHMSA is issuing this direct final rule without prior notice and prior public comment. The Administrative Procedure Act provides that an agency may publish a final rule without prior notice and comment if the agency for good cause finds that the notice and comment procedure is unnecessary (49 U.S.C. 553(b)(B)). This rule will not make any significant substantive changes to the Hazardous Materials Regulations. Accordingly, PHMSA does not foresee adverse comments in response to this rulemaking, and consequently a 30-day notice and comment period is reasonable.
The Regulatory Policies and Procedures of the Department of Transportation (DOT), 44 FR 1134, February 26, 1979, provide that to the maximum extent possible, operating administrations for the DOT should provide an opportunity for public comment on regulations issued without prior notice. Accordingly, PHMSA invites interested persons to participate in this rulemaking by submitting written comments. The agency also invites comments relating to the economic, environmental, energy, or federalism impacts that might result from adopting this final rule.
This direct final rule will take effect as indicated above unless PHMSA receives an adverse comment or notice of intent to file an adverse comment within the comment period. An adverse comment explains why a rule would be inappropriate or would be ineffective or unacceptable without a change. It may challenge the rule's underlying premise or approach. Under the direct final rule process, we do not consider the following types of comments to be adverse:
(1) A comment recommending another rule change, in addition to the change in the direct final rule at issue, unless the commenter states why the direct final rule would be ineffective without the change.
(2) A frivolous or irrelevant comment.
If we receive an adverse comment or notice of intent to file an adverse comment, we will advise the public by publishing a document in the
See the “Additional Information” section for information on how to comment on this direct final rule and how PHMSA will handle comments received. The “Additional Information” section also contains related information about the docket, privacy, and the handling of proprietary or confidential business information. There is also information on obtaining copies of related rulemaking documents.
This direct final rule adopts the most recent edition of a consensus technical standard, the American Society of Mechanical Engineers (ASME) Boiler and Pressure Vessel Code (2015 Edition) and ASME Code for Transportation Systems for Liquids and Slurries: Pressure Piping, B31.4-2012. The Boiler and Pressure Vessel Code enables nurse tank manufacturers and other DOT and UN specification packaging manufacturers to use current technology, materials, and practices. The incorporation of the most recent edition of the ASME Code improves clarity, consistency, accuracy, reduces unnecessary burdens on the regulated community, and will provide, at minimum, an equivalent level of safety for non-specification (nurse tanks) and specification tanks regulated under the Hazardous Materials Regulations (HMR). PHMSA is replacing the 1998 Edition of ASME Boiler and Pressure Vessel Code Sections with the following, current 2015 Edition of ASME Boiler and Pressure Vessel Code Sections:
PHMSA is also replacing the 1998 Edition of ASME B31.4-1998 Edition, Pipeline Transportation Systems for Liquid Hydrocarbons and other Liquids with the following, current 2012 Edition of ASME B31.4-2012, now titled Pipeline Transportation Systems for Liquids and Slurries as it relates to 49 CFR 173.5a “
For full access to these Sections, please see
The National Technology Transfer and Advancement Act of 1995 (Pub. L. 104-113) directs Federal agencies to use voluntary consensus standards in lieu of government-written standards whenever possible. Voluntary consensus standards are standards developed or adopted by voluntary bodies that develop, establish, or coordinate technical standards using agreed upon procedures.
PHMSA's Office of Hazardous Materials Safety adopts 187 voluntary consensus standards issued by 27 different technical organizations, and the Office participates in numerous national voluntary consensus standards committees. PHMSA adopts voluntary consensus standards applicable to packaging design, construction, maintenance, inspection, and repair when they are consistent with the safe transportation of hazardous materials. PHMSA reviews and approves for incorporation by reference updated versions based on this directive. When PHMSA believes some aspect of a standard does not meet an adequate level of safety, it will not incorporate the standard or the part of the standard that it believes is contradictory with the directive.
Parts 171 through 180 incorporate by reference all or parts of standards and specifications developed and published by technical organizations, as referenced in 49 CFR 171.7, including, but not limited to, the American Petroleum Institute, American Society of Mechanical Engineers, American Society for Testing and Materials, Compressed Gas Association, International Organization for Standardization, Organization for Economic Cooperation and Development, and the United Nations. These organizations update and revise their published standards periodically to reflect modern technology and best technical practices. PHMSA has reviewed the revised voluntary consensus standards being incorporated in this final rule.
Parts A and B of Section II are “Service Sections” to the other Sections of the Boiler and Pressure Vessel Code, and they provide material specifications for ferrous and nonferrous materials adequate for safety in the field of pressure equipment. These specifications contain requirements for chemical and mechanical properties, heat treatment, manufacture, heat and product analyses, and methods of testing.
Section V contains requirements and methods for nondestructive examination, which are referenced and required by other Sections. It also includes manufacturers' examination responsibilities, duties of authorized inspectors and requirements for qualification of personnel, inspection and examination.
Section VIII, Division 1 provides requirements applicable to the design, fabrication, inspection, testing, and certification of pressure vessels operation at either internal or external pressures exceeding 15 psig. Division 1 also contains mandatory and non-mandatory appendices detailing supplementary design criteria, nondestructive examination and inspection acceptance standards.
Section IX contains rules relating to the qualification of welding, brazing, and fusing procedures as required by other Sections for component manufacture. It also covers rules relating to the qualification and requalification of welders, brazers, and welding, brazing and fusing machine operators in order that they may perform welding, brazing, or plastic fusing as required by other Sections in the manufacture of components.
The above editions of currently referenced standards are being
The above standard is being incorporated by reference in 49 CFR 173.5a. This Edition refines and clarifies existing material in the standard and generally does not introduce new topics as related to mechanical displacement meter provers. PHMSA is not seeking or accepting comments on the unrelated, Proposed Rule entitled “Hazardous Materials: Adoption of ASME Code Section XII and the National Board Inspection Code” (docket number PHMSA-2010-0019; RIN 2137-AE58). This rulemaking also has no impact on or relation to the Pipeline Safety Regulations at 49 Code of Federal Regulations Part 190-199.
The 2015 Edition of the American Society of Mechanical Engineers Boiler and Pressure Vessel Code and the 2012 Edition of the American Society of Mechanical Engineers Pipeline Transportation Systems for Liquids and Slurries are freely accessible to the public for the full 30 day comment period online at
PHMSA believes the majority of industry nurse tank manufacturers and other DOT and UN specification packaging manufacturers has already purchased and therefore possess and adhere to these standards in order to be certified under ASME's various certification programs. For example, products manufactured by ASME BPVC Certificate Holders are certified and stamped with a Certification Mark in accordance with the applicable ASME BPVC Section. According to ASME, there are currently more than 6,800 Certificate Holders in the ASME BPVC Certification Program. For more information on ASME's Certification Programs, please see
Under the Regulatory Flexibility Act (5 U.S.C. 601
There are no new information collection requirements in this direct final rule.
This direct final rule does not impose unfunded mandates under the Unfunded Mandates Reform Act of 1995. It does not result in costs of $155,000,000 or more, adjusted for inflation, to either State, local or tribal governments, in the aggregate, or to the private sector in any one year, and is the least burdensome alternative that achieves the objective of the rule.
A regulation identifier number (RIN) is assigned to each regulatory action listed in the Unified Agenda of Federal Regulations. The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year. The RIN number contained in the heading of this document can be used to cross-reference this action with the Unified Agenda.
The National Environmental Policy Act of 1969 (NEPA), as amended (42 U.S.C. 4321-4347), requires Federal agencies to consider the consequences of major federal actions and to prepare a detailed statement on any action that significantly affects the quality of the human environment. Since these new standards provide, at minimum, an equivalent level of protection to the currently referenced standards, it is unlikely that the adoption of these standards will have any impact on the environment. We find that there are no significant environmental impacts associated with this direct final rule. PHMSA invites comments about environmental impacts that could result from this direct final rule.
PHMSA has analyzed the direct final rule according to Executive Order 13132 (64 FR 43255). This direct final rule does not have a substantial direct effect on the States, the relationship between the national government and the States, or the distribution of power and responsibilities among the various levels of government. The direct final rule does not impose substantial direct compliance costs on State and local governments. Therefore, the consultation and funding requirements of Executive Order 13132 do not apply.
This direct final rule is not a significant regulatory action under section 3(f) of Executive Order 12866 (58 FR 51735) and, therefore, was not subject to review by the Office of Management and Budget. This direct final rule is not significant under the Regulatory Policies and Procedures of the Department of Transportation (44 FR 11034).
In this direct final rule we are updating references to standards that are incorporated in the Hazardous Materials Regulations. These updates will enhance safety while reducing the compliance burden on the regulated
This final rule has been analyzed in accordance with the principles and criteria contained in Executive Order 13175 (“Consultation and Coordination with Indian Tribal Governments”). Because the direct final rule does not significantly or uniquely affect the communities of the Indian tribal governments or impose substantial direct compliance costs, the funding and consultation requirements of Executive Order 13175 do not apply.
PHMSA invites interested persons to participate in this rulemaking by submitting written comments, data, or views. The agency also invites comments relating to the economic, environmental, energy, or federalism impacts that might result from adopting the rulemaking action in this document. The most helpful comments reference a specific portion of the rulemaking action, 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 only one time.
PHMSA will file any comments it receives in the docket, as well as a report summarizing each substantive public contact with PHMSA personnel concerning this rulemaking. Before acting on this rulemaking action, PHMSA will consider all comments it receives on or before the closing date for comments. PHMSA will consider comments filed after the comment period has closed if it is possible to do so without incurring expense or delay. The agency may change this rulemaking action in light of the comments it receives.
An electronic copy of rulemaking documents may be obtained online by—
1. Searching the Federal eRulemaking Portal (
2. Visiting the PHMSA's Regulations and Policies Web page at
3. Accessing the Government Printing Office's Web page at
Copies may also be obtained by sending a request to the U.S. Department of Transportation, West Building, Ground Floor, Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590. Commenters must identify the docket or amendment number of this rulemaking.
All documents PHMSA considered in developing this rulemaking action may be accessed from the Internet through the Federal eRulemaking Portal referenced in item (1) above.
Send comments to PHMSA in either of the following ways:
(1) By mail to: Docket Management System, U.S. Department of Transportation, West Building, Ground Floor, Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
(2) Through the Internet at
Make sure your comments reach by the deadline. We will consider late filed comments to the extent possible. For further guidance on required information for written comments, see 49 CFR 106.65.
Anyone is able to search the electronic form of any written communications and comments received into any of our dockets by the name of the individual submitting the document (or signing the document, if submitted on behalf of an association, business, labor union, etc.). You may review DOT's complete Privacy Act Statement in the
Exports, Hazardous materials transportation, Hazardous Waste, Imports, Incorporation by reference, Reporting and recordkeeping requirements.
Hazardous materials transportation, Incorporation by reference, Packaging and containers, Radioactive materials, Reporting and recordkeeping requirements, Uranium.
Hazardous materials transportation, Incorporation by reference, Motor vehicle safety, Packaging and containers, Reporting and recordkeeping requirements.
In consideration of the foregoing, PHMSA is amending 49 CFR Chapter I, subchapter C, as follows:
49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section 4 (28 U.S.C. 2461 note); Pub. L. 104-134, section 31001; 49 CFR 1.81 and 1.97.
(g)
(1) 2015 ASME Boiler and Pressure Vessel Code (ASME Code), 2015 Edition, July 1, 2015 (as follows), into §§ 172.102; 173.3; 173.5b; 173.24b; 173.306; 173.315; 173.318; 173.420; 178.255-1; 178.255-2; 178.255-14; 178.255-15; 178.273; 178.274; 178.276; 178.277; 178.320; 178.337-1; 178.337-2; 178.337-3; 178.337-4; 178.337-6; 178.337-16; 178.337-18; 178.338-1; 178.338-2; 178.338-3; 178.338-4; 178.338-5; 178.338-6; 178.338-13; 178.338-16; 178.338-18; 178.338-19; 178.345-1; 178.345-2; 178.345-3; 178.345-4; 178.345-7; 178.345-14; 178.345-15; 178.346-1; 178.347-1; 178.348-1; 179.400-3; 180.407:
(i) Section II—Materials—Part A—Ferrous Materials Specifications.
(ii) Section II—Materials—Part B—Nonferrous Material Specifications.
(iii) Section V—Nondestructive Examination.
(iv) Section VIII—Rules for Construction of Pressure Vessels Division 1.
(v) Section IX—Welding, Brazing, and Fusing Qualifications.
(2) ASME B31.4-2012, Pipeline Transportation Systems for Liquids and Slurries, November 12, 2012, into § 173.5a.
49 U.S.C. 5101-5128, 44701; 49 CFR 1.81, 1.96 and 1.97.
(m) * * *
(1) * * *
(i) Has a minimum design pressure of 250 psig, meets the requirements of Section VIII of the ASME Code (IBR, see § 171.7 of this subchapter), and is marked with a valid ASME plate.
49 U.S.C. 5101-5128; 49 CFR 1.81 and 1.97.
(a)
(2) The relevant physical properties of the materials used in each tank may be established either by a certified test report from the material manufacturer or by testing in conformance with a recognized national standard. In either case, the ultimate tensile strength of the material used in the design may not exceed 120 percent of the minimum ultimate tensile strength specified in either the ASME Code or the ASTM standard to which the material is manufactured.
(3) The maximum design stress at any point in the tank must be calculated separately for the loading conditions described in paragraphs (b), (c), and (d) of this section. Alternate test or analytical methods, or a combination thereof, may be used in lieu of the procedures described in paragraphs (b), (c), and (d) of this section, if the methods are accurate and verifiable.
(4) Corrosion allowance material may not be included to satisfy any of the design calculation requirements of this section.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Temporary rule; closure.
NMFS is prohibiting retention of longnose skate in the Western Regulatory Area of the Gulf of Alaska (GOA). This action is necessary because the 2016 total allowable catch of longnose skate in the Western Regulatory Area of the GOA will be reached.
Effective 1200 hours, Alaska local time (A.l.t.), April 26, 2016, through 2400 hours, A.l.t., December 31, 2016.
Josh Keaton, 907-586-7228.
NMFS manages the groundfish fishery in the GOA exclusive economic zone according to the Fishery Management Plan for Groundfish of the Gulf of Alaska (FMP) prepared by the North Pacific Fishery Management Council under authority of the Magnuson-Stevens Fishery Conservation and Management Act. Regulations governing fishing by U.S. vessels in accordance with the FMP appear at subpart H of 50 CFR part 600 and 50 CFR part 679.
The 2016 total allowable catch (TAC) of longnose skate in the Western Regulatory Area of the GOA is 61 metric tons (mt) as established by the final 2016 and 2017 harvest specifications for groundfish of the GOA (81 FR 14740, March 18, 2016).
In accordance with § 679.20(d)(2), the Administrator, Alaska Region, NMFS (Regional Administrator), has determined that the 2016 TAC of longnose skate in the Western Regulatory Area of the GOA will be reached. Therefore, NMFS is requiring that longnose skate in the Western Regulatory Area of the GOA be treated as prohibited species in accordance with § 679.21(b).
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 prohibiting the retention of longnose skate in the Western Regulatory Area of the GOA. NMFS was unable to publish a notice providing time for public comment because the most recent, relevant data only became available as of April 22, 2016.
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 § 679.21 and is exempt from review under Executive Order 12866.
16 U.S.C. 1801
National Marine Fisheries Service (NMFS), National Oceanic and
Temporary rule; closure.
NMFS is prohibiting directed fishing for Greenland turbot in the Aleutian Islands subarea of the Bering Sea and Aleutian Islands management area (BSAI). This action is necessary to prevent exceeding the 2016 Greenland turbot initial total allowable catch (ITAC) in the Aleutian Islands subarea of the BSAI.
Effective 1200 hrs, Alaska local time (A.l.t.), May 1, 2016, through 2400 hrs, A.l.t., December 31, 2016.
Steve Whitney, 907-586-7228.
NMFS manages the groundfish fishery in the 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 2016 Greenland turbot ITAC in the Aleutian Islands subarea of the BSAI is 170 metric tons (mt) as established by the final 2016 and 2017 harvest specifications for groundfish in the BSAI (81 FR 14773, March 18, 2016). The Regional Administrator has determined that the 2016 ITAC for Greenland turbot in the Aleutian Islands subarea of the BSAI is necessary to account for the incidental catch of this species in other anticipated groundfish fisheries for the 2016 fishing year. Therefore, in accordance with § 679.20(d)(1)(i), the Regional Administrator establishes the directed fishing allowance for Greenland turbot in the Aleutian Islands subarea of the BSAI as zero mt. Consequently, in accordance with § 679.20(d)(1)(iii), NMFS is prohibiting directed fishing for Greenland turbot in the Aleutian Islands subarea of the BSAI.
After the effective date of this closure the maximum retainable amounts at § 679.20(e) and (f) apply at any time during a trip.
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 directed fishing closure of Greenland turbot in the Aleutian Islands subarea of the BSAI. NMFS was unable to publish a notice providing time for public comment because the most recent, relevant data only became available as April 25, 2016.
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 Assistant Secretary for Administration and Management, Department of Labor.
Notice of proposed rulemaking.
The U.S. Department of Labor (DOL) is proposing to remove its regulations implementing the government-wide common rule on nonprocurement debarment and suspension, currently located in part 98 of title 29 of the Code of Federal Regulations (CFR), and adopting the Office of Management and Budget's (OMB) guidance at title 2 of the CFR. This regulatory action implements the OMB's initiative to streamline and consolidate into one title of the CFR all Federal regulations on nonprocurement debarment and suspension. These changes constitute an administrative simplification that would make no substantive change in DOL policy or procedures for nonprocurement debarment and suspension.
Submit comments on the proposed rule by or before May 31, 2016.
Comments may be submitted in two ways. All email comments regarding this rule should be sent to Ms. Duyen Tran Ritchie at
Duyen Tran Ritchie, Office of Chief Procurement Officer, (202) 693-7277 [Note: This is not a toll-free telephone number]; or by email at
On November 26, 2003, at 68 FR 66534, DOL adopted the government-wide nonprocurement debarment and suspension common rule, which recast the nonprocurement debarment and suspension regulations in plain English and made other required updates.
Thereafter, on May 11, 2004, at 69 FR 26276, OMB established title 2 of the CFR as the new central location for OMB guidance and agency implementing regulations concerning grants and agreements. This approach benefits the public by making it easier for the affected public to identify an agency's additions and clarifications to the Government-wide policies and procedures. In that action, OMB announced its intention to replace the common rules with OMB guidance that agencies could adopt. OMB began that process by proposing on August 31, 2005, at 70 FR 51863, an interim final guidance on non-procurement suspension and debarment. That guidance requires each agency to issue a brief rule that: (1) Adopts the guidance, giving it regulatory effect for that agency's activities; and (2) states any agency-specific additions or clarifications to the government-wide policies and procedures. The notice stated that the substantive content of the guidelines was intended to conform with the substance of the Federal agencies' most recent update in 2003 to the common rule. The guidance was finalized on November 15, 2006, at 71 FR 66431. The proposed regulatory actions will bring the Department into compliance with OMB's 2006 guidance.
Pursuant to requirements in OMB's guidance, DOL is proposing to take three actions. First, DOL would add a new part to its existing chapter XXIX under title 2 of the CFR subtitle B, which is a brief adoption of the OMB guidance and states DOL-specific additions and clarifications. Second, DOL would remove 29 CFR part 98, the part containing the common rule on nonprocurement debarment and suspension that the OMB guidance supersedes. Third, DOL would make technical corrections to provisions within 29 CFR part 95 to replace references to the earlier common rule. Taken together, these regulatory actions are solely an administrative simplification and are not intended to make any substantive change in policies or procedures.
The Department invites public comments on the proposed actions. Please submit comments by only one method. Receipt of comments will not be acknowledged; however, the Department will post all comments received on
The Department cautions commenters not to include personal information, such as Social Security Numbers, personal addresses, telephone numbers and email addresses, in comments, as such submitted information will become viewable by the public via
The proposed rule would be solely an administrative simplification that would make no substantive change in DOL's policy or procedures for debarment and suspension. Consequently, the proposed rule qualifies for the “good cause” exception to the Administrative Procedure Act,
OMB has determined this proposed rule to be not significant for purposes of E.O. 12866.
This proposed regulatory action will not have a significant adverse impact on a substantial number of small entities.
This proposed regulatory action does not contain a Federal mandate that will result in the expenditure by State, local, and tribal governments, in aggregate, or by the private sector of $100 million or more in any one year.
This regulatory action will not impose any additional reporting or recordkeeping requirements under the Paperwork Reduction Act.
This proposed regulatory action does not have Federalism implications, as set forth in Executive Order 13132. It will not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.
This proposed regulatory action does not have tribal implications under Executive Order 13175 that would require a tribal summary impact statement. The proposed rule would not have substantial direct effects on one or more Indian tribes, on the relationship between the Federal government and Indian tribes, or on the distribution of power and responsibilities between the Federal government and Indian tribes.
The proposed regulatory action is not subject to Executive Order 12630 because it does not involve implementation of a policy that has takings implications or that could impose limitations on private property use.
Administrative practice and procedure, Debarment and suspension, Government procurement, Grant programs, Grants administration, Reporting and recordkeeping requirements.
Grants and agreements with institutions of higher education, hospitals, and other non-profit organizations, and with commercial organizations, foreign governments, organizations under the jurisdiction of foreign governments, and international organizations.
Governmentwide debarment and suspension (nonprocurement).
Accordingly, for the reasons set forth in the preamble, and under the authority of 5 U.S.C. 301; E.O. 12549 (3 CFR, 1986 Comp. p.189); E.O. 12689 (3 CFR, 1989 Comp. p.235); sec 2455 Public Law 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note), the United States Department of Labor proposes to amend the Code of Federal Regulations, title 2, subtitle B, and parts 95 and 98 of subtitle B of title 29, as follows:
5 U.S.C. 301; E.O. 12549 (3 CFR, 1986 Comp., p.189); E.O. 12689 (3 CFR, 1989 Comp., p. 235); sec 2455 Pub. L. 103-355, 108 Stat. 3327 (31 U.S.C. 6101 note).
This part adopts the Office of Management and Budget (OMB) guidance in subparts A through I of 2 CFR part 180, as supplemented by this part, as the Department of Labor (DOL) policies and procedures for non-procurement debarment and suspension. It thereby gives regulatory effect for DOL to the OMB guidance as supplemented by this part. This part satisfies the requirements in section 3 of Executive Order 12549, “Debarment and Suspension” (3 CFR 1986 Comp., p. 189); Executive Order 12689, “Debarment and Suspension” (3 CFR 1989 Comp., p. 235); and section 2455 of the Federal Acquisition Streamlining Act of 1994, 103 (31 U.S.C. 6101 note).
This part and, through this part, pertinent portions of the OMB guidance in subparts A through I of 2 CFR part 180 (see table at 2 CFR 180.100(b)) apply to you if you are a—
(a) Participant or principal in a “covered transaction” (see subpart B of 2 CFR part 180 and the definition of “non-procurement transaction” at 2 CFR 180.970);
(b) Respondent in a Department of Labor suspension or debarment action;
(c) Department of Labor debarment or suspension official; or
(d) Department of Labor grants officer, agreements officer, or other official authorized to enter into any type of non-procurement transaction that is a covered transaction.
(a) The Department of Labor's policies and procedures that you must follow are specified in:
(1) Each applicable section of the OMB guidance in subparts A through I of 2 CFR part 180; and
(2) The supplement to each section of the OMB guidance that is found in this part under the same section number. (The contracts that are covered transactions, for example, are specified by section 220 of the OMB guidance (
(b) For any section of OMB guidance in subparts A through I of 2 CFR part 180 that has no corresponding section in this part, the Department of Labor's policies and procedures are those in the OMB guidance.
Within the Department of Labor, the Secretary of Labor or designee has the authority to grant an exception to let an
In addition to the contracts covered under 2 CFR 180.220(b) of the OMB guidance, this part applies to any contract, regardless of tier, that is awarded by a contractor, subcontractor, supplier, consultant, or its agent or representative in any transaction, if the contract is to be funded or provided by the Department of Labor under a covered non-procurement transaction. This extends the coverage of the Department of Labor non-procurement suspension and debarment requirements to all lower tiers of subcontracts under covered non-procurement transactions, as permitted under the OMB guidance at 2 CFR 180.220(c) (see optional lower tier coverage in the figure in the appendix to 2 CFR part 180).
You, as a participant, must include a term or condition in lower-tier transactions requiring lower-tier participants to comply with subpart C of the OMB guidance in 2 CFR part 180, as supplemented by this subpart.
To communicate to a participant the requirements described in 2 CFR 180.435 of the OMB guidance, you must include a term or condition in the transaction that requires the participant's compliance with subpart C of 2 CFR part 180, and supplemented by subpart C of this part, and requires the participant to include a similar term or condition in lower-tier covered transactions.
5 U.S.C. 301; OMB Circular A-110, as amended, as codified at 2 CFR part 215.
Federal Aviation Administration (FAA), DOT.
Notice of proposed rulemaking (NPRM).
We propose to supersede airworthiness directive (AD) 2013-15-03 for Eurocopter France Model AS350B, AS350BA, AS350B1, AS350B2, AS350B3, AS350C, AS350D, and AS350D1 helicopters with a single hydraulic system and a certain hydraulic pump drive assembly installed. AD 2013-15-03 requires inspecting the hydraulic pump drive bearing (bearing) for leaks, rust, overheating, and condition. This proposed AD would add a requirement to grease the bearing and inspect for bronze particles in the grease, as well as change the inspection and inspection intervals of the bearing until it is replaced with an improved bearing. These proposed actions are intended to prevent hydraulic pump drive belt failure, loss of hydraulic servo assistance, and subsequent loss of helicopter control.
We must receive comments on this proposed AD by June 28, 2016.
You may send comments by any of the following methods:
•
•
•
•
You may examine the AD docket on the Internet at
For service information identified in this proposed rule, 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
Matt Wilbanks, Aviation Safety Engineer, Regulations and Policy Group, Rotorcraft Directorate, FAA, 10101 Hillwood Pkwy., Fort Worth, TX 76177; telephone (817) 222-5110; email
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 might result from adopting the proposals in this document. The most helpful comments reference a specific portion of the proposal, 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 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 proposed rulemaking. Before acting on this proposal, we will consider all comments we receive on or before the closing date for comments. We will consider comments filed after the comment period has closed if it is possible to do so without incurring expense or delay. We may change this proposal in light of the comments we receive.
On July 11, 2013, we issued AD 2013-15-03, Amendment 39-17519 (78 FR 44422, July 24, 2013) for Eurocopter France (now Airbus Helicopters) Model AS350B, AS350BA, AS350B1, AS350B2, AS350B3, AS350C, AS350D, and AS350D1 helicopters. AD 2013-15-03 requires visually inspecting the bearing for leaks, rust, overheating, and condition and manually rotating the bearing and inspecting for friction points, brinelling, and noise. If any of these conditions exist, AD 2013-15-03 requires replacing the hydraulic pump drive assembly. AD 2013-15-03 was prompted by six reports of hydraulic pump drive belt failure caused by bearing seizures. These actions are intended to prevent hydraulic pump drive belt failure, loss of hydraulic servo assistance, and subsequent loss of helicopter control.
AD 2013-15-03 was prompted by AD No. 2013-0044-E, dated February 27, 2013, issued by EASA, which is the Technical Agent for the Member States of the European Union, to correct an unsafe condition for Eurocopter France Model AS350B, AS350BA, AS350B1, AS350B2, AS350B3, AS350D, and non-FAA type-certificated Model AS350BB helicopters. EASA advised of hydraulic pump drive belt failures caused by seizure of the bearing. EASA stated that this condition, for helicopters with a single hydraulic system, could lead to loss of hydraulic servo assistance and an increase in pilot workload to the point that the helicopter needs to land as soon as possible. AD No. 2013-0044-E consequently required repetitive inspections of the hydraulic pump drive belt and bearing and, if required, replacing the hydraulic pump drive assembly.
Since we issued AD 2013-15-03 (78 FR 44422, July 24, 2013), EASA superseded AD No. 2013-0044-E with AD No. 2013-0284-E, dated December 2, 2013, which added a new greasing procedure and changed the inspection, reduced the inspection intervals, and required marking the pump support assemblies after corrective action or replacing the pump support assemblies as terminating action. EASA AD No. 2013-0284-E advised that the hydraulic pump drive failure was caused by accidental indentation of the raceways from incorrect fitting of the bearing. Airbus Helicopters then introduced a new bearing, part number (P/N) 704A33651269, to replace bearing P/N 704A33651243. This replacement corrects the unsafe condition as it has a reduced pre-loading value, which significantly improves its reliability. EASA consequently revised AD No. 2013-0284-E with AD No. 2013-0284R1, dated July 25, 2014, to exclude helicopters that had replaced the bearing with bearing P/N 704A33651269.
Because new cases of hydraulic pump drive bearing seizures continued to be reported on bearing P/N 704A33651243, EASA superseded AD No. 2013-0284R1 with EASA AD No. 2014-0233, dated October 23, 2014, to retain the inspections and require replacement of bearing P/N 704A33651243 with bearing P/N 704A33651269. Installation of the new bearing constitutes terminating action for the repetitive inspections.
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 its AD. We are proposing this AD because we evaluated all known relevant information and determined that an unsafe condition is likely to exist or develop on other products of the same type design.
We reviewed Airbus Helicopters Alert Service Bulletin No. AS350-63.00.24, Revision 0, dated October 21, 2014 (ASB), for Model AS350B, AS350BA, AS350BB, AS350B1, AS350B2, AS350B3, AS350D, and military Model AS350L1 helicopters with a single hydraulic system and a hydraulic pump drive assembly P/N 350A35-0132-00. The ASB calls for mandatory replacement of bearing P/N 704A33651243 with bearing P/N 704A33651269 and introduces a preventative maintenance operation for bearing P/N 704A33651243 until it is replaced.
This service information is reasonably available because the interested parties have access to it through their normal course of business or by the means identified in the
This proposed AD would require for each bearing with less than 115 hours time-in-service (TIS), before accumulating 150 hours TIS, and for each bearing with 115 or more hours TIS, within 50 hours TIS, and for all helicopters thereafter at intervals not to exceed 150 hours TIS:
• Greasing the bearing, performing a test ground run, and then inspecting for bronze particles all grease that comes out of the bearing during the ground run and all grease around the bearing.
• If there are any bronze particles in the grease, before further flight, replacing the bearing with bearing P/N 704A33651269. This action would constitute terminating action for the inspections in this AD.
Within 600 hours TIS and thereafter at intervals not to exceed 600 hours TIS, this proposed AD also would require:
• Visually inspecting the bearing for bronze particles in the grease. If there are any bronze particles in the grease, before further flight, replacing the bearing with bearing P/N 704A33651269. This would constitute terminating action for the inspections in this proposed AD.
• Manually rotating the bearing and inspecting for a friction point,
Replacing bearing P/N 704A33651243 with bearing P/N 704A33651269, or replacing hydraulic pump drive assembly P/N 350A35-0132-00 with hydraulic pump drive assembly P/N 350A35-0132-01, would constitute terminating action for the inspections required by this proposed AD.
The EASA AD applies to Airbus Helicopters Model AS350BB helicopters, and this proposed AD would not because the Model AS350BB has no FAA-issued type certificate. This proposed AD would apply to Model AS350D1 and AS350C helicopters, while the EASA AD does not.
We estimate that this proposed AD would affect 729 helicopters of U.S. Registry and that labor costs average $85 per work hour. Based on these estimates, we expect the following costs:
• Greasing and visually inspecting the bearing would require 1.5 work hours and no parts would be needed. We estimate a total cost of $128 per helicopter and $93,312 for the U.S. fleet per inspection cycle.
• Inspecting and manually rotating the bearing would require 2 work hours and no parts would be needed. We estimate a total cost of $170 per helicopter and $123,930 for the U.S. fleet per inspection cycle.
• Replacing the bearing would require 2 work hours and $1,571 for parts, for a total cost of $1,741 per helicopter and $1,269,189 for the U.S. fleet.
• Replacing the hydraulic pump drive assembly would require 2 work hours and $8,543 for parts, for a total cost of $8,713 per helicopter and $6,351,777 for the U.S. fleet.
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 proposed AD would not have federalism implications under Executive Order 13132. This proposed AD would not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government.
For the reasons discussed, I certify this proposed regulation:
1. Is not a “significant regulatory action” under Executive Order 12866;
2. Is not a “significant rule” under the 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 proposed 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 proposes to amend 14 CFR part 39 as follows:
49 U.S.C. 106(g), 40113, 44701.
This AD applies to Airbus Helicopters Model AS350B, AS350BA, AS350B1, AS350B2, AS350B3, AS350C, AS350D, and AS350D1 helicopters with a hydraulic pump drive bearing (bearing) part number (P/N) 704A33651243 installed, certificated in any category.
This AD defines the unsafe condition as seizure of the hydraulic pump drive pulley bearing. This condition could result in hydraulic pump drive belt failure, loss of hydraulic servo assistance, and subsequent loss of control of the helicopter.
This AD supersedes AD 2013-15-03, Amendment 39-17519 (78 FR 44422, July 24, 2013).
We must receive comments by June 28, 2016.
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.
(1) For each bearing with less than 115 hours time-in-service (TIS), before accumulating 150 hours TIS, and for each bearing with 115 or more hours TIS, within 50 hours TIS, and for all helicopters thereafter at intervals not to exceed 150 hours TIS:
(i) Grease each bearing in accordance with the Accomplishment Instructions, paragraph 3.B.2.b., of Airbus Helicopters Alert Service Bulletin No. AS350-63.00.24, Revision 0, dated October 21, 2014 (ASB).
(ii) Perform a test ground run. Inspect all grease that comes out of the bearing during the ground run and all grease around the bearing for bronze particles.
(iii) If there are any bronze particles in the grease, before further flight, replace the bearing with bearing P/N 704A33651269. This constitutes terminating action for the inspections in this AD.
Hydraulic pump drive assembly P/N 350A35-0132-01 is fitted with bearing P/N 704A33651269.
(2) Within 600 hours TIS and thereafter at intervals not to exceed 600 hours TIS:
(i) Visually inspect the bearing for bronze particles in the grease. If there are any bronze particles in the grease, before further flight, replace the bearing with bearing P/N 704A33651269. This constitutes terminating action for the inspections in this AD.
(ii) Manually rotate the bearing and inspect for a friction point, brinelling, and a noise from the bearing. If there is a hard point, any brinelling, or any noise from the bearing, before further flight, replace the bearing with bearing P/N 704A33651269.
(3) Replacing bearing P/N 704A33651243 with bearing P/N 704A33651269, or replacing hydraulic pump drive assembly P/N 350A35-0132-00 with hydraulic pump
(1) The Manager, Safety Management Group, FAA, may approve AMOCs for this AD. Send your proposal to: Matt Wilbanks, Aviation Safety Engineer, 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 you notify your principal inspector, or lacking a principal inspector, the manager of the local flight standards district office or certificate holding district office before operating any aircraft complying with this AD through an AMOC.
The subject of this AD is addressed in European Aviation Safety Agency (EASA) AD No. 2014-0233, dated October 23, 2014. You may view the EASA AD on the Internet at
Joint Aircraft Service Component (JASC) Code: 2913, Hydraulic Pump (Electric/Engine), Main.
Food and Drug Administration, HHS.
Notice of petition.
The Food and Drug Administration (FDA or we) is announcing that we have filed a petition, submitted by Keller and Heckman LLP on behalf of 3M Corporation (Petitioner), requesting that we amend our food additive regulations to no longer provide for the use of two different perfluoroalkyl containing substances as water and oil repellents for paper and paperboard in contact with aqueous and fatty foods because these uses have been abandoned.
Submit either electronic or written comments by June 28, 2016.
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 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:
•
• 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.”
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Vanee Komolprasert, Center for Food Safety and Applied Nutrition (HFS-275), Food and Drug Administration, 5100 Paint Branch Pkwy., College Park, MD 20740-3835, 240-402-1217.
Under section 409(b)(5) of the Federal Food, Drug, and Cosmetic Act (the FD&C Act) (21 U.S.C. 348(b)(5)), we are giving notice that we have filed a food additive petition (FAP 6B4814) submitted on behalf of 3M Corporation (Petitioner) by Keller and Heckman LLP, 1001 G Street NW., Suite 500 West, Washington, DC 20001. The petition proposes that we amend 21 CFR 176.170 to no longer provide for the use of two different perfluoroalkyl containing substances as components of paper and paperboard in contact with aqueous and fatty foods because these uses have been
1. Ammonium bis (N-ethyl-2-perfluoroalkylsulfonamido ethyl) phosphates, containing not more than 15 percent ammonium mono (N-ethyl-2-perfluoroalkylsulfonamido ethyl) phosphates, where the alkyl group is more than 95 percent C8 and the salts have a fluorine content of 50.2 percent to 52.8 percent as determined on a solids basis; and
2. Perfluoroalkyl acrylate copolymer (CAS Reg. No. 92265-81-1) containing 35 to 40 weight percent fluorine, produced by the copolymerization of ethanaminium, N,N,N-trimethyl-2-[(2-methyl-1-oxo-2-propenyl)-oxy]-, chloride; 2-propenoic acid, 2-methyl-, oxiranylmethyl ester; 2-propenoic acid, 2-ethoxyethyl ester; and 2-propenoic acid, 2[[(heptadecafluoro-octyl)sulfonyl]methyl amino]ethyl ester.
Under section 409(i) of the FD&C Act, we “shall by regulation prescribe the procedure by which regulations under the foregoing provisions of this section may be amended or repealed, and such procedure shall conform to the procedure provided in this section for the promulgation of such regulations.” Our regulations specific to administrative actions for food additives provide that the Commissioner, on his own initiative or on the petition of any interested person, under 21 CFR part 10, may propose the issuance of a regulation amending or repealing a regulation pertaining to a food additive or granting or repealing an exception for such additive (§ 171.130(a) (21 CFR 171.130(a))). These regulations further provide that any such petition shall include an assertion of facts, supported by data, showing that new information exists with respect to the food additive or that new uses have been developed or old uses abandoned, that new data are available as to toxicity of the chemical, or that experience with the existing regulation or exemption may justify its amendment or appeal. New data shall be furnished in the form specified in 21 CFR 171.1 and 171.100 for submitting petitions (21 CFR 171.130(b)). Under these regulations, a petitioner may propose that we amend a food additive regulation if the petitioner can demonstrate that there are “old uses abandoned” for the relevant food additive. Such abandonment must be complete for any intended uses in the U.S. market. While section 409 of the FD&C Act and § 171.130 also provide for amending or revoking a food additive regulation based on safety, an amendment or revocation based on abandonment is not based on safety, but is based on the fact that regulatory authorization is no longer necessary because the use of the food additive has been abandoned.
Abandonment may be based on the abandonment of certain authorized food additive uses for a substance (
The petition submitted on behalf of 3M Corporation includes the following information to support the claim that the uses of the two respective substances are no longer being introduced into the U.S. market. The Petitioner provides a statement that, to the best of the Petitioner's knowledge, the Petitioner was the sole and exclusive domestic and international manufacturer of the two respective substances for the abandoned uses and that the Petitioner does not currently manufacture them for food contact use in the U. S. In addition, the Petitioner submitted information on its May 2000 agreement with the U.S. Environmental Protection Agency (EPA) to voluntarily phase out production of perfluorooctane sulfonate (PFOS), which is used to produce the two petitioned substances (
We expressly request comments on the Petitioner's request to amend 21 CFR 176.170 of the food additive regulations to no longer permit the use of the two respective perfluoroalkyl containing substances as water and oil repellants for paper and paperboard in contact with aqueous and fatty foods. More specifically, these two petitioned substances as identified in this section may currently be used as components of the uncoated or coated food-contact surface of paper and paperboard for use in contact with aqueous and fatty foods, subject to the provisions of 21 CFR 176.170. As noted, the basis for the proposed amendment is that the uses of the respective substances have been permanently and completely abandoned. Accordingly, we request comments that address whether these uses of the respective substances have been completely abandoned, such as information on whether food-contact paper and paperboard containing the two respective substances are currently being introduced or delivered for introduction into the U.S. market. Furthermore, we request comments on whether the uses that are the subject of the petition have been adequately defined. We are not aware of information that suggests continued use of the respective substances as water and oil repellents for paper and paperboard in contact with aqueous and fatty foods. We are providing the public with 60 days to submit comments. We anticipate that some interested persons may wish to provide FDA with certain information they consider to be trade secret or confidential commercial information (CCI) that would be exempt under Exemption 4 of the Freedom of Information Act (5 U.S.C. 552). Interested persons may claim information that is submitted to FDA as CCI or trade secret by clearly marking both the document and the specific information as “confidential.” Information so marked will not be disclosed except in accordance with the Freedom of Information Act (5 U.S.C. 552) and the FDA's disclosure regulations (21 CFR part 20). For electronic submissions to
We are not requesting comments on the safety of the uses of these two perfluoroalkyl containing substances because, as discussed previously in this document, such information is not
We have determined under 21 CFR 25.32(m) that this action is of a type that does not individually or cumulatively have a significant effect on the human environment. Therefore, neither an environmental assessment nor an environmental impact statement is required.
Pipeline and Hazardous Materials Safety Administration (PHMSA), DOT.
Supplemental Notice of Proposed Rulemaking (SNPRM).
This SNPRM proposes to incorporate and allow the use of the 2015 edition of the American Society of Mechanical Engineers (ASME)
Submit comments by June 28, 2016. To the extent possible, PHMSA will consider late-filed comments as we determine whether additional rulemaking is necessary.
You may submit comments identified by the docket number [PHMSA-2010-0019 (HM-241)] by any of the following methods:
•
•
•
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Dirk Der Kinderen, Hazardous Materials Standards and Rulemaking Division, (202) 366-8553, or Stanley Staniszewski, Engineering and Research Division, (202) 366-4492, Office of Hazardous Materials Safety, Pipeline and Hazardous Materials Safety Administration, 1200 New Jersey Avenue SE., Washington, DC 20590.
The PHMSA (also “we” or “us”) proposes to amend the Hazardous Materials Regulations (HMR; 49 CFR parts 171-180) to incorporate by reference and authorize the use of the following:
• The 2015 edition of American Society of Mechanical Engineers (ASME)
• The 2015 edition of the National Board of Boiler and Pressure Vessel
The proposal is structured to provide an alternative to the 1998 editions of ASME
If the proposed amendments are adopted, manufacturers will have the option to either build tanks to
The 2015 editions of the respective codes include advancements in design, material, fabrication, repair, and inspection of transport tanks. Incorporation by reference would provide manufacturers and owners with flexibility, while providing an equivalent level of safety to the current use of
The
Manufacturers, tank owners, users, maintenance and repair entities, and third-party inspectors (including potentially public sector inspectors) could incur costs under the scope of our proposed amendments. Manufacturers who opt for
Benefits associated with the use of
The costs and benefits of this rulemaking would predominantly impact only those entities opting to use the 2015 codes. Therefore, PHMSA does
The American Society of Mechanical Engineers (ASME) is an international developer of codes and standards associated with the art, science, and practice of mechanical engineering. The organization develops and revises codes and standards that cover topics including pressure technology, construction, engineering design, standardization, and performance testing. Engineers, scientists, government officials, and others contribute their technical expertise to this enterprise.
Codes and standards such as
The National Board of Boiler and Pressure Vessel Inspectors (hereinafter called the National Board) is a member organization that promotes uniformity in the construction, installation, repair, maintenance, and inspection of pressure equipment. The National Board, which is comprised of the chief boiler inspectors representing much of North America, oversees adherence to laws, rules, and regulations relating to boilers and pressure vessels. Functions of the National Board include the following: Commissioning inspectors through a comprehensive examination process; accrediting qualified repair and alteration companies; and developing installation, inspection, repair, and alteration standards (
The
All associated rulemaking actions, supporting documentation, and comments on the rulemaking are available for review at the docket to this rulemaking [PHMSA-2010-0019].
The PHMSA published an Advanced Notice of Proposed Rulemaking (ANPRM) on December 23, 2010 [75 FR 80765], in which we asked a number of questions pertaining to the potential costs, burdens, or safety concerns associated with incorporating
The PHMSA published an NPRM on December 30, 2013 [78 FR 79363] in which we proposed to IBR the 2013 edition of
The NPRM generated comments from 20 stakeholders. The majority of the comments were in opposition to IBR the two sets of standards into the HMR; two commenters supported the proposals; and three commenters supported the proposals with modification. Several commenters posed questions or proposed additional modifications. Commenters in support of the proposals generally indicated: (1) The need to incorporate
Commenters expressed concern that decisions relative to the development of the code are heavily weighted to those participating in committee meetings, especially third-party inspection agencies who may be biased by self-interest. Commenters also stated that the process provides no assurance of public input for future revisions to the codes because the National Board, for example, has no legal mandate to provide for future participation by the general public or interested parties.
The PHMSA disagrees. Information about the
Commenters stated
While there may be increased costs to industry, PHMSA does not agree with commenters indicating inefficient or excessive costs for adopting
Commenters opposed to the NPRM generally indicated the lack of safety improvements as a basis for the opposition. The PHMSA does not agree with commenters indicating that adoption of
In response to comments and questions about PHMSA's role in continuing service requirements and ensuring compliance with industry standards, from design and manufacturing to repairs, PHMSA is proposing to amend 49 CFR 107.307(a) to reiterate existing authority to enforce compliance with industry standards incorporated by reference.
The PHMSA is issuing an SNPRM rather than a final rule for three basic reasons:
(1) To provide stakeholders the opportunity to comment on the safety improvements and updates reflected in the revised 2015 editions of
(2) To synchronize the timing of our rulemaking action with the biennial updates of
(3) To minimize or relieve the public and the government of possible administrative burdens (
In this SNPRM, PHMSA is proposing the following:
(1) IBR the 2015 edition of
(2) IBR the 2015 edition of the
(3) Authorize construction and continued service of CTMVs, cryogenic portable tanks, and ton tanks in accordance with
(4) Require the use of the 2015
(5) Authorize the use of the 2015
Section 12(d) of Public Law 104-113, the National Technology Transfer and Advancement Act of 1995, 15 U.S.C. 272 (hereinafter “the Act”), directs agencies to use voluntary consensus standards in lieu of government-unique standards except where inconsistent with law or otherwise impractical. “Use” means inclusion of a standard in whole, in part, or by reference in regulation(s). We believe the use of
(1) Eliminate the cost to the Government of developing its own standards and decrease the cost of the burden of complying with agency regulation.
(2) Provide incentives and opportunities to establish standards that serve national needs.
(3) Promote efficiency and economic competition through harmonization of standards.
The PHMSA's review of the 2015 edition of the codes did not reveal any major substantive differences between the two editions, especially with regard to the
• Revised the general requirements for welding so that the Modal Appendices are used to provide direction for construction;
• Revised Code Case 1750 to include
• Updated
• Updated Modal Appendix 1 (cargo tanks) for allowable stress criteria.
The following is a section-by-section review of the amendments proposed in this SNPRM:
Section 107.307 is the process for compliance orders and civil penalties (
Subpart F establishes a registration procedure for persons who are engaged in the manufacture, assembly, inspection and testing, certification, or repair of a cargo tank/CTMV manufactured in accordance with a DOT specification or under terms of a special permit issued under Part 107. In this SNPRM, we are not proposing to revise this subpart, but we note for general awareness that the new § 173.14, as discussed below, will reference the registration requirement in this subpart by noting that “inspectors” and “repairers” of these packagings must be registered with the DOT.
Section 171.7 lists IBR material. This SNPRM proposes to amend § 171.7, Reference material, to list the 2015 edition of
In this SNPRM, we are proposing to add a new § 173.14 for authorization of and conditions on the use of
• Authorized IBR material includes ASME
• The
• Nameplate character markings must be a minimum 4 mm (5/32”); markings directly on the tank must be a minimum 8 mm (5/16”);
• Marking must be in accordance with
• Inspection personnel must have qualifications as required by
• Inspectors or their employer must be registered with DOT; and
• Repairs must be performed by a facility holding a current National Board certificate of authorization for the use of the National Board “TR” or “R” stamp.
• Repairs must be performed by a DOT-registered facility holding a current National Board certificate of authorization for the use of the “TR” or “R” stamp; and
• For Category 338 Cargo Tanks (synonymous with DOT MC 338 CTMVs),
• External and internal visual inspections in accordance with
•
•
•
•
•
• A ton tank that fails a prescribed test or inspection must be repaired as specified in the
We propose a new § 178.278 authorizing the use of
We propose a new § 178.300 authorizing the use of
We propose a new § 179.302 authorizing the use of
We propose a new § 180.402 authorizing use of the
We propose to revise § 180.413 to authorize use of the
We propose a new § 180.502 authorizing use of the
We propose a new § 180.602 authorizing use of the
This SNPRM is published under the authority of the Federal Hazardous Materials Transportation Law, 49 U.S.C. 5101
The Administrative Procedure Act (APA) requires Federal agencies to give interested persons the right to petition an agency to issue, amend, or repeal a rule (5 U.S.C. 553(e)). Section 106.95 of the HMR, provides the process and procedures for persons to petition PHMSA to add, amend, or delete a regulation. In this SNPRM, PHMSA is
This SNPRM is not considered a significant regulatory action under Section 3(f) of Executive Order 12866 (“Regulatory Planning and Review”) and, therefore, was not reviewed by the Office of Management and Budget (OMB). The proposed rule is not considered a significant rule under the Regulatory Policies and Procedures order issued by the U.S. Department of Transportation [44 FR 11034].
Executive Order 13563 (“Improving Regulation and Regulatory Review”) supplements and reaffirms the principles, structures, and definitions governing regulatory review that were established in Executive Order 12866, published September 30, 1993. Executive Order 13563, issued January 18, 2011, notes that our nation's current regulatory system must not only protect public health, welfare, safety, and our environment but also promote economic growth, innovation, competitiveness, and job creation.
Executive Order 13610 (“Identifying and Reducing Regulatory Burdens”), issued May 10, 2012, urges agencies to conduct retrospective analyses of existing rules to examine whether they remain justified or whether they should be modified or streamlined in light of changed circumstances, including the rise of new technologies.
By building off of each other, these three Executive Orders require agencies to regulate in the “most cost-effective manner,” to make a “reasoned determination that the benefits of the intended regulation justify its costs,” and to develop regulations that “impose the least burden on society.”
The PHMSA believes that if the 2015 editions of
The overall costs and benefits associated with this SNPRM and the supporting calculations are included in the supplement to the NPRM regulatory impact analysis (RIA) provided in the docket for this rulemaking. For specific responses to comments received to the NPRM please see Section III of this document. Below is a brief summary of the affected entities, as well as the costs and benefits of this SNPRM:
The majority of the new costs that would result from the optional use of the IBR of the 2015 edition of ASME
Using data from the Bureau of Labor Statistics (BLS), the Steel Tank Institute (STI), the Pressure Vessel Manufacturers Association (PVMA), and ASME's Pressure Vessel Manufacturer Members, we estimate that there are 290 manufacturers of portable tanks, ton tanks, and CTMVs. Collectively, these firms employ approximately 8,889 individuals directly involved in production and maintenance of transport tanks (
New vessels manufactured under
Using data from the BLS, we estimate there are 3,863 non-manufacturers, collectively employing 6,839 individuals directly engaged in the repair, maintenance, and alteration of transport tanks or performing associated design and supervision tasks. Non-manufacturers include repair and maintenance firms of pressure vessels. All repair firms would be required to purchase a copy of both ASME
Tank inspectors include third-party inspectors, owner-user inspectors, chief boiler inspectors, and public inspectors. Data from the National Board of Boiler and Pressure Vessel Inspectors indicate that there are 41 authorized third-party agencies.
Based on the information presented in the “Section XII Code Differences” document, there are several opportunities for cost savings if the 2015 editions of
As this SNPRM authorizes the voluntary use of the 2015 editions of
This proposed rule has been analyzed in accordance with the principles and criteria contained in Executive Order 13132 (“Federalism”) and the President's memorandum (“Preemption”) that was published in the
The Federal Hazardous Materials Transportation Law, 49 U.S.C. 5101-5128, contains an express preemption provision (49 U.S.C. 5125 (b)) that preempts State, local, and Indian tribe requirements on the following subjects:
(1) The designation, description, and classification of hazardous materials;
(2) The packing, repacking, handling, labeling, marking, and placarding of hazardous materials;
(3) The preparation, execution, and use of shipping documents related to hazardous materials and requirements related to the number, contents, and placement of those documents;
(4) The written notification, recording, and reporting of the unintentional release in transportation of hazardous material; and
(5) The design, manufacture, fabrication, marking, maintenance, recondition, repair, or testing of a packaging or container represented, marked, certified, or sold as qualified for use in transporting hazardous material.
This proposed rule addresses packaging for hazardous materials. If adopted as final, this rule will preempt any State, local, or Indian tribe
Incorporation of new consensus standards by reference in the HMR may impact state and local CTMV enforcement programs. Potential impacts include the cost of purchasing the new
This final rule has been analyzed in accordance with the principles and criteria contained in Executive Order 13175 (“Consultation and Coordination with Indian Tribal Governments”). The PHMSA is not aware of any significant or unique affects or substantial direct compliance costs on the communities of the Indian tribal governments from proposals in this rulemaking. Therefore, we conclude that the funding and consultation requirements of Executive Order 13175 do not apply. However, we invite Indian tribal governments to provide comments should they believe there will be an impact.
The Regulatory Flexibility Act (5 U.S.C. 601
The adoption of
We estimate that there are approximately 5,200 businesses likely to be affected by this rule. The Small Business Administration (SBA) uses industry-specific standards to estimate which of those are “small businesses.” The PHMSA assumes that a significant number of businesses within the regulatory scope (nearly all) are small.
Based on our analysis, the three major industries—manufacturers, third-party inspection agencies, and tank repair services—could, at their discretion, conform to the new standards. Manufacturers could introduce new materials; third-party inspectors could conduct more current, meaningful tests that are relevant to more transport specific designs; and tank repair services could expand to accommodate the new standards.
Based on the expected service life of a transport tank of 30 years, we assume that only 1/30 of all transport tanks will be replaced each year. Given the optional nature of this rule, the newly constructed tanks will consist of some combination of
Based upon our above-mentioned 5,200 estimated businesses and assumptions, PHMSA certifies that the proposals in this SNPRM will not have a significant economic impact on a substantial number of small entities. In this notice, PHMSA is soliciting further comment on this conclusion that the proposals in this SNPRM will not cause a significant economic impact on a substantial number of small entities.
Section 1320.8(d), Title 5, Code of Federal Regulations requires that PHMSA provide interested members of the public and affected agencies an opportunity to comment on information collection and recordkeeping requests. The recordkeeping requirements in
A regulation identifier number (RIN) is assigned to each regulatory action listed in the Unified Agenda of Federal Regulations. The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year. The RIN contained in the heading of this document can be used to cross-reference this action with the Unified Agenda.
This proposed rule does not impose unfunded mandates under the Unfunded Mandates Reform Act of 1995. It does not result in costs of $141,300,000 or more to either State, local, or tribal governments, in the aggregate, or to the private sector, and it is the least burdensome alternative that achieves the objective of the rule.
The National Environmental Policy Act of 1969 (NEPA), as amended (42 U.S.C. 4321-4347), and implementing regulations by the Council on Environmental Quality (CEQ) (40 CFR part 1500) require Federal agencies to consider the consequences of Federal actions and prepare a detailed statement on actions that significantly affect the quality of the human environment.
The CEQ regulations order Federal agencies to conduct an environmental
The PHMSA is proposing this rulemaking to IBR the 2015 editions of
The PHMSA is considering the following alternatives:
Each alternative presented represents different levels of adoption of
The PHMSA is proposing Alternative 3, as it was found to be optimal. Benefits associated with the rule include lower manufacturing costs and higher capacities for shippers. Costs to industry are minimal and incurred only when the manufacturer decides to build tanks to the
When developing potential regulatory requirements, PHMSA evaluates the requirements to consider the environmental impact. Specifically, PHMSA evaluates the following: The risk of release and resulting environmental impact; the risk to human safety, including any risk to first responders; the longevity of the packaging; and the circumstances in which the regulations would be carried out (
The non-editorial proposed provisions of this SNPRM are discussed in further detail and evaluated based on their overall environmental impact, as follows:
Environmental benefits result from fewer trips for CTMVs, cryogenic portable tanks, and ton tanks used to transport the same quantities of hazardous materials, because of greater capacities. In most cases, due to alternative materials of construction, the thickness of the tank shells can be reduced, permitting more material to be hauled and reducing the number of trips needed to handle the same volume of product. For example, an MC 331 propane tank manufactured according to
In an effort to ensure all appropriate Federal stakeholders are provided a chance to provide input on potential rulemaking actions, PHMSA, as part of its rulemaking development, consults other Federal agencies that could be potentially affected. In developing this rulemaking action, PHMSA consulted the Federal Motor Carrier Safety Administration (FMCSA), Federal Railroad Administration (FRA), Environmental Protection Agency (EPA), and Occupational Safety and Health Administration (OSHA).
This SNPRM proposes to IBR
Anyone is able to search the electronic form of all comments received into any of our dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review the DOT's complete Privacy Act Statement in the
The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal agencies from establishing any standards or engaging in related activities that create unnecessary obstacles to the foreign commerce of the United States. For purposes of these requirements, Federal agencies may participate in the establishment of international standards, so long as the standards have a legitimate domestic objective, such as providing for safety, and do not operate to exclude imports that meet this objective. The statute also requires consideration of international standards and, where appropriate, that they be the basis for U.S. standards. The PHMSA participates in the establishment of international standards in order to protect the safety of the American public, and we assess the effects of any rule to ensure that it does not exclude imports that meet this objective.
Administrative practice and procedure, Hazardous materials transportation, Packaging and containers, Penalties, Reporting and recordkeeping requirements.
Exports, Hazardous materials transportation, Hazardous waste, Imports, Incorporation by reference, Reporting and recordkeeping requirements.
Hazardous materials transportation, Packaging and containers, Radioactive materials, Reporting and recordkeeping requirements, Uranium.
Hazardous materials transportation, Motor vehicle safety, Packaging and containers, Reporting and recordkeeping requirements.
Hazardous materials transportation, Railroad safety, Reporting and recordkeeping requirements.
Hazardous materials transportation, Motor carriers, Motor vehicle safety, Packaging and containers, Railroad safety, Reporting and recordkeeping requirements.
In consideration of the foregoing, 49 CFR Chapter I is amended as follows:
49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section 4 (28 U.S.C. 2461 note); Pub. L. 104-121 sections 212-213; Pub. L. 104-134 section 31001; Pub. L. 112- 141 section 33006, 33010; 49 CFR 1.81 and 1.97.
(a) When the Associate Administrator and the Office of Chief Counsel have reason to believe that a person is knowingly engaging or has knowingly engaged in conduct which is a violation of the Federal Hazardous Material Transportation Law or any provision of this subchapter or subchapter C of this chapter, or any standard incorporated by reference in subchapter C of this chapter, or any exemption, special permit, or order issued thereunder, for which the Associate Administrator or the Office of Chief Counsel exercise enforcement authority, they may—
49 U.S.C. 5101-5128, 44701; Pub. L. 101-410 section 4 (28 U.S.C. 2461 note); Pub. L. 104-134, section 31001; 49 CFR 1.81 and 1.97.
The amendments read as follows:
(g) * * *
(2) 2015 ASME Boiler and Pressure Vessel Code (ASME Code Section XII), 2015 Edition, July 1, 2015 (as follows), into §§ 173.14, 178.278, 178.301, 179.302:
(i) Section XII—Rules for Construction and Continued Service of Transport Tanks.
(3) ASME B31.4-2012, Pipeline Transportation Systems for Liquids and Slurries, November 12, 2012, into § 173.5a.
(x) * * *
(2) 2015 National Board Inspection Code (NBIC), A Manual for Boiler and Pressure Vessel Inspectors, 2015 Edition, into §§ 173.14, 178.278, 178.301, 179.302, 180.402, 180.502, 180.602:
(i) Supplement 6, Continued Service and Inspection of DOT Transport Tanks, 2015 Edition.
49 U.S.C. 5101-5128, 44701; 49 CFR 1.81, 1.96 and 1.97.
This section authorizes, with certain conditions and limitations, the use of ASME Code Section XII (IBR, see § 171.7) for the construction and continued service of cargo tank motor vehicles, cryogenic portable tanks, and multi-unit tank car tanks (ton tanks). The following table presents the transport tanks authorized for construction using ASME Code Section XII.
Conditions and limitations on the use of the ASME Code Section XII for design, construction, qualification and certification, and maintenance are as follows—
(a)
(2) Continuing qualification and maintenance of cargo tank motor vehicles, cryogenic portable tanks, and ton tanks must be in accordance with the NBIC and Supplement 6 (IBR, see § 171.7) in conjunction with ASME Code Section XII as authorized in part 180 of this subchapter;
(3) Nameplate character markings must be a minimum 4 mm (5/32”), markings directly on the tank must be a minimum 8 mm (5/16”);
(4) Periodic test information is not permitted on the ASME nameplate. Marking must be in accordance with the Supplement 6;
(5) A person performing a certification inspection (
(6) A person (
(b)
(1) For MC 338 Cargo Tanks, ASME Code Section XII, Modal Appendix 1, Article 4, paragraph 1-4.4(g)(6) does not apply. A minimum jacketed thickness of 2.4 mm (0.0946 in) 12 gauge in the reference metal is permitted.
(c)
(1) An inspector must perform external and internal visual inspection in accordance with Supplement 6 (IBR, see § 171.7) in addition to ASME Code Section XII, Modal Appendix 3, Article 1, paragraph 3-1.10(b), and Article 1, 3-1.10(b)(5);
(2) ASME Code Section XII, Modal Appendix 3, Article 1, paragraph 3-1.10(b)(6) does not apply; and
(3) Records must be kept in accordance with the Supplement 6, as applicable.
(d)
(1) ASME Code Section XII, Modal Appendix 4, Article 1, paragraph 3-1.10 does not apply. Manufacturer-certified fusible plugs, tested and qualified under the fuse plug manufacturers' written quality control system must be used;
(2) Notwithstanding ASME Code Section XII, Modal Appendix 4, Article 1, paragraph 4-8, non-ASME marked fusible plugs are authorized;
(3) Per ASME Code Section XII, Modal Appendix 4, Article 1, paragraph 4-12(a), an inspector must perform an external and internal visual inspection in accordance with NBIC Supplement 6;
(4) Records must be kept in accordance with the Supplement 6, as applicable; and
(5) A ton tank that fails a prescribed test or inspection must be repaired in accordance with NBIC or removed from service.
49 U.S.C. 5101-5128, 49 CFR 1.81, 1.96 and 1.97.
Notwithstanding the requirements of §§ 178.274 and 178.277 of this subpart,
Notwithstanding the requirements of this subpart, cargo tank motor vehicles Specification MC 331, 338, and DOT 406, 407, or 412 may be designed, constructed, inspected (
49 U.S.C. 5101-5128, 49 CFR 1.81 and 1.97.
Notwithstanding the requirements of this subpart, Class DOT-106A and 110AW multi-unit tank car tanks may be designed, constructed, inspected (
49 U.S.C. 5101-5128, 44701; 49 CFR 1.81, 1.96 and 1.97.
Notwithstanding the applicability of § 180.401 and the requirements of § 180.413 (for ASME Code Section VIII, Division 1 cargo tanks) of this subpart for the continuing qualification and maintenance of an authorized specification cargo tank motor vehicle, and subject to conditions and limitations set forth in § 173.14 of part 173, the NBIC (IBR, see § 171.7)—
(a) Must be used, with Supplement 6 (IBR, see § 171.7), for the continuing qualification, maintenance, or periodic testing (
(b) May be used, in combination with the requirements of this part, for the continuing qualification, maintenance, or periodic testing (
Notwithstanding the applicability of § 180.501 of this subpart for the qualification and maintenance of multi-unit tank car tanks, and subject to conditions and limitations set forth in § 173.14 of part 173, the NBIC and Supplement 6 (IBR, see § 171.7), must be used for the continuing qualification, maintenance, or periodic testing (
Notwithstanding the applicability of § 180.601 of this subpart for the continuing qualification, maintenance or periodic testing of portable tanks, and subject to conditions and limitations set forth in § 173.14 of part 173, the NBIC and Supplement 6 (IBR, see § 171.7) must be used for the continuing qualification, maintenance, or periodic testing (
Animal and Plant Health Inspection Service, USDA.
Revision to and extension of approval of an information collection; comment request.
In accordance with the Paperwork Reduction Act of 1995, this notice announces the Animal and Plant Health Inspection Service's intention to request a revision to and extension of approval of an information collection associated with the current regulations for the interstate movement of sheep and goats and an indemnity program to control the spread of scrapie.
We will consider all comments that we receive on or before June 28, 2016.
You may submit comments by either of the following methods:
•
•
Supporting documents and any comments we receive on this docket may be viewed at
For information on the domestic regulations to control the spread of scrapie, contact Dr. Diane Sutton, National Scrapie Program Coordinator, Sheep, Goat, Cervid & Equine Health Center, Surveillance, Preparedness and Response Services, VS, APHIS, 4700 River Road Unit 43, Riverdale, MD 20737; (301) 851-3509. For copies of more detailed information on the information collection, contact Ms. Kimberly Hardy, APHIS' Information Collection Coordinator, at (301) 851-2727.
Scrapie is a progressive, degenerative, and eventually fatal disease affecting the nervous system of sheep and goats. Its control is complicated because the disease has an extremely long incubation period without clinical signs of disease and no known treatment.
APHIS regulations in 9 CFR part 79 restrict the interstate movement of certain sheep and goats to control the spread of scrapie, and 9 CFR part 54 contains regulations for an indemnity program, flock cleanup, testing, and a Scrapie Flock Certification Program (SFCP).
The scrapie disease control program information collection activities include cooperative agreements; grants; memorandums of understanding; APHIS forms for inspection and epidemiology data; applications to participate in the SFCP; flock plans; post-exposure management and monitoring plans; record suspect/dead animals; scrapie test records; applications for indemnity payments; certificates, permits, and owner statements for the interstate movement of certain sheep and goats; applications for premises identification numbers; applications for official APHIS identification; designated scrapie epidemiologist training; and other program-related activities.
In addition, we are adding information collection activities that were previously overlooked as being part of the current domestic scrapie program
We are asking the Office of Management and Budget (OMB) to approve our use of these information collection activities, as described, for an additional 3 years.
The purpose of this notice is to solicit comments from the public (as well as affected agencies) concerning our information collection. These comments will help us:
(1) Evaluate whether the 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 our estimate of the burden of the collection of information, including the validity of the methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the collection of information on those who are to respond, through use, as appropriate, of automated, electronic,
All responses to this notice will be summarized and included in the request for OMB approval. All comments will also become a matter of public record.
Carson National Forest, USDA Forest Service.
Notice of new fee site.
The Carson National Forest is proposing to charge a $175 fee for the overnight rental of the Aldo Leopold House and a $50 fee for the overnight rental of the Lagunitas Guard Station. Neither facility has been available for recreation use prior to this date. Rentals of other cabins in the Southwestern Region have shown that people appreciate and enjoy the availability of historic rental cabins. Funds from both the rentals will be used for the continued operation and maintenance of each of the facilities. These fees are only proposed and will be determined upon further analysis and public comment.
Send any comments about these fee proposals by August 2016 so comments can be compiled, analyzed and shared with a Recreation Resource Advisory Committee. Should the fee proposal move forward, both rentals will likely be available May 2017.
Forest Supervisor, Carson National Forest, 208 Cruz Alta Road, Taos, NM 87557.
Sharon Cuevas, Recreation Fee Coordinator, (505) 842-3235.
The Federal Recreation Lands Enhancement Act (Title VII, Pub. L. 108-447) directed the Secretary of Agriculture to publish a six month advance notice in the
This new fee will be reviewed by a Recreation Resource Advisory Committee prior to a final decision and implementation.
Currently no Federal or State agencies in the state of New Mexico offer over-night rentals of this type. Arizona, the neighboring state in Region 3, provides several historic properties for public rental and that program has become very successful.
The house consists of a 4 bedroom Craftsman Style Bungalow home that was built by Aldo Leopold in 1912 when he was the new Forest Supervisor on the Carson National Forest for himself and his new wife Estella Luna Ortero Bergere. The Leopold House is located in the small village of Tres Piedras New Mexico and is a one and a half story home with a large front porch. The interior of the first floor has four rooms that include a dining room, kitchen, library and bedroom. A large stone fireplace is the focal point of the home. The upstairs of the home includes 3 bunk style bedrooms. The home was restored by volunteers and the Forest Service in 2005 and has running water, electricity, propane heat and is fully furnished.
The Lagunitas Guard Station is a small single room cabin located in a remote setting approximately 20 miles west of Tres Piedras New Mexico. It is a simple facility, with no electricity, trash service or running water. The Guard Station is located adjacent to the small primitive Lagunitas Campground and the Lagunitas Lakes. For those visitors willing to make the long drive, the setting will not disappoint.
A business analysis of the Aldo Leopold House and Lagunitas Guard Station has shown that people desire having this sort of recreation experience on the Carson National Forest. A market analysis indicates that the $175/per night fee for the Leopold House and $50/per night for the Lagunitas Guard Station is both reasonable and acceptable for this sort of unique recreation experience.
People wanting to rent either facility will need to do so through the National Recreation Reservation Service, at
Forest Service, USDA.
Notice of intent to prepare an environmental impact statement.
In September 2015, the Tahoe National Forest (TNF) accepted an application from Squaw Valley Ski Holdings, LLC which proposes to install, operate, and maintain an aerial ropeway system connecting the Squaw Valley and Alpine Meadows ski areas. This proposal also included an alteration to current avalanche mitigation techniques including the installation of Gazex® exploders. Implementation of the proposal would require an amendment to an existing Special Use Permit (SUP) issued for the operation and maintenance of Alpine Meadows Ski Area (Alpine Meadows). The proposal is consistent with Alpine Meadows' current Master Development Plan (MDP) and passed the screening criteria for consideration to use National Forest System (NFS) lands and amend the existing permit consistent with Forest Service land use regulations.
Comments concerning the scope of the analysis must be received by May 31, 2016. The draft environmental impact statement is expected in winter 2016 and the final environmental impact statement is expected in summer 2017.
Send written comments to: Eli Ilano, Tahoe National Forest Supervisor, c/o NEPA Contractor, P.O. Box 2729, Frisco, CO 80443. Comments may also be submitted on the project
Additional information related to the proposed project can be obtained from the project Web site,
Individuals who use telecommunication devices for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 between 8 a.m. and 8 p.m., Eastern Time, Monday through Friday.
The TNF's purpose for the project is to improve developed winter recreation opportunities in the Scott Management Area, consistent with the 1990 Tahoe National Forest Land and Resource Management Plan as amended (Forest Plan). SUPs, and amendments to SUPs, are issued by the Forest Service and are required by law to be consistent with the Forest Plan. Desired future conditions for recreation management in the Forest Plan relevant to the project direct the Forest to “provide a variety of opportunities for developed and dispersed recreation experiences” (Forest Plan, p. V-5). The Alpine Meadows SUP is located in the Scott Management Area which allows for development of additional winter sports facilities and support services as part of the desired future condition of the management area (Forest Plan, p. V-446-449).
The TNF needs to respond to Squaw Valley Ski Holdings, LLC's land use application which proposes amendment of their SUP to improve connectivity between Alpine Meadows and Squaw Valley ski areas. The need for improved connectivity between the ski areas is based on a number of factors. The developed trail network at Squaw Valley has limited terrain suitable for beginners and teaching; Alpine Meadows has additional intermediate and beginner terrain. Squaw Valley has the majority of resort amenities (
The Proposed Action includes amendment of the Alpine Meadows Special Use Permit to authorize construction, operation and maintenance of the following proposed infrastructure and improvements: (1) Construction of a gondola connecting the ski and base areas of Alpine Meadows and Squaw Valley, and (2) installation of eight Gazex avalanche mitigation exploders (seven on NFS lands, one on private lands). Additional information and maps of this proposal can be found at:
The Responsible Official is the Tahoe National Forest Supervisor.
The decision to be made is whether to authorize the Proposed Action as described above, to modify the project to meet the purpose and need while addressing issues raised in public scoping, or to take no action at this time.
The project would require an amendment to the Alpine Meadows Special Use Permit, issued by the United States Forest Service.
In addition to analysis under the National Environmental Policy Act (NEPA), Placer County will prepare an Environmental Impact Report to analyze environmental impacts of the proposal pursuant to the California Environmental Quality Act (CEQA). The Forest Service and Placer County will coordinate the NEPA and CEQA analyses for consistency.
This notice of intent initiates the scoping process, which guides the development of the environmental impact statement. The Forest Service is soliciting comments from Federal, State and local agencies and other individuals or organizations that may be interested in or affected by implementation of the proposed project. Two public meetings will be held on May 9, 2016 to gather comments on the scope of the project. Both meetings will be held at the Resort at Squaw Creek, Monument Peak Room, 400 Squaw Creek Road, Olympic Valley, California. The first meeting will be held from 2:00-4:00 p.m. and the second will be held from 6:00-8:00 p.m. These meetings will be held jointly with Placer County regarding their analysis of the project under California Environmental Quality Act. Representatives from the TNF, Squaw Valley Ski Holdings, LLC, and Placer County will be present to answer questions and provide additional information on this project.
This project will be subject to 36 CFR 218 Project-level Predecisional Administrative Review Process (Parts A and B). Individuals and entities who have submitted timely, specific written comments regarding a proposed project or activity during public comment periods, including this 30-day public scoping period, may file an objection (36 CFR 218.5(a)). Written comments received, including the names and addresses of those who comment, will be considered part of the public record on this proposal and will be available for public inspection (36 CFR 218.25(b)(2)). For purposes of meeting the 36 CFR 218.5 eligibility requirements, the public scoping period will end 30 days from the date the Notice of Intent is published in the
It is important that reviewers provide their comments at such times and in such manner that they are useful to the agency's preparation of the environmental impact statement. Therefore, comments should be provided prior to the close of the comment period and should clearly articulate the reviewer's concerns and contentions.
Comments received in response to this solicitation, including names and addresses of those who comment, will be part of the public record for this proposed action. Comments submitted anonymously will be accepted and considered, however.
Bureau of the Census, Department of Commerce.
Notice of public meeting.
The Bureau of the Census (Census Bureau) is giving notice of a meeting of the National Advisory
May 26-27, 2016. On May 26, the meeting will begin at approximately 8:30 a.m. and end at approximately 5:00 p.m. On May 27, the meeting will begin at approximately 8:30 a.m. and end at approximately 3:00 p.m.
The meeting will be held at the U.S. Census Bureau Auditorium, 4600 Silver Hill Road, Suitland, Maryland 20746.
Tara Dunlop, Branch Chief for Advisory Committees, Customer Liaison and Marketing Services Office,
The NAC was established in March 2012 and operates in accordance with the Federal Advisory Committee Act (Title 5, United States Code, Appendix 2, Section 10). NAC members are appointed by the Director, U.S. Census Bureau, and consider topics such as hard to reach populations, race and ethnicity, language, aging populations, American Indian and Alaska Native tribal considerations, new immigrant populations, populations affected by natural disasters, highly mobile and migrant populations, complex households, rural populations, and population segments with limited access to technology. The Committee also advises on data privacy and confidentiality, among other issues.
All meetings are open to the public. A brief period will be set aside at the meeting for public comment on May 27. However, individuals with extensive questions or statements must submit them in writing to:
If you plan to attend the meeting, please register by Tuesday, May 24, 2016. You may access the online registration from the following link:
This meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should also be directed to the Committee Liaison Officer as soon as known, and preferably two weeks prior to the meeting.
Due to increased security and for access to the meeting, please call 301-763-9906 upon arrival at the Census Bureau on the day of the meeting. A photo ID must be presented in order to receive your visitor's badge. Visitors are not allowed beyond the first floor.
Topics to be discussed include the following items:
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).
This information collection request may be viewed at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to
The Department of Commerce will submit to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).
The Act establishes the First Responder Network Authority (FirstNet) as an independent authority within NTIA and authorizes it to take all actions necessary to ensure the design, construction, and operation of the NPSBN, based on a single, national network architecture.
The Act also charges NTIA with establishing a grant program, the State and Local Implementation Grant Program (SLIGP), to assist state, regional, tribal, and local jurisdictions with identifying, planning, and implementing the most efficient and effective means to use and integrate the infrastructure, equipment, and other architecture associated with the NPSBN to satisfy the wireless broadband and data services needs of their jurisdictions. NTIA will use the collection of information to ensure that SLIGP grant recipients are effectively monitored and evaluated against the core purposes of the program established by the Act. The information collection will ensure that final data is collected to effectively assess the success of SLIGP recipients in implementing their project goals.
The publication of this notice allows NTIA to begin the process to request approval for the standard three years. This request is a new information collection request.
NTIA published a Notice in the
This information collection request may be viewed at reginfo.gov. Follow the instructions to view Department of Commerce collections currently under review by OMB.
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to
The Department of Commerce will submit to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).
These collections are designed to reduce export licensing burden. It is up to the individual company to decide whether it is most advantageous to continue to submit license applications or to comply with the reporting or recordkeeping requirements and take advantage of the licensing exception or exclusion.
This information collection request may be viewed at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to
The Department of Commerce will submit to the Office of Management and Budget (OMB) for clearance the following proposal for collection of information under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35).
These collections are designed to reduce export licensing burden. It is up to the individual company to decide whether it is most advantageous to continue to submit license applications or to comply with the reporting or recordkeeping requirements and take advantage of the licensing exception or exclusion.
This information collection request may be viewed at
Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to OIRA
Bureau of Industry and Security, Department of Commerce.
Notice.
The Department of Commerce, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995.
Written comments must be submitted on or before June 28, 2016.
Direct all written comments to Jennifer Jessup, Departmental Paperwork Clearance Officer, Department of Commerce, Room 6616, 14th and Constitution Avenue NW., Washington, DC 20230 (or via the Internet at
Requests for additional information or copies of the information collection instrument and instructions should be directed to Mark Crace, BIS ICB Liaison, (202) 482-8093,
The information collected from defense contractors and suppliers on Form BIS-999, Request for Special Priorities Assistance, is required for the enforcement and administration of special priorities assistance under the Defense Production Act, the Selective Service Act and the Defense Priorities and Allocation System regulation.
Submitted electronically or on paper.
Comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden (including hours and cost) of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology.
Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval of this information collection; they also will become a matter of public record.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; issuance of permit amendment.
Notice is hereby given that James T. Harvey, Moss Landing Marine Laboratories, 8272 Moss Landing Road, Moss Landing, CA 95039 has been issued a minor amendment to Scientific Research Permit No. 15271.
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.
Amy Sloan 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. 15271), issued on March 25, 2011 (64 FR 18534), authorized Dr. Harvey to conduct research on blue (
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; request for comments.
The National Ocean Council Committee on IUU Fishing and Seafood Fraud (NOC Committee) is seeking public input on the design and implementation of a Commerce Trusted Trader Program as part of an effective seafood traceability process to combat IUU fishing and seafood fraud. The Commerce Trusted Trader Program will establish within the previously proposed Seafood Import Monitoring Program such benefits as reduced targeting and inspections, and enhanced streamlined entry into U.S. commerce for holders of an International Fisheries Trade Permit that are certified for participation in the Commerce Trusted Trader Program.
Comments must be received by June 28, 2016. Public webinars will take place from 2:00 to 3:30 p.m. eastern daylight time on May 4, 2016, 2:00 to 3:30 p.m. eastern daylight time on May 10, 2016, and 2:30 to 4:00 p.m. eastern daylight time on June 6, 2016.
You may submit comments on this document, identified by Docket NOAA-NMFS-2014-0090, by either of the following methods:
•
•
Information on joining the public webinars will be posted online at
Melissa Beaudry, Quality Officer, Office of International Affairs and Seafood Inspection; 301-427-8308.
On June 17, 2014, the White House released a Presidential Memorandum entitled “Establishing a Comprehensive Framework to Combat Illegal, Unreported, and Unregulated Fishing and Seafood Fraud.” Among other actions, the Memorandum established a Presidential Task Force on Combating Illegal, Unreported, and Unregulated (IUU) Fishing and Seafood Fraud (Task Force), co-chaired by the Departments of State and Commerce, with membership including a number of other Federal agency and White House Offices: The Departments of Agriculture, Defense, Health and Human Services, Homeland Security, Interior, and Justice; the Federal Trade Commission; the U.S. Agency for International Development; the Council on Environmental Quality; the Office of Science and Technology Policy; the National Security Council; and the Office of the U.S. Trade Representative.
The Task Force was directed to report to the President “recommendations for the implementation of a comprehensive framework of integrated programs to combat IUU fishing and seafood fraud that emphasizes areas of greatest need.” Those recommendations were provided to the President through the National Ocean Council, and NMFS requested comments from the public on how to effectively implement the recommendations of the Task Force (79 FR 75536, December 18, 2014). Oversight for implementing the recommendations of the Task Force has been charged to the National Ocean Council Standing Committee on IUU Fishing and Seafood Fraud (NOC Committee). On March 15, 2015, the Task Force published its Action Plan for Implementing the Task Force Recommendations (
Recommendation 14 concerns the development of a risk-based traceability program as a means to combat IUU fishing and seafood fraud. Recommendation 15 calls for the implementation of the first phase of that risk-based traceability program that tracks fish and fish products identified as being at risk of IUU fishing or seafood fraud from point of harvest to point of entry into U.S. commerce.
The first step taken to address Recommendations 14 and 15 was the identification of those species likely to be at risk of IUU fishing or seafood fraud. The second step taken was proposed rulemaking (81 FR 6210, February 5, 2016), which would establish data reporting, recordkeeping, and related operational requirements at the point of entry into U.S. commerce for imported fish and fish products of at-risk species. The data reporting and recordkeeping requirements for at-risk species imports would apply to importers of record, who would be required to obtain an International Fisheries Trade Permit. The importers of record are the importers as identified in CBP entry filings for shipments containing the designated at-risk species. Customs brokers may fulfill these requirements on behalf of the importer of record at the importer of record's request.
The next step is to develop and implement a trusted trader program whereby the Secretary of Commerce will collaborate with the Secretary of Homeland Security and other agencies as relevant to assist in developing a voluntary Commerce Trusted Trader Program for importers of the species covered by the final rule to be issued to establish a Seafood Import Monitoring Program. The Commerce Trusted Trader Program will provide benefits such as reduced targeting and inspections and enhanced streamlined entry into U.S. commerce for certified importers. With this notice, the Committee is soliciting comments on the design and implementation of this Commerce Trusted Trader Program.
As proposed, the Seafood Import Monitoring Program holds the importer of record responsible for certain reporting and recordkeeping
The Committee seeks comment on scope of criteria for evaluating and certifying permit holders as “trusted traders”. Such criteria might include, among other considerations, the compliance record of the applicant for other federal programs, the extent to which the certified permit holder has measures in place to verify the source and chain of custody of imported fish and fish products, and the nature and complexity of the supply chains from which the permit holder sources their imports. Additionally, the Committee seeks comment as to how the criteria within the scope of a Trusted Trader program should be weighted when considering certification of a permit holder.
The Committee also seeks comment on which attributes of a supply chain covered by the scope of the Seafood Import Monitoring Program (harvest, landing, shipment, processing, storage, import entry, etc.), if any, can be considered as criteria for inclusion in a Trusted Trader program. As with the Seafood Import Monitoring Program itself, implementation of a Commerce Trusted Trader Program must be compliant with United States international trade obligations.
The Task Force Action Plan describes the Commerce Trusted Trader Program as “provid[ing] benefits such as reduced targeting and inspections and enhanced streamlined entry into U.S. commerce . . .” The Committee seeks comments on these and other potential benefits that may expedite the flow of trade, reduce the burden of compliance for certified permit holders, and improve implementation and enforcement efficiency. Additionally, the Committee seeks comment on how those benefits will incentivize participation in the Commerce Trusted Trader Program while ensuring the continued effectiveness of the Seafood Import Monitoring Program.
The Committee seeks recommendations on the potential scope and process of evaluating permit holders for certification. Commenters are encouraged to describe how permit holders should be evaluated against recommended criteria.
The Committee also seeks recommendations on the potential scope and process of verifying a certified permit holder's ongoing compliance with certification criteria. Commenters are encouraged to describe process and frequency by which certified Trusted Traders and other entities that may be included in the Commerce Trusted Trader Program are evaluated for compliance with certification criteria.
NOAA administers several other trade monitoring programs requiring importers of record to obtain an IFTP, report information at time of entry, and maintain records describing the imported product's chain of custody. These include the Highly Migratory Species Catch Documentation Program and the Antarctic Marine Living Resources Import/Export Certification Program. The Committee seeks comment on the extent to which these programs can or should be included in a Commerce Trusted Trader Program.
Comments are also requested regarding the potential coordination of other federal trusted trader or import monitoring programs as a means of expediting the entry of fish products, reducing overall regulatory burden, and improving the efficiency of implementation and enforcement. Additionally, the Committee seeks comment on how coordination, or integration, with other federal Trusted Trader programs will incentivize participation in the Commerce Trusted Trader Program while ensuring the continued effectiveness of the Seafood Import Monitoring Program.
NMFS notes, however, that the Tuna Tracking and Verification Program (TTVP) requires certain reporting and recordkeeping requirements regarding imports of tuna products on the part of U.S. processors, importers, and others for purposes of the dolphin safe labeling requirements for tuna product. See 50 CFR part 216, subpart H. These requirements were recently amended by interim final rule. See 81 FR 15444, March 23, 2016. The dolphin safe labeling, reporting and recordkeeping requirements fall outside the scope of the Commerce Trusted Trader program and those dolphin safe labeling requirements would continue to apply for tuna product regardless of whether the importer qualifies as a trusted trader under this program.
The Committee is aware of private efforts by seafood producers, traders, wholesalers, retailers, and third parties to trace and track seafood products and seeks comment regarding the consideration of those traceability efforts in the design and implementation of a Commerce Trusted Trader Program. The committee also seeks recommendations for operational standards for such systems should they be included in a Commerce Trusted Trader Program.
While the IUU Task Force Action Plan calls for the Commerce Trusted Trader Program to be finalized by September 2016, the timing of actual implementation may be affected by, among other factors, timing of the implementation of the Seafood Import Monitoring Program final rule, completion of the structure and elements of the Commerce Trusted Trader Program, and the timeframe for completion of Commerce Trusted Trader Program business rules in the International Trade Data System, as necessary for implementation. NMFS will in any case make its best effort to implement the Seafood Import Monitoring Program and the associated Commerce Trusted Trader Program simultaneously. The Committee seeks comment on the potential impacts and benefits of implementing the Commerce Trusted Trader Program some weeks or months following the implementation of the Seafood Import Monitoring Program. The committee also seeks recommendations for design and implementation of the Commerce Trusted Trader Program regarding measures that can be taken to minimize the cost and burden of those impacts and capture available benefits.
The Committee will address outstanding design and implementation issues associated with the Commerce Trusted Trader Program in its December 2016 report on the implementation of the Seafood Traceability Program.
Following the public comment period, the NOC Committee will take the input received into consideration while finalizing recommendations that will be sent forward for appropriate agency action, as outlined in the implementation plan for Task Force Recommendations 14 and 15.
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice; public meeting.
The New England Fishery Management Council (Council), Atlantic Herring Committee, Atlantic Herring Advisory Panel and Atlantic Herring Plan Development Team is scheduling a public workshop on the Atlantic Herring Acceptable Biological Catch Control Rule Management Strategy Evaluation 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 workshop will be held on Monday, May 16, 2016 at 10 a.m. and Tuesday, May 17, 2016 at 9 a.m.
The workshop will be held at the Holiday Inn by the Bay, 88 Spring Street, Portland, ME 04101; phone: (207) 775-2311; fax: (207) 772-4017.
Thomas A. Nies, Executive Director, New England Fishery Management Council; telephone: (978) 465-0492.
The Council is currently developing Amendment 8 to the Atlantic Herring Fishery Management Plan. Through Amendment 8, the Council expects to establish a long-term control rule for specifying acceptable biological catch (ABC) for the Atlantic herring fishery. A control rule is a formulaic approach for establishing an annual limit or target fishing level that is based on the best available scientific information.
An objective of Amendment 8 is to develop and implement an ABC control rule that manages Atlantic herring within an ecosystem context and addresses the goals of Amendment 8, which are to: Account for the role of Atlantic herring within the ecosystem, including its role as forage; to stabilize the fishery at a level designed to achieve optimum yield; to address localized depletion in inshore waters.
In January 2016, the Council approved conducting a Management Strategy Evaluation (MSE) to support the development of alternatives regarding the ABC control rule. MSE is a collaborative decision-making process, involving upfront public input and technical analysis than the normal amendment development process. MSE can take many forms, but here, the MSE will be used to help determine how a range of control rules may perform relative to potential objectives. An early step of the MSE is this public workshop to develop recommendations for Council consideration for a range of potential objectives of the Atlantic herring ABC control rule, how these objectives may be tested (
The Council is hosting this MSE workshop to develop a common understanding of Management Strategy Evaluation; develop recommendations to the Council for: A range of potential objectives of the Atlantic herring ABC control rule, quantitative metrics to evaluate the performance of control rules relative to the objectives, and a range of control rules to be evaluated and/or the general characteristics of a control rule; develop a common understanding of the potentials and limitations of models that may affect simulation testing, and given those, identify which uncertainties are most important to resolve; provide an opportunity for stakeholders of the Atlantic herring fishery to provide greater input than typically possible at Council meetings, in an environment that supports constructive and open dialogue between users of the resource, scientific experts, fishery managers, and other interested members of the public.
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 these meetings. 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.
These meetings are 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 public meetings and hearings.
The Western Pacific Fishery Management Council (Council) will hold a meeting of its Commonwealth of the Northern Mariana Islands (CNMI) Mariana Archipelago Advisory Panel (AP) and its Guam Mariana Archipelago AP to discuss and make recommendations on issues in Guam, CNMI and the Western Pacific region.
The CNMI AP meeting will be held on Wednesday, May 18, 2016, between 6:30 p.m. and 9 p.m. The Guam AP meeting will be held on Friday, May 20, 2016, between 6 p.m. and 9 p.m. All times listed are local times. For agendas, see
The CNMI AP meeting will be held at the CNMI Division of Fish & Wildlife Conference Room, Lower Base, Saipan, MP, 96950 and the Guam AP meeting will be held at the Hilton Guam Resort & Spa, 202 Hilton Road, Tumon Bay, GU 96913.
Kitty M. Simonds, Executive Director, phone: (808) 522-8220.
Public comment periods will be provided throughout the agendas. The order in which agenda items are addressed may change. The meetings will run as late as necessary to complete scheduled business.
These meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Kitty M. Simonds, (808) 522-8220 (voice) or (808) 522-8226 (fax), 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 public meetings and hearings.
The Western Pacific Fishery Management Council (Council) will hold a joint meeting of its American Samoa Regional Ecosystem Advisory Committee (REAC), American Samoa Advisory Panel (AP), Fishing Industry Advisory Committee (FIAC) (Hawaii members) and its Noncommercial Fishing Advisory Committee (NCFAC) (American Samoa members) as well as an American Samoa AP meeting. These meetings are to discuss and make recommendations on issues in American Samoa and the Western Pacific region.
The joint American Samoa REAC, AP, FIAC, and NCFAC meeting will be held on Wednesday, May 18, 2016 between 9 a.m. and 12 p.m. The American Samoa AP meeting will be held on Wednesday, May 11, 2016 between 4:30 p.m. and 7:30 p.m. For agendas, see
The joint American Samoa REAC, AP, FIAC, and NCFAC meeting and the American Samoa AP meeting will be held in the American Samoa Department of Commerce's Fagatogo Market Conference Room, Fagatogo, HI 96799.
Kitty M. Simonds, Executive Director, phone: (808) 522-8220.
Public comment periods will be provided throughout the agendas. The order in which agenda items are addressed may change. The meetings will run as late as necessary to complete scheduled business.
These meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Kitty M. Simonds, (808) 522-8220 (voice) or (808) 522-8226 (fax), 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; issuance of permit.
Notice is hereby given that a permit has been issued to the NMFS Marine Mammal Laboratory, 7600 Sand Point Way NE., Seattle, WA 98115-6349 (Responsible Party: John Bengtson, Ph.D.), to conduct research on pinnipeds in Alaska.
The permit 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.
Amy Sloan, (301) 427-8401.
On February 23, 2016, notice was published in the
Permit No. 19309 authorizes takes of bearded (
In compliance with the National Environmental Policy Act of 1969 (42 U.S.C. 4321
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice of approved monitoring service providers.
NMFS has approved five companies to provide at-sea monitoring services to Northeast multispecies vessels in fishing year 2016. Regulations implementing Amendment 16 to the Northeast Multispecies Fishery Management Plan require third-party at-sea monitoring service providers to apply to, and be approved by, NMFS in a manner consistent with the Administrative Procedure Act in order to be eligible to provide at-sea monitoring services to sectors.
Copies of the list of NMFS-approved sector monitoring service providers are available at
Mark Grant, Fishery Policy Analyst, (978) 281-9145, fax (978) 281-9135, email
Amendment 16 (75 FR 18262; April 9, 2010) to the Northeast Multispecies Fishery Management Plan (FMP) expanded the sector management program, including requirements to ensure accurate monitoring of sector at-sea catch and dockside landings, and common pool dockside landings. Framework Adjustment 48 to the FMP (Framework 48, 78 FR 26118; May 3, 2013) revised the goals and objectives for sector monitoring programs.
Regulations at 50 CFR 648.87(b)(4) describe the criteria for NMFS approval of at-sea monitoring service providers. NMFS is approving service providers for fishing year 2016 (beginning May 1, 2016) based on: (1) Completeness and sufficiency of applications; (2) determination of the applicant's ability to meet the performance requirements of a sector monitoring service provider; and (3) documented successful performance as NMFS-funded providers in fishing year 2015. Northeast multispecies sectors are required to design and implement independent, third-party at-sea monitoring programs in fishing year 2016, and are responsible for the at-sea portion of the costs of these monitoring requirements.
For fishing year 2015, NMFS approved A.I.S., Inc.; East West Technical Services, LLC; MRAG Americas, Inc.; Fathom Research, LLC; and ACD USA Ltd. as service providers. Once approved, providers must be able to document ongoing compliance with performance requirements in order to maintain eligibility (§ 648.87(b)(4)(ii)). NMFS can disapprove any previously approved service provider during the fishing year if the service provider in question ceases to meet the performance standards. NMFS must notify service providers of disapproval in writing.
NMFS received complete applications from five companies interested in providing at-sea monitoring services in fishing year 2016; these were the same five service providers that were approved for fishing year 2015. The Regional Administrator has approved all five service providers as eligible to provide at-sea monitoring services in fishing year 2016 because they have met the application requirements, documented an ability to comply with service provider standards, and have been determined to have met the service provider performance criteria:
16 U.S.C. 1801
National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.
Notice.
The SEDAR 47 assessment of the U.S. Goliath Grouper will consist of a Review Workshop.
The SEDAR 47 Review Workshop will be held from 9 a.m. on May 17, 2016 until 6 p.m. on May 19, 2016. See
Julie Neer, SEDAR Coordinator;
The Gulf of Mexico, South Atlantic, and Caribbean Fishery Management Councils, in conjunction with NOAA Fisheries and the Atlantic and Gulf States Marine Fisheries Commissions have implemented the Southeast Data, Assessment and Review (SEDAR) process, a multi-step method for determining the status of fish stocks in the Southeast Region. SEDAR usually involves a three-step process including: (1) Data Workshop; (2) Assessment Process utilizing webinars; and (3) Review Workshop. The product of the Data Workshop is a data report which compiles and evaluates potential datasets and recommends which datasets are appropriate for assessment analyses. The product of the Assessment Process is a stock assessment report which describes the fisheries, evaluates the status of the stock, estimates biological benchmarks, projects future population conditions, and recommends research and monitoring needs. The assessment is independently peer reviewed at the Review Workshop. The product of the Review Workshop is a Summary documenting panel opinions regarding the strengths and weaknesses of the stock assessment and input data. Participants for SEDAR Workshops are appointed by the Gulf of Mexico, South Atlantic, and Caribbean Fishery Management Councils and NOAA Fisheries Southeast Regional Office, HMS Management Division, and Southeast Fisheries Science Center. Participants include: Data collectors and database managers; stock assessment scientists, biologists, and researchers; constituency representatives including fishermen, environmentalists, and non-governmental organizations (NGOs); international experts; and staff of Councils, Commissions, and state and federal agencies.
The items of discussion in the Review Workshop agenda are as follows:
The Review Panel participants will review the stock assessment reports to determine if they are scientifically sound.
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.
The meeting is physically accessible to people with disabilities. Requests for auxiliary aids should be directed to the Council 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 of public meetings and hearings.
This notice provides an update (adds an additional committee to the joint meeting) to a notice that published on April 26, 2016. The Western Pacific Fishery Management Council (Council) will hold a joint meeting of its Hawaii Regional Ecosystem Advisory Committee (REAC), Hawaii Advisory Panel (AP), Fishing Industry Advisory Committee (FIAC) (Hawaii members) and Noncommercial Fishing Advisory Committee (NCFAC) (Hawaii members) and a Hawaii AP meeting to discuss and make
The joint Hawaii REAC, AP, FIAC and NCFAC meeting will be held on Wednesday, May 11, 2016 between 9 a.m. and 12 p.m. The Hawaii AP meeting will be held on Wednesday, May 11, 2016 between 1 p.m. and 4 p.m. For agendas, see
The joint Hawaii REAC, AP, FIAC and NCFAC meeting and the Hawaii AP meeting will be held at the Council office, 1164 Bishop St. Honolulu, HI 96813; phone: (808) 522-8220.
Kitty M. Simonds, Executive Director, phone: (808) 522-8220.
The original notice published in the
Public comment periods will be provided throughout the agendas. The order in which agenda items are addressed may change. The meetings will run as late as necessary to complete scheduled business.
These meetings are physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Kitty M. Simonds, (808) 522-8220 (voice) or (808) 522-8226 (fax), at least 5 days prior to the meeting date.
16 U.S.C. 1801
Committee for Purchase From People Who Are Blind or Severely Disabled.
Proposed addition to and deletions from the Procurement List.
The Committee is proposing to add a service to the Procurement List that will be provided by a nonprofit agency employing persons who are blind or have other severe disabilities, and deletes services previously provided by such agencies.
Comments must be received on or before: 5/29/2016.
Committee for Purchase From People Who Are Blind or Severely Disabled, 1401 S. Clark Street, Suite 715, Arlington, Virginia 22202-4149.
Barry S. Lineback, Telephone: (703) 603-7740, Fax: (703) 603-0655, or email
This notice is published pursuant to 41 U.S.C. 8503(a)(2) and 41 CFR 51-2.3. Its purpose is to provide interested persons an opportunity to submit comments on the proposed actions.
If the Committee approves the proposed addition, the entities of the Federal Government identified in this notice will be required to provide the service listed below from the nonprofit agency employing persons who are blind or have other severe disabilities.
The following service is proposed for addition to the Procurement List for provision by the nonprofit agency listed:
The following services are proposed for deletion from the Procurement List:
10:00 a.m., Friday, May 6, 2016.
Three Lafayette Centre, 1155 21st Street NW., Washington, DC, 9th Floor Commission Conference Room.
Closed.
Surveillance, enforcement, and examinations matters. In the event that the time, date, or location of this meeting changes, an announcement of the change, along with the new time, date, and/or place of the meeting will be posted on the Commission's Web site at
Christopher Kirkpatrick, 202-418-5964.
Department of the Army, DoD.
Notice of open Subcommittee meeting.
The Department of the Army is publishing this notice to announce the following Federal advisory committee meeting of the Defense Language Institute Foreign Language Center Board of Visitors, a subcommittee of the Army Education Advisory Committee. This meeting is open to the public.
The Defense Language Institute Foreign Language Center (DLIFLC) Board of Visitors Subcommittee will meet from 8:00 a.m. to 5:00 p.m. on June 1 and 2, 2016.
Defense Language Institute Foreign Language Center, Building 326, Weckerling Center, Presidio of Monterey, CA 93944.
Mr. Detlev Kesten, the Alternate Designated Federal Officer for the subcommittee, in writing at Defense Language Institute Foreign Language Center, ATFL-APAS-AA, Bldg. 634, Presidio of Monterey, CA 93944, by email at
The subcommittee meeting is being held under the provisions of the Federal Advisory Committee Act of 1972 (5 U.S.C., Appendix, as amended), the Government in the Sunshine Act of 1976 (5 U.S.C. 552b, as amended), and 41 CFR 102-3.150.
Pursuant to 41 CFR 102-3.140d, the Committee is not obligated to allow a member of the public to speak or otherwise address the Committee during the meeting. Members of the public will be permitted to make verbal comments during the Committee meeting only at the time and in the manner described below. If a member of the public is interested in making a verbal comment at the open meeting, that individual must submit a request, with a brief statement of the subject matter to be addressed by the comment, at least seven business days in advance to the subcommittee's Alternate Designated Federal Official, via electronic mail, the preferred mode of submission, at the address listed in the
Department of the Army, DoD.
Notice.
In accordance with 35 U.S.C. 209(e) and 37 CFR part 404.7(a)(1)(i), the Department of the Army announces the intent to grant a revocable, non-assignable, partially exclusive license to AEgis Technologies Inc., Huntsville, Alabama, for the Joint Embedded Messaging System (JEMS) government-owned software for efficient manipulation of data. Joint Embedded Messaging System (JEMS) routes and translates messages and protocols for command and control (C2), simulation, and other systems using a configurable application for input and output formats, providing interoperability solutions while not requiring software modifications for data compatibility.
Anyone wishing to object to the grant of this license can file written objections, along with supporting evidence, if any, within 15 days from the date of this publication.
Written objections are to be filed with the Office of Research and Technology Applications, SDMC-CT (Ms. Susan D. McRae), Bldg. 5220, Von Braun Complex, Room 5078, Redstone Arsenal, AL 35898.
Ms. Joan Gilsdorf, Patent Attorney, email:
Department of Defense.
Notice of Federal Advisory Committee closed meeting.
The Department of Defense is publishing this notice to announce the following Federal Advisory Committee meeting of the U.S. Strategic Command Strategic Advisory Group. This meeting will be closed to the public.
Tuesday, May 24, 2016, from 8:00 a.m. to 5:00 p.m. and Wednesday, May 25, 2016, from 8:00 a.m. to 11:00 a.m.
Dougherty Conference Center, Building 432, 906 SAC Boulevard, Offutt AFB, Nebraska 68113.
Mr. John L. Trefz, Jr., Designated Federal Officer, (402) 294-4102, 901 SAC Boulevard, Suite 1F7, Offutt AFB, NE 68113-6030.
This meeting is being held under the provisions of the Federal Advisory Committee Act of 1972 (5 U.S.C. App 2, Section 1), the Government in Sunshine Act of 1976 (5 U.S.C. 552b), and 41 CFR 102-3.150.
Department of Defense.
Renewal of Federal Advisory Committee.
The Department of Defense (DoD) is publishing this notice to announce that it is renewing the charter for the Defense Science Board (“the Board”).
Jim Freeman, Advisory Committee Management Officer for the Department of Defense, 703-692-5952.
This committee's charter is being renewed in accordance with the Federal Advisory Committee Act (FACA) of 1972 (5 U.S.C., Appendix, as amended) and 41 CFR 102-3.50(d). The charter and contact information for the Board's Designated Federal Officer (DFO) can be obtained at
The Board provides independent advice and recommendations on science, technology, manufacturing, acquisition process, and other matters of special interest to the DoD to the Secretary of Defense, the Deputy Secretary of Defense, the Under
Office of the DoD Chief Information Officer, DoD.
Notice.
In compliance with the
Consideration will be given to all comments received by June 28, 2016.
You may submit comments, identified by docket number and title, by any of the following methods:
•
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Any associated form(s) for this collection may be located within this same electronic docket and downloaded for review/testing. Follow the instructions at
To request more information on this proposed information collections or to obtain a copy of the proposal and associated collection instruments, please contact the DoD's DIB Cybersecurity Activities Office: (703) 604-3167, toll free (855) 363-4227, located at 1550 Crystal Dr., Suite 1000-A, Arlington, VA 22202.
Respondents are cleared defense contractors participating in DoD's DIB Cybersecurity program who voluntarily share cyber threat information with DoD. DoD estimates that no more than 10% of the total eligible population of cleared defense contractors will apply to the voluntary DIB Cybersecurity program resulting in 850 cleared defense contractors impacted annually. An additional 10% of the population or 85 contractors may provide updated points of contact for the program, as required. Having DIB participants share cyber threat information under the DIB CS program allows both DoD and DIB participants to better understand cyber threats, to better protect unclassified defense information, and increases cyber situational awareness of the overall threat landscape, while preserving the intellectual property and competitive capabilities of our national defense industrial base.
Defense Acquisition University, DoD.
Meeting notice.
The Department of Defense is publishing this notice to announce a Federal Advisory Committee meeting of the Defense Acquisition University Board of Visitors. This meeting will be open to the public.
Wednesday, May 25, 2016, from 9:00 a.m. to 4:00 p.m.
DAU Headquarters, Bldg 202, 9820 Belvoir Road, Ft Belvoir, VA 22060.
Caren Hergenroeder, Protocol Director, DAU. Phone: 703-805-5134. Fax: 703-805-5940. Email:
This meeting is being held under the provisions of the Federal Advisory Committee Act of 1972 (5 U.S.C., Appendix, as amended), the Government in the Sunshine Act of 1976 (5 U.S.C. 552b, as amended), and 41 CFR 102-3.150.
All written statements shall be submitted to the Designated Federal Officer for the Defense Acquisition University Board of Visitors, and this individual will ensure that the written statements are provided to the membership for their consideration.
Statements being submitted in response to the agenda mentioned in this notice must be received by the Designated Federal Officer at least five calendar days prior to the meeting which is the subject of this notice. Written statements received after this date may not be provided to or considered by the Defense Acquisition University Board of Visitors until its next meeting.
Department of the Army, U.S. Army Corps of Engineers, DoD.
Notice of Intent/NEPA Scoping meeting and public comment period.
Pursuant to the requirements of section 102(2)(C) of the National Environmental Policy Act (NEPA) of 1969, as amended, 42 U.S.C. 4321-4370, as implemented by the Council on Environmental Quality Regulations (40 CFR parts 1500-1508), the U.S. Army Corps of Engineers (USACE) plans to prepare a Feasibility Study with an integrated Environmental Impact Statement (EIS) to evaluate environmental impacts from reasonable project alternatives and to determine the potential for significant impacts related to reduce future flood risk in ways that support the long‐term resilience and sustainability of the coastal ecosystem and surrounding communities due to sea level rise, local subsidence and storms, and to reduce the economic costs and risks associated with large‐scale flood and storm events in the City of Norfolk, Virginia.
Scoping comments may be submitted until June 30, 2016.
The public is invited to submit NEPA scoping comments at the meeting and/or submit comments to Mr. David Schulte, Department of the Army, U.S. Army Corps of Engineers, Norfolk District, Fort Norfolk, 803 Front St., Norfolk, VA 23510 or via email:
David Schulte, (757) 201-7007.
Historical storms have impacted the City of Norfolk. In response to these storms, USACE is investigating measures to reduce future flood risk in ways that support the long‐term resilience and sustainability of the coastal ecosystem and surrounding communities, and reduce the economic costs and risks associated with flood and storm events. In support of this goal, USACE completed the North Atlantic Coast Comprehensive Study, which identified nine high risk areas on the Atlantic Coast for further analysis based on preliminary findings.
The City of Norfolk was identified as one of the nine areas of high risk, or Focus Areas, that warrants an in-depth investigation into potential coastal storm risk management measures. The Norfolk Focus Area is located on the southern shore of the Chesapeake Bay identified as one of the highest risk areas for relative sea level rise on the Atlantic Coast.
USACE is the lead federal agency and the city of Norfolk will be the non-federal sponsor for the study. The city of Norfolk has experienced an accelerating increase in nuisance flooding due to storms of varying magnitude, with large storms (nor'easters and hurricanes) often causing major flooding in many areas of the City. The most recent events that flooded major portions of the City were the November 2009 Northeaster, and Hurricanes Isabel (2003), Irene (2011), and Sandy (2012). The feasibility study will address potential structural and non-structural alternatives to mitigate
As required by Council on Environmental Quality's Principles, Requirements and Guidelines for Water and Land Related Resources Implementation Studies all reasonable alternatives to the proposed Federal action that meet the purpose and need will be considered in the EIS. These alternatives will include no action and a range of reasonable alternatives for reducing flood risk within the city of Norfolk.
Department of the Army, U.S. Army Corps of Engineers, DoD.
Notice of Termination of the Environmental Impact Statement (EIS) Process.
The U.S. Army Corps of Engineers, Fort Worth District, Regulatory Division is notifying interested parties that it has terminated the process to develop a Revised Draft Environmental Impact Statement (DEIS) and has withdrawn the Section 404 Clean Water Act permit application for the proposed `Lake Columbia Regional Water Supply Reservoir Project' submitted in 2005 by an independent governmental agency known as the Angelina & Neches River Authority (ANRA). The original Notice of Intent to Prepare an EIS was published in the
Questions regarding the termination of this EIS process should be addressed to Mr. Chandler Peter, Regulatory Technical Specialist, U.S. Army Corps of Engineers, Fort Worth District, Regulatory Division, 819 Taylor Street, P.O. Box 17300, Fort Worth, TX 76102; (817) 886-1736;
Department of the Army, U.S. Army Corps of Engineers, DoD.
Notice of open committee meeting.
The Department of the Army is publishing this notice to announce the following Federal advisory committee meeting of the Lake Eufaula Advisory Committee (LEAC). The meeting is open to the public.
The Committee will meet from 10:00 a.m.-12:00 p.m. on Tuesday, June 7, 2016.
The meeting will be held at Three Forks Harbor, 5201 Three Forks Road, Fort Gibson, OK 74434.
Mr. Jeff Knack; Designated Federal Officer (DFO) for the Committee, in writing at Eufaula Lake Office, 102 E. BK 200 Rd, Stigler, OK 74462-1829, or by email at
This meeting is being held under the provisions of the Federal Advisory Committee Act of 1972 (5 U.S.C., Appendix, as amended), the Sunshine in the Government Act of 1976 (U.S.C. 552b, as amended) and 41 CFR 102-3.150.
Pursuant to 41 CFR 102-3.140d, the Committee is not obligated to allow a member of the public to speak or
Department of the Army, U.S. Army Corps of Engineers, DoD.
Notice of availability.
The U.S. Army Corps of Engineers (USACE), Fort Worth District, as lead federal agency, has prepared this Regional Environmental Impact Statement (REIS) to analyze potential impacts within defined geographic regions in Texas that may be affected by future USACE, Fort Worth District, permit decisions for future surface coal and lignite mine expansions or satellite mines within the District's area of responsibility. The REIS has been prepared in compliance with the National Environmental Policy Act of 1969 (NEPA), the Council on Environmental Quality (CEQ) Regulations for Implementing the Procedural Provisions of NEPA (40 CFR parts 1500-1508), and the USACE Procedures for Implementing NEPA (33 CFR part 230).
Mr. Darvin Messer, Regulatory Project Manager at (817) 886-1744 or via email:
The USACE, Fort Worth District, is proposing changes to its regulatory framework for surface coal and lignite mines in Texas. The proposed regulatory framework includes the establishment of a Regional General Permit (RGP) and a revised Letter of Permission (LOP) procedure with modifications to aquatic resource impact thresholds and a change from agency concurrence to agency coordination as compared to the current process. No changes to the criteria for Nationwide Permit (NWP) 21 or NWP 49 are proposed.
The REIS considers the potential environmental impacts of future mine expansions or satellite mines in six study areas along the coal-bearing formations in Texas that run from southwest Texas to northeast Texas. The study areas encompass locations within the coal/lignite belt in Texas that were determined to be within reasonable proximity to existing surface coal and lignite mines with potential for future expansion.
Copies of the Final REIS may be obtained by contacting USACE Fort Worth District Regulatory Branch at (817) 886-1731 or downloaded/printed from the Fort Worth District USACE internet Web site at:
Copies of the Final REIS are also available for inspection at the locations identified below:
Department of the Army, U.S. Army Corps of Engineers, DoD.
Notice of availability.
The U.S. Army Corps of Engineers (USACE), Wilmington District, Wilmington Regulatory Field Office has received a request for Department of the Army authorization, pursuant to Section 404 of the Clean Water Act and Section 10 of the Rivers and Harbor Act, from the Town of Ocean Isle Beach to install a terminal groin structure on the east side of Ocean Isle Beach, extending into the Atlantic Ocean, just west of Shallotte Inlet. The structure will be designed to function in concert with the Federal storm damage reduction project.
The public commenting period on the FEIS will end at 5 p.m., May 31, 2016.
Copies of comments and questions regarding the FEIS may be submitted to: U.S. Army Corps of Engineers (Corps), Wilmington District, Regulatory Division, c/o Mr. Tyler Crumbley. ATTN: File Number SAW-2011-01241, 69 Darlington Avenue, Wilmington, NC 28403.
Questions about the proposed action and FEIS can be directed to Mr. Tyler Crumbley, Wilmington Regulatory Field Office, telephone: (910) 251-4170, facsimile (910) 251-4025, or email at
The proposed terminal groin is one of four such structures approved by the General Assembly to be constructed in North Carolina following passing of Senate Bill (SB) 110. The U.S. Army Corps of Engineers (USACE) determined that there is sufficient information to conclude that the project would result in significant adverse impact on the human environment, and has prepared an FEIS pursuant to the National Environmental Policy Act (NEPA) to evaluate the environmental effects of the alternatives considering the project's purpose and need. The purpose and need of the proposed terminal groin and beach fillet is to provide shoreline protection that would mitigate chronic erosion on the eastern portion on the Town's oceanfront shoreline so as to preserve the integrity of its infrastructure, provide protection to existing development, and ensure the continued use of the oceanfront beach along this area.
a. Potential impacts to marine biological resources (benthic organisms, passageway for fish and other marine life) and Essential Fish Habitat.
b. Potential impacts to threatened and endangered marine mammals, reptiles, birds, fish, and plants.
c. Potential for effects/changes to Ocean Isle beach, Holden Beach, Sunset Beach, and Shallotte inlet, respectively.
d. Potential impacts to navigation.
e. Potential effects on regional sand sources and sand management practices, including the Federal (Ocean Isle Beach storm damage reduction) project.
f. Potential effects of shoreline protection.
g. Potential impacts on public health and safety.
h. Potential impacts to recreational and commercial fishing.
i. Potential impacts to cultural resources.
j. Potential impacts to future dredging and nourishment activities.
The Corps has completed consultation with the United States Fish and Wildlife Service and the National Marine Fisheries Service pursuant to the Endangered Species Act and the Fish and Wildlife Coordination Act. The Corps has also completed consultation with the National Marine Fisheries Service pursuant to the Magnuson-Stevens Act and Endangered Species Act. The Corps has coordinated with the State Department of Cultural Resources pursuant to Section 106 of the National Historic Preservation Act.
Potential water quality concerns have been addressed pursuant to Section 401 of the Clean Water Act through coordination with the North Carolina Divisions of Coastal Management (DCM) and Water Resources (DWR). This coordination will insure consistency with the Coastal Zone Management Act and project compliance with water quality standards. The Corps has coordinated closely with DCM in the development of the FEIS to ensure the process complies with State Environmental Policy Act (SEPA) requirements, as well as the NEPA requirements. The FEIS has been designed to consolidate both NEPA and SEPA processes to eliminate duplications.
Take notice that the Commission received the following electric rate filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
This is a supplemental notice in the above-referenced proceeding of Palmco Power MI LLC's application for market-based rate authority, with an accompanying rate tariff, noting that such application includes a request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability.
Any person desiring to intervene or to protest should file with the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone filing a motion to intervene or protest must serve a copy of that document on the Applicant.
Notice is hereby given that the deadline for filing protests with regard to the applicant's request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability, is May 11, 2016.
The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at
Persons unable to file electronically should submit an original and 5 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426.
The filings in the above-referenced proceeding are accessible in the Commission's eLibrary system by clicking on the appropriate link in the above list. They are also available for electronic review in the Commission's Public Reference Room in Washington, DC. There is an eSubscription link on the Web site that enables subscribers to receive email notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please email
On April 22, 2016, the Commission issued an order in Docket No. EL16-51-000, pursuant to section 206 of the Federal Power Act (FPA), 16 U.S.C. 824e (2012), instituting an investigation into the justness and reasonableness of Beaver Dam Energy LLC's reactive power rate schedule.
The refund effective date in Docket No. EL16-51-000, established pursuant to section 206(b) of the FPA, will be the date of publication of this notice in the
Take notice that the Commission has received the following Natural Gas Pipeline Rate and Refund Report filings:
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and § 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
Any person desiring to protest in any of the above proceedings must file in accordance with Rule 211 of the Commission's Regulations (18 CFR 385.211) on or before 5:00 p.m. Eastern time on the specified comment date.
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
Take notice that the Commission received the following exempt wholesale generator filings:
Take notice that the Commission received the following electric rate filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
Take notice that the Commission received the following electric corporate filings:
Take notice that the Commission received the following electric rate filings:
Take notice that the Commission received the following qualifying facility filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
This is a supplemental notice in the above-referenced proceeding of Torofino Trading LLC's application for market-based rate authority, with an accompanying rate tariff, noting that such application includes a request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability.
Any person desiring to intervene or to protest should file with the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone filing a motion to intervene or protest must serve a copy of that document on the Applicant.
Notice is hereby given that the deadline for filing protests with regard to the applicant's request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability, is May 11, 2016.
The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at
Persons unable to file electronically should submit an original and 5 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street NE., Washington, DC 20426.
The filings in the above-referenced proceeding are accessible in the Commission's eLibrary system by clicking on the appropriate link in the above list. They are also available for electronic review in the Commission's Public Reference Room in Washington, DC. There is an eSubscription link on the Web site that enables subscribers to receive email notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please email
Take notice that the Commission received the following electric rate filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
Take notice that the Commission has received the following Natural Gas Pipeline Rate and Refund Report filings:
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified date(s). Protests may be considered, but intervention is necessary to become a party to the proceeding.
Any person desiring to protest in any of the above proceedings must file in accordance with Rule 211 of the Commission's Regulations (18 CFR 385.211) on or before 5:00 p.m. Eastern time on the specified comment date.
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
Take notice that the Commission received the following electric corporate filings:
Take notice that the Commission received the following electric rate filings:
Take notice that the Commission received the following qualifying facility filings:
The filings are accessible in the Commission's eLibrary system by clicking on the links or querying the docket number.
Any person desiring to intervene or protest in any of the above proceedings must file in accordance with Rules 211 and 214 of the Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Protests may be considered, but intervention is necessary to become a party to the proceeding.
eFiling is encouraged. More detailed information relating to filing requirements, interventions, protests, service, and qualifying facilities filings can be found at:
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 of public comment period.
The Environmental Protection Agency (EPA) is announcing a 30-day public comment period for the draft document titled, “Updates to the Demographic and Spatial Allocation Models to Produce Integrated Climate and Land Use Scenarios (ICLUS) Version 2” (EPA/600/R-14/324). EPA is also announcing that Versar, Inc., an EPA contractor for external scientific peer review, will select four independent experts from a pool of eight to conduct a letter peer review of the same draft document. The document was prepared by the National Center for Environmental Assessment within EPA's Office of Research and Development. This document describes the development of version 2 of Integrated Climate and Land Use Scenarios (ICLUS), including updates to data sets and the demographic and spatial allocation models.
EPA intends to forward the public comments that are submitted in accordance with this document to the external peer reviewers for their consideration during the letter peer review. When finalizing the draft documents, EPA intends to consider any public comments received in response to this document. EPA is releasing this draft document for the purposes of public comment and peer review. This draft document is not final as described in EPA's information quality guidelines and does not represent and should not be construed to represent Agency policy or views.
The draft document is available via the Internet on EPA's Risk Web page under the Recent Additions at
The document will be available on April 29, 2016.
The draft report, “Updates to the Demographic and Spatial Allocation Models to Produce Integrated Climate and Land Use Scenarios (ICLUS) Version 2,” is available primarily via the Internet on the Ecological Risk Assessment Products and Publications Web page at
For information on the public comment period, contact the ORD Docket at the EPA Headquarters Docket Center; telephone: 202-566-1752; facsimile: 202-566-9744; or email:
For technical information, contact Britta Bierwagen, NCEA; telephone: 703-347-8613; facsimile: 703-347-8694; or email:
The first version of the Integrated Climate and Land Use Scenarios (ICLUS) project modeled population, residential development, and impervious surface cover changes by decade to the year 2100 consistent with four global carbon emissions storylines and a baseline. The current report discusses improvements to the underlying models of ICLUS that result in version 2 (v2). ICLUS v2 is consistent with updated global socioeconomic scenarios (
The companies listed in this notice have given notice under section 4 of the Bank Holding Company Act (12 U.S.C. 1843) (BHC Act) and Regulation Y, (12 CFR part 225) to engage
Each notice is available for inspection at the Federal Reserve Bank indicated. The notice also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing on the question whether the proposal complies with the standards of section 4 of the BHC Act.
Unless otherwise noted, comments regarding the notices must be received at the Reserve Bank indicated or the offices of the Board of Governors not later than May 16, 2016.
A. Federal Reserve Bank of Philadelphia (William Spaniel, Senior Vice President) 100 North 6th Street, Philadelphia, Pennsylvania 19105-1521. Comments can also be sent electronically to
1.
Section 7A of the Clayton Act, 15 U.S.C.§ 18a, as added by Title II of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, requires persons contemplating certain mergers or acquisitions to give the Federal Trade Commission and the Assistant Attorney General advance notice and to wait designated periods before consummation of such plans. Section 7A(b)(2) of the Act permits the agencies, in individual cases, to terminate this waiting period prior to its expiration and requires that notice of this action be published in the
The following transactions were granted early termination—on the dates indicated—of the waiting period provided by law and the premerger notification rules. The listing for each transaction includes the transaction number and the parties to the transaction. The grants were made by the Federal Trade Commission and the Assistant Attorney General for the Antitrust Division of the Department of Justice. Neither agency intends to take any action with respect to these proposed acquisitions during the applicable waiting period.
Theresa Kingsberry, Program Support Specialist, Federal Trade Commission, Premerger Notification Office, Bureau of Competition, Room CC-5301, Washington, DC 20024, (202) 326-3100.
By direction of the Commission.
Section 7A of the Clayton Act, 15 U.S.C. 18a, as added by Title II of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, requires persons contemplating certain mergers or acquisitions to give the Federal Trade Commission and the Assistant Attorney General advance notice and to wait designated periods before consummation of such plans. Section 7A(b)(2) of the Act permits the agencies, in individual cases, to terminate this waiting period prior to its expiration and requires that notice of this action be published in the
The following transactions were granted early termination—on the dates indicated—of the waiting period provided by law and the premerger notification rules. The listing for each transaction includes the transaction number and the parties to the transaction. The grants were made by the Federal Trade Commission and the Assistant Attorney General for the Antitrust Division of the Department of Justice. Neither agency intends to take any action with respect to these proposed acquisitions during the applicable waiting period.
Theresa Kingsberry, Program Support Specialist, Federal Trade Commission, Premerger Notification Office, Bureau of Competition, Room CC-5301, Washington, DC 20024, (202) 326-3100.
By direction of the Commission.
Centers for Medicare & Medicaid Services, HHS.
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 (the PRA), federal agencies are require; to publish notice in the
Comments must be received by June 28, 2016.
When commenting, please reference the document identifier or OMB control number. To be assured consideration, comments and recommendations must be submitted in any one of the following ways:
1.
2.
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.
This notice sets out a summary of the use and burden associated with the following information collections. More detailed information can be found in each collection's supporting statement and associated materials (see
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. 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 requires federal agencies to publish a 60-day notice in the
1.
2.
The QHP Enrollee Survey, which is based on the CAHPS® Health Plan Survey, will (1) help consumers choose among competing health plans, (2) provide actionable information that the QHPs can use to improve performance, (3) provide information that regulatory and accreditation organizations can use to regulate and accredit plans, and (4) provide a longitudinal database for consumer research. CMS completed two rounds of developmental testing including 2014 psychometric testing and 2015 beta testing of the QHP Enrollee Survey. The psychometric testing helped determine psychometric properties and provided an initial measure of performance for Marketplaces and QHPs to use for quality improvement. Based on psychometric test results, CMS further refined the questionnaire and sampling design to conduct the 2015 beta test of the QHP Enrollee Survey. CMS obtained clearance for the national implementation of the QHP Enrollee Survey which is currently being conducted in 2016.
At this time, CMS is requesting approval of adding six disability status items required by section 4302 of the Affordable Care Act and that were tested during the 2014 psychometric testing of the QHP Enrollee Survey. With the addition of these six questions, the revised total estimated annual burden hours of national implementation of the QHP Enrollee Survey is 37,823 hours with 120,000 responses. The revised total annualized burden over three years for this requested information collection is 113,469 hours and the total average annualized number of responses is 315,045 responses.
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 May 31, 2016.
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
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,
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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Although this proposed data collection is limited to certain QHP issuers, HHS intends to phase in implementation for other entities over time. As stated in the final rule Patient Protection and Affordable Care Act; Establishment of Exchanges and Qualified Health Plans; Exchange Standards for Employers (77 FR 18310; March 27, 2012), broader implementation (including under Public Health Service Act (PHS Act) 2715A), will continue to be addressed in separate rulemaking issued by HHS, the Department of Labor, and the Department of the Treasury (the Departments). For State-based Exchanges not addressed in the current proposal, standards will be proposed later.
Consistent with PHS Act section 2715A, which largely extends the transparency reporting provisions set forth in section 1311(e)(3) to non-grandfathered group health plans (including large group and self-insured health plans) and health insurance issuers offering group and individual health insurance coverage (non-QHP issuers), the Departments intend to propose other transparency reporting requirements, through a separate rulemaking, for non-QHP issuers and non-grandfathered group health plans. Those proposed reporting requirements may differ from those prescribed in the HHS proposal under section 1311(e)(3), and will take into account differences in markets and other relevant factors. Importantly, the Departments intend to streamline reporting under multiple reporting provisions and reduce unnecessary duplication. The Departments intend to implement any transparency reporting requirements applicable to non-QHP issuers and non-grandfathered group health plans only after notice and comment, and after giving those issuers and plans sufficient time, following the publication of final rules, to come into compliance with those requirements.
CMS received a total of 13 comments during the 60-day comment period (August 12, 2015, 80 FR 48320).
3.
The CMMI is authorized by Section 1115A of the Social Security Act, as established by section 3021 of the ACA and was established to “test innovative payment and service delivery models to reduce program expenditures while preserving or enhancing the quality of care furnished” to Medicare, Medicaid and CHIP beneficiaries. Implicit across all of CMMI activities is an emphasis on diffusion—finding and validating innovative models that have the potential to scale, facilitating rapid adoption, and letting them take root in organizations, health systems, and communities across America.
The Medicare Current Beneficiary Survey (MCBS) is the most comprehensive and complete survey available on the Medicare population and is essential in capturing data not otherwise collected through our operations. The MCBS is an in-person, nationally-representative, longitudinal survey of Medicare beneficiaries that we sponsor and is directed by the Office of Enterprise Data and Analytics (OEDA) in partnership with the CMMI. The survey captures beneficiary information whether aged or disabled, living in the community or facility, or serviced by
The MCBS continues to provide unique insight into the Medicare program and helps CMS and our external stakeholders better understand and evaluate the impact of existing programs and significant new policy initiatives. In the past, MCBS data have been used to assess potential changes to the Medicare program. For example, the MCBS was instrumental in supporting the development and implementation of the Medicare prescription drug benefit by providing a means to evaluate prescription drug costs and out-of-pocket burden for these drugs to Medicare beneficiaries. The revision will streamline some questionnaire sections, add a few new measures, and update the wording of questions and response categories. Most of the revised questions reflect an effort to bring the MCBS questionnaire in line with other national surveys that have more current wording of questions and response categories with well-established measures. As a whole, these revisions do not change the respondent burden; there is a small increase in overall burden reflecting a program change to oversample small population groups.
Centers for Medicare & Medicaid Services, HHS.
Final notice.
This final notice announces our decision to approve the Institute for Medical Quality (IMQ) for recognition as a national accrediting organization for ambulatory surgical centers (ASCs) that wish to participate in the Medicare or Medicaid programs. An ASC that participates in Medicaid must also meet the Medicare conditions for coverage (CfCs) as required under our regulations.
This final notice is effective April 29, 2016 through April 29 2020.
Under the Medicare program, eligible beneficiaries may receive covered services in an Ambulatory Surgical Center (ASC) provided certain requirements are met. Section 1832(a)(2)(F)(i) of the Social Security Act (the Act) establishes distinct criteria for facilities seeking designation as an ASC. Regulations concerning provider agreements are at 42 CFR part 489 and those pertaining to activities relating to the survey and certification of facilities are at 42 CFR part 488. The regulations at 42 CFR part 416 specify the conditions that an ASC must meet in order to participate in the Medicare program, the scope of covered services and the conditions for Medicare payment for ASCs.
Generally, to enter into a Medicare provider agreement, an ASC must first be certified as complying with the conditions set forth in part 416 and be recommended to the Centers for Medicare & Medicaid Services (CMS) for participation by a state survey agency. Thereafter, the ASC is subject to periodic surveys by a state survey agency to determine whether it continues to meet these conditions. However, there is an alternative to certification surveys by state agencies. Accreditation by a nationally recognized Medicare accreditation program approved by CMS may substitute for both initial and ongoing state review.
Section 1865(a)(1) of the Act provides that if the Secretary of the Department of Health and Human Services finds that accreditation of a provider entity by an approved national accrediting organization meets or exceeds all applicable Medicare conditions, we may treat the provider entity as having met those conditions, that is, we may “deem” the provider entity to be in compliance. Accreditation by an accrediting organization is voluntary and is not required for Medicare participation.
Part 488 subpart A, implements the provisions of section 1865 of the Act and requires that a national accrediting organization applying for approval of its Medicare accreditation program must provide CMS with reasonable assurance that the accrediting organization requires its accredited provider entities to meet requirements that are at least as stringent as the Medicare conditions. Our regulations concerning the approval of accrediting organizations are set forth at § 488.5.
Section 1865(a)(3)(A) of the Act provides a statutory timetable to ensure that our review of applications for CMS-approval of an accreditation program is conducted in a timely manner. The Act provides us 210 days after the date of receipt of a complete application, with any documentation necessary to make the determination, to complete our survey activities and application process. Within 60 days after receiving a complete application, we must publish a notice in the
In the December 04, 2015
• An onsite administrative review of IMQ's: (1) Corporate policies; (2) financial and human resources available to accomplish the proposed surveys; (3) procedures for training, monitoring, and evaluation of its ASC surveyors; (4) ability to investigate and respond appropriately to complaints against accredited ASCs; and (5) survey review and decision-making process for accreditation.
• The comparison of IMQ's Medicare ASC accreditation program standards to CMS' current Medicare ASC conditions for coverage (CfCs).
• A documentation review of ASC's survey process to:
++ Determine the composition of the survey team, surveyor qualifications, and IMQ's ability to provide continuing surveyor training.
++ Compare IMQ's processes to those we require of state survey agencies, including survey frequency and the ability to investigate and respond appropriately to complaints against accredited ASCs.
++ Evaluate IMQ's processes and procedures for monitoring ASCs it has found to be out of compliance with IMQ's program requirements. (This pertains only to monitoring procedures when IMQ identifies non-compliance. If noncompliance is identified by a state survey agency through a validation survey, the state survey agency monitors corrections as specified at § 488.9(c).)
++ Assess IMQ's ability to report deficiencies to the surveyed ASC and respond to the ASCs plan of correction in a timely manner.
++ Establish IMQ's ability to provide CMS with electronic data and reports necessary for effective validation and assessment of the organization's survey process.
++ Determine the adequacy of IMQ's staff and other resources, and its financial viability.
++ Confirm IMQ's ability to provide adequate funding for performing required surveys.
++ Confirm IMQ's policies with respect to surveys being unannounced, to assure that surveys are unannounced.
++ Obtain IMQ's agreement to provide CMS with a copy of the most current accreditation survey together with any other information related to the survey as we may require, including corrective action plans.
In accordance with section 1865(a)(3)(A) of the Act, the December 04, 2015 proposed notice also solicited public comments regarding whether IMQ's requirements met or exceeded the Medicare CfCs for ASCs. We received 10 comments in response to our proposed notice. All of the comments received expressed unanimous support for IMQ's ASC accreditation program.
We compared IMQ's ASC accreditation requirements and survey process with the Medicare CfCs of part 416, and the survey and certification process requirements of parts 488 and 489. Our review and evaluation of IMQ's ASC application, which were conducted as described in section III of this final notice, yielded the following areas where, as of the date of this notice, IMQ has revised its standards and certification processes to meet the requirements at:
• § 416.2, to ensure its Medicare ASC accreditation program applies to a single distinct entity and that each entity independently meets all of the requirements at part 416.
• § 416.41, to ensure the governing body assumes full legal responsibility of the ASC.
• § 416.41(a), to ensure all contracted services are provided in a safe and effective manner.
• § 416.41(b)(1) through (2), to ensure the ASC has an effective procedure for immediate transfer, to a local hospital, of patients requiring emergency medical care.
• § 416.41(b)(3)(ii), to remove chiropractors from its list of professionals that perform surgical procedures.
• § 416.41(c)(1) through (2), to address the ASCs responsibility to coordinate its emergency preparedness plan with state and local authorities.
• § 416.42, to ensure the ASC is responsible for performing its own complete process for granting privileges through the governing body.
• § 416.42(a)(1), to ensure all procedures performed in the ASC are documented in the patients' medical record and that a physician examine the patient before surgery to evaluate the risk of anesthesia and of the procedure to be performed.
• § 416.42(a)(2), to ensure that before discharge from the ASC, a physician or anesthetist as defined at § 410.69(b) evaluates the patient for proper anesthesia recovery.
• § 416.44, to ensure ASCs have a safe and sanitary environment, properly constructed, equipped, and maintained to protect the health and safety of patients.
• § 416.44(a)(2), to ensure ASCs have a separate recovery room and waiting area.
• § 416.44(b)(1), to ensure ASCs meets the provisions applicable to the Ambulatory Health Care Centers of the 2000 edition of the Life Safety Code (LSC) of the National Fire Protection Association.
• § 416.44(b)(2), to address the regulatory requirement where CMS may waive, for periods deemed appropriate, specific provisions of the LSC which, if rigidly applied, would result in unreasonable hardship upon an ASC, but only if the waiver will not adversely affect the health and safety of the patients.
• § 416.44(b)(4), to ensure the ASC is in compliance with the Emergency Lighting Chapter 21.2.9.1 of the LSC.
• § 416.44(c), to address the requirement for emergency equipment to be immediately available for use during emergency situations and for emergency equipment to be maintained by appropriate personnel.
• § 416.44(d), to ensure personnel trained in the use of emergency equipment and in cardiopulmonary resuscitation are available whenever there is a patient in the ASC.
• § 416.45(a), to ensure all members of the medical staff are legally and professionally qualified for the positions to which they are appointed and for the performance of privileges granted.
• § 416.46(a), to ensure patient care responsibilities are delineated for all nursing service personnel, that nursing services are provided in accordance with recognized standards of practice, and that there is a registered nurse available for emergency treatment whenever there is a patient in the ASC.
• § 416.47, to ensure the ASC maintains complete, comprehensive and accurate medical records to ensure adequate patient care.
• § 416.47(b)(1) through (8), to ensure patient medical records meet CMS standards.
• § 416.48, to address the ASCs responsibility to provide drugs and biologicals in accordance with accepted professional practice.
• § 416.48(a)(2), to ensure blood and blood products are administered by only physicians or registered nurses.
• § 416.48(a)(3), to require all verbal orders for drugs and biologicals are followed by a written order and signed by the prescribing physician.
• § 416.50, to address the ASC's responsibility to inform the patient or the patient's representative or surrogate of the patient's rights and to provide notice of the patients' rights prior to the start of the surgical procedure.
• § 416.50(c)(1), to address providing the patient or the patient's representative with written information
• § 416.50(c)(2), to ensure the patient or the patient's representative is informed of the right to make informed decisions regarding the patient's care.
• § 416.50(f)(3), to ensure the patient has the right to be free from all forms of abuse or harassment.
• § 416.51(b)(3), to provide a plan of action for preventing, identifying, and managing infections and communicable diseases and for immediately implementing corrective and preventive measures that result in improvement.
• § 416.52(a)(1), to ensure each patient receives a comprehensive medical history and physical not more than 30 calendar days before the date of the scheduled surgery.
• § 416.52(c)(1), to address the ASCs responsibility to provide overnight supplies when discharged from the ASC.
• § 416.52(c)(2), to ensure each patient has a discharge order, signed by a physician who performed the surgery or procedure in accordance with applicable state health and safety laws, standards of practice, and ASC policy.
• § 416.52(c)(3), to ensure all patients are discharged in the company of a responsible adult unless exempted by the attending physician.
• § 488.5(a)(4)(ii), to ensure IMQ's surveyors observe at least one surgical procedure during an onsite ASC survey.
• § 488.5(a)(4)(iv), to ensure each statement of deficiency contains a clear, detailed description of the deficient practice and relevant findings that includes the use of numerators and denominators, when applicable, as well as a regulatory reference based on the relevant Medicare requirement.
• § 488.5(a)(9), to ensure IMQ's evaluation system used to monitor the performance of its surveyors meets the Medicare requirements.
• § 488.5(a)(12), to ensure IMQ's policies for responding to and investigating complaints against accredited facilities meets the Medicare requirements.
• § 489.13(b), to ensure IMQ does not provide an effective date of accreditation until the facility meets all applicable federal requirements, this includes both the Medicare requirements and IMQ standards.
• § 488.20(b) and § 488.28(a), to ensure that IMQ has a policy regarding our requirements for submission of a plan of correction by the ASC and the completion of an onsite follow-up survey to determine compliance with the Medicare CfCs after citing condition level noncompliance during a recertification survey.
• Section 2005A of the State Operations Manual (SOM), to ensure that IMQ has a policy regarding condition level noncompliance identified during an initial accreditation survey for participation in Medicare.
• Section 2700 of the SOM, to ensure all Medicare surveys are conducted on an unannounced basis.
• Section 2728 of the SOM, to ensure policies regarding timeframes for sending and receiving a plan of correction meets the Medicare requirements.
Based on our review and observations described in section III of this final notice, we approve IMQ as a national accreditation organization for ASCs that request participation in the Medicare program, effective April 29, 2016 through April 29, 2020.
This document does not impose information collection and recordkeeping requirements. Consequently, it need not be reviewed by the Office of Management and Budget under the authority of the Paperwork Reduction Act of 1995 (44 U.S.C. 35).
Food and Drug Administration, HHS.
Notice of availability; reopening of comment period; request for comments.
The Food and Drug Administration (FDA or we) is reopening the comment period and requesting public input on possible modifications to the current review processes for new animal drug applications (NADAs) for the use of multiple new animal drugs in combination drug medicated feeds. We are also announcing the availability of a Center for Veterinary Medicine (CVM) recommendations document for the animal drug user fee negotiating committee.
Submit either electronic or written comments by July 29, 2016.
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 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:
•
• 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
Linda M. Wilmot, Center for Veterinary Medicine (HFV-120), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 240-402-0829,
In the
In the same notice, FDA announced the opening of a docket to receive public input. Originally, interested persons were given until September 9, 2015, to provide comment. In a February 13, 2015 (80 FR 8092), notice of a public meeting on this subject, FDA extended the comment period until March 31, 2016. At this time, FDA is reopening the comment period until July 29, 2016.
A summary of FDA recommendations, “Recommendations on the Regulation of Combination Drug Medicated Feeds,” has been placed in the FDA Docket. Persons with access to the Internet may obtain this document at the CVM FOIA Electronic Reading Room:
Food and Drug Administration, HHS.
Notice of public workshop; reopening of comment period.
The Food and Drug Administration (FDA) is reopening the comment period for the notice of a public workshop that appeared in the
FDA is reopening the comment period for the notice of public workshop published March 9, 2016. Submit either electronic or written comments by June 2, 2016.
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 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:
•
• 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.”
•
Julia Tait Lathrop, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 5614, Silver Spring, MD 20993, 240-402-5034,
In the
FDA is reopening the comment period for the notice of the public workshop until June 2, 2016. The Agency believes that the extension allows adequate time for interested persons to submit comments without significantly delaying decision making on these important issues.
Food and Drug Administration, HHS.
Notice.
The Food and Drug Administration (FDA or Agency), Center for Biologics Evaluation and Research (CBER) is announcing the availability of a Vaccine Adverse Event Reporting System (VAERS) eSubmitter program for the electronic submission of postmarketing individual case safety reports (ICSRs) and ICSR attachments of adverse events for human vaccine products (VAERS eSubmitter program). The VAERS eSubmitter program is a free software program for voluntary use that is intended to help persons subject to mandatory postmarketing requirements for vaccines including applicants, manufacturers, packagers, and distributors to electronically submit ICSRs and ICSR attachments as required by the final rule titled “Postmarketing Safety Reports for Human Drug and Biological Products; Electronic Submission Requirements.” The VAERS eSubmitter program creates a simple and efficient mechanism for the secure electronic submission of postmarketing ICSRs and ICSR attachments into the VAERS database without the need for an internal database that is compatible with the International Conference on Harmonisation (ICH)-based direct database to database submission system.
Bioinformatics Support Staff, Office of Review Management, Center for Biologics Evaluation and Research, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 71, Rm. 7301, Silver Spring, MD 20993-0002,
FDA is announcing the availability of the VAERS eSubmitter program for the electronic submissions of postmarketing ICSRs and ICSR attachments of adverse events for human vaccine products. The VAERS eSubmitter program is available for voluntary use by applicants and others required to report postmarketing adverse events, as described above, to submit an initial or follow-up ICSR document for human vaccine products. The eSubmitter application software, which can be downloaded free of charge, assists users in the preparation of submissions that contain the minimum elements necessary for FDA to perform a comprehensive review.
The eSubmitter ICSR template for vaccines is designed to ensure that those submitting postmarketing ICSRs and ICSR attachments include necessary information in these regulatory submissions. It is also designed to guide users of the system as they complete the ICSR file creation and submission process. The VAERS eSubmitter program will help to improve the consistency, quality, and completeness of ICSR submissions and make the submission and review process more user-friendly for those required to report postmarketing adverse events for human vaccine products.
FDA published in the
The ICSR eSubmitter software is a government-issued software provided in support of the Government Paperwork Elimination Act of 1998 (44 U.S.C. 3504). As users of the eSubmitter software, applicants and others required to report postmarketing adverse events are not required to perform their own file validation process. The purpose of the ICSR eSubmitter template is to facilitate the electronic submission of postmarketing vaccine safety reports using internationally adopted data standards to enhance regulatory review, exchange and dissemination of vaccine safety information. Applicants and others who choose to use the eSubmitter program for required postmarketing reporting of adverse events for human vaccine products must first download the eSubmitter software and then manually enter information into the ICSR template form to create each electronic ICSR or ICSR attachment for submission to FDA through the ESG for uploading to the VAERS database. Further information on submitting ICSRs and ICSR attachments using eSubmitter is included in the August 2015 Guidance (available at:
This notice amends Part R of the Statement of Organization, Functions and Delegations of Authority of the Department of Health and Human Services (HHS), Health Resources and Services Administration (HRSA) (60 FR 56605, as amended November 6, 1995; as last amended at 80 FR 19981-19982 dated April 6, 2016).
This notice reflects organizational changes in the Health Resources and Services Administration (HRSA), Office of the Administrator (RA). Specifically, this notice: (1) Renames the Office of Equal Opportunity, Civil Rights and Diversity Management (RA2) to the Office of Civil Rights, Diversity and Inclusion (RA2); and (2) updates the functional statement for Office of Civil Rights, Diversity and Inclusion (RA2).
The mission of the Office of Civil Rights, Diversity and Inclusion is to protect and serve the rights of all HRSA employees, applicants and beneficiaries of federal funds by enforcing federal laws, policies and practices prohibiting discrimination, resolves workplace disputes and conflict at the earliest possible stage, and helps to leverage diversity throughout HRSA.
Delete the organization for the Office of the Administrator (RA) in its entirety and replace with the following:
Rename the Office of Equal Opportunity, Civil Rights and Diversity Management to the Office of Civil Rights, Diversity and Inclusion within the Office of the Administrator. The Office of the Administrator is headed by the Administrator, who reports directly to the Secretary, Department of Health and Human Services.
(1) Immediate Office of the Administrator (RA);
(2) Office of Legislation (RAE);
(3) Office of Communications (RA6);
(4) Office of Health Equity (RAB);
(5) Office of Civil Rights, Diversity and Inclusion (RA2);
(6) Office of Planning, Analysis and Evaluation (RA5);
(7) Office of Women's Health (RAW); and
(8) Office of Global Health (RAI).
This notice reflects organizational changes in the Health Resources and Services Administration (HRSA), Office of the Administrator (RA). Specifically, this notice: (1) Updates the functional statement.
Delete the function for the Office of Equal Opportunity, Civil Rights and Diversity Management and replace in its entirety.
Serves as the focal point for HRSA's formulation, implementation, coordination and management of the equal opportunity, civil rights, and diversity and inclusion activities. Specifically: (1) Provides advice, counsel, and recommendations to HRSA personnel, including regional offices, on equal opportunity, civil rights, and diversity and inclusion issues; (2) analyzes Agency data to determine underrepresentation and/or underutilization of diverse groups in the workforce; (3) identifies barriers and devises strategies to eliminate those barriers; (4) manages the equal employment opportunity complaint process for HRSA civilian employees; (5) manages the equal employment opportunity complaint process for Public Health Service (PHS) Commissioned Corps personnel under the provisions of PHS Personnel Instruction 6 and issues recommendations to the Surgeon General; (6) approves and executes equal opportunity complaint settlement agreements; (7) develops and directs implementation of the requirements of Section 504 of the Rehabilitation Act of 1973, Title VI of the Civil Rights Act of 1964, the Age Discrimination Act of 1975, the Americans With Disabilities Act, The Genetic Information Nondiscrimination Act of 2008, and Section 1557 of the Affordable Care Act, as they apply to HRSA and recipients of HRSA funds; (8) provides comprehensive EEO, Civil Rights and Diversity and Inclusion training to HRSA's supervisors, managers and employees to prevent discrimination and harassment in the workplace; (9) applies all applicable laws, guidelines, rules and regulations; and (10) provides leadership and guidance in HRSA's efforts to develop and maintain a diverse and inclusive workforce.
All delegations of authority and re-delegations of authority made to HRSA officials that were in effect immediately prior to this reorganization, and that are consistent with this reorganization, shall continue in effect pending further re-delegation.
This reorganization is effective upon date of signature.
Office of the Secretary, HHS.
Notice.
In compliance with section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Office of the Secretary (OS), Department of Health and Human Services, announces plans to submit a new Information Collection Request (ICR), described below, to the Office of Management and Budget (OMB). Prior to submitting the ICR to OMB, OS seeks comments from the public regarding the burden estimate, below, or any other aspect of the ICR.
Comments on the ICR must be received on or before June 28, 2016.
Submit your comments to
Information Collection Clearance staff,
When submitting comments or requesting information, please include the document identifier HHS-OS-0990-new-60D for reference.
The evaluation will consist of both a process evaluation that focuses on CHWs' satisfaction with the training and suggestions for improvement, and an outcome evaluation that assesses (1) intermediate outcomes including the sustainability of CHWs' leadership knowledge and competencies, and the application of these competencies in leadership activities and CAP development; and (2) long-term outcomes including positive systemic and/or community level changes made around women's health issues. Data from the study will enable OWH to understand what components of the training were most successful and to identify aspects of the training in need of improvement. Results will also help OWH with planning and developing future training initiatives to promote effective programs for women and girls.
OS specifically requests comments on (1) the necessity and utility of the proposed information collection for the proper performance of the agency's functions, (2) the accuracy of the estimated burden, (3) ways to enhance the quality, utility, and clarity of the information to be collected, and (4) the use of automated collection techniques or other forms of information technology to minimize the information collection burden.
Office of the Secretary, HHS.
Notice.
In compliance with section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Office of the Secretary (OS), Department of Health and Human Services, announces plans to submit a new Information Collection Request (ICR), described below, to the Office of Management and Budget (OMB). Prior to submitting the ICR to OMB, OS seeks comments from the public regarding the burden estimate, below, or any other aspect of the ICR.
Comments on the ICR must be received on or before June 28, 2016.
Submit your comments to
Information Collection Clearance staff,
When submitting comments or requesting information, please include the document identifier HHS-OS-0990-New-60D for reference.
OS specifically requests comments on (1) the necessity and utility of the proposed information collection for the proper performance of the agency's functions, (2) the accuracy of the estimated burden, (3) ways to enhance the quality, utility, and clarity of the information to be collected, and (4) the use of automated collection techniques or other forms of information technology to minimize the information collection burden.
Indian Health Service, HHS.
Notice; correction.
The Indian Health Service published a document in the
Rick Mueller, Public Health Advisor, Office of Urban Indian Health Programs, 5600 Fishers Lane, Mail Stop: 08E65B, Rockville, MD 20857, Telephone (301) 443-4680. (This is not a toll-free number.)
In the
1. On page 13382, in the first column, under the heading “IV. Application and Submission Information, 2. Content and Form of Application Submission”, the correct Project Narrative requirement should read as “Project Narrative (must be single-spaced and not exceed thirty two pages)”.
2. On page 13382, in the second column, under the heading “IV. Application and Submission Information, Requirements for Project and Budget Narratives, A. Project Narrative”, the correct paragraphs should read as “The project narrative should be a separate Word document that is no longer than 32 pages and must: Be single-spaced, be type-written, have consecutively numbered pages, use black type not smaller than 12 characters per one inch, and be printed on one side only of standard size 8
Be sure to succinctly address and answer all questions listed under the narrative and place them under the evaluation criteria (refer to Section V.1, Evaluation criteria in this announcement) and place all responses and required information in the correct section (noted below), or they shall not be considered or scored. These narratives will assist the Objective Review Committee (ORC) in becoming familiar with the applicant's activities and accomplishments prior to this grant award. If the narrative exceeds the page limit, only the first 32 pages will be reviewed. The 32-page limit for the narrative does not include the table of contents, abstract, standard forms, budget justification narrative, and/or other appendix items”.
3. On page 13382, in the third column, under the heading “IV.
4. On page 13384, in the first column, under the heading “V. Application Review Information”, the correct paragraph should read as “The instructions for preparing the application narrative also constitute the evaluation criteria for reviewing and scoring the application. Weights assigned to each section are noted in parentheses. The 32 page narrative should include only the first year activities; information for multi-year projects should be included as an appendix. See “Multi-year Project Requirements” at the end of this section for more information. The narrative should be written in a manner that is clear to outside reviewers unfamiliar with prior related activities of the applicant. It should be well organized, succinct, and contain all information necessary for reviewers to understand the project fully. Points will be assigned to each evaluation criteria adding up to a total of 100 points. A minimum score of 60 points is required for funding. Points are assigned as follows:”
National Institutes of Health, HHS.
Notice.
This is notice, in accordance with 35 U.S.C. 209 and 37 CFR part 404, that the National Institutes of Health, Department of Health and Human Services, is contemplating the grant of an exclusive license to MeiraGTx, having a principal place of business in New York, New York, U.S.A. to practice the inventions embodied in the following patent applications, entitled “AAV-mediated aquaporin gene transfer to treat Sjögren's syndrome”:
1. U.S. Provisional Patent Application No. 61/695,753 filed August 31, 2012 (HHS Ref. No. E-139-2011/1-US-01);
2. PCT Application No. PCT/US2013/057632, filed August 30, 2013 (HHS Ref. No. E-139-2011/1-PCT-02);
3. Australia Patent Application No. 2013308470, filed February 25, 2015 (HHS Ref. No. E-139-2011/1-AU-03);
4. Canada Patent Application No. 2882763, filed February 20, 2015 (HHS Ref. No. E-139-2011/1-CA-04);
5. European Patent Application No. 13773443.0, filed March 30, 2015 (HHS Ref. No. E-139-2011/1-EP-05);
6. U.S. Patent Application No. 14/423,774, filed February 25, 2015 (HHS Ref. No. E-139-2011/1-US-06).
The patent rights in these inventions have been assigned to the Government of the United States of America. The territory of the prospective license may be worldwide, and the field of use may be limited to adeno-associated virus (AAV) vector mediated gene delivery of human aquaporin-1 (hAQP1) in Sjögren's syndrome patients with associated xerostomia and/or xerophthalmia.
Only written comments and/or applications for a license that are received by the National Institute of Dental and Craniofacial Research, Office of Technology Transfer and Innovation Access on or before May 16, 2016 will be considered.
Requests for a copy of the patent application(s), inquiries, comments and other materials relating to the contemplated license should be directed to: Sally Hu, Ph.D., M.B.A., Senior Licensing and Patenting Manager, Office of Technology Transfer and Innovation Access, National Institute of Dental and Craniofacial Research, National Institutes of Health, BLDG 1 DEM, RM667, 6701 Democracy Blvd., Bethesda, MD 20817; Telephone: (301) 594-2616; Facsimile: (301) 496-1005; Email:
This subject technology is directed to the methods of using AAV vectors to deliver the hAQP gene into a salivary gland or a lachrymal gland in patients who suffer from Sjögren's syndrome. Sjögren's syndrome is a systemic autoimmune disease in which immune cells attack and destroy the glands that produce saliva and tears, resulting in progressive dry mouth and dry eyes. In a mouse model of Sjögren's syndrome, administration of hAQP-1 to salivary glands can restore salivary secretion and reduce inflammation in the glands.
The prospective exclusive license will be royalty bearing and will comply with the terms and conditions of 35 U.S.C. 209 and 37 CFR part 404. The prospective exclusive license may be granted unless, within fifteen (15) days from the date of this published notice, the Office of Technology Transfer and Innovation Access, National Institute of Dental and Craniofacial Research receives written evidence and argument that establishes that the grant of the contemplated license would not be consistent with the requirements of 35 U.S.C. 209 and 37 CFR part 404.
Properly filed competing applications for a license in the prospective field of use that are filed in response to this notice will be treated as objections to the contemplated license. Comments and objections submitted in response to this notice will not be made available for public inspection, and, to the extent permitted by law, will not be released under the Freedom of Information Act, 5 U.S.C. 552.
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.
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.
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.
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.
Notice is hereby given of a change in the meeting of the Clinical, Treatment and Health Services Research Review Subcommittee, June 13, 2016, 08:30 a.m. to June 13, 2016, 06:00 p.m., National Institute on Alcohol Abuse & Alcoholism, 5635 Fishers Lane, Terrace Conference Room 508/509, Rockville, MD, 20852 which was published in the
This meeting is being amended to change the Contact Person from Katrina L. Foster, Ph.D. to Ranga V. Srinivas, Ph.D. The meeting is closed to the public.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of 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 a meeting of the Board of Scientific Counselors, NICHD.
The meeting will be open to the public as indicated below, with the attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.
The meeting will be closed to the public as indicated below in accordance with the provisions set forth in section 552b(c)(6), Title 5 U.S.C., as amended for the review, discussion, and evaluation of individual intramural programs and projects conducted by the Eunice Kennedy Shriver National Institute of Child Health and Human Development, including consideration of personnel qualifications and performance, and the competence of individual investigators, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Information is also available on the Institute's/Center's home page:
Notice is hereby given of a change in the meeting of the Frederick National Laboratory Advisory Committee to the National Cancer Institute, May 11, 2016, 08:00 a.m. to May 11, 2016, 05:00 p.m., National Cancer Institute Shady Grove, 9609 Medical Center Drive, TE406, Rockville, MD, 20850 which was published in the
The meeting notice is amended to change the start and end time from 8:00 a.m.-5:00 p.m. to 8:30 a.m.-5:15 p.m. The meeting is open to the public.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of 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.
In accordance with Title 41 of the U.S. Code of Federal Regulations, Section 102-3.65(a), notice is hereby given that the Charter for the NIH Advisory Board for Clinical Research was renewed for an additional two-year period on April 26, 2016.
It is determined that the NIH Advisory Board for Clinical Research is in the public interest in connection with the performance of duties imposed on the National Institutes of Health by law, and that these duties can best be performed through the advice and counsel of this group.
Inquiries may be directed to Jennifer Spaeth, Director, Office of Federal Advisory Committee Policy, Office of the Director, National Institutes of Health, 6701 Democracy Boulevard, Suite 1000, Bethesda, Maryland 20892 (Mail code 4875), Telephone (301) 496-2123, or
Coast Guard, DHS.
Notice of Federal Advisory Committee Working Group meeting.
A working group of the Merchant Marine Personnel Advisory Committee will meet to work on Task Statement 30, which asks the committee to evaluate utilizing military education, training, and assessment to satisfy national and STCW
The Merchant Marine Personnel Advisory Committee working group is scheduled to meet daily on May 25, 2016 to May 26, 2016 from 8 a.m. until 5:30 p.m. Please note that these meetings may adjourn early if the working group has completed its business.
The meetings will be held at the Coast Guard National Maritime Center, 100 Forbes Drive, Martinsburg, WV 25404-7120,
For information on facilities or services for individuals with disabilities or to request special assistance at the meeting, contact the Alternate Designated Federal Officer as soon as possible.
To facilitate public participation, we are inviting public comment on the issues to be considered by the working group as listed in the “Agenda” section below. Written comments for distribution to working group members must be submitted no later than May 19, 2016, if you want the working group members to be able to review your comments before the meeting, and must be identified by docket number USCG-2016-0308. Written comments may be submitted using the Federal eRulemaking Portal at
Mr. Davis Breyer, Alternate Designated Federal Officer of the Merchant Marine Personnel Advisory Committee, 2703 Martin Luther King Jr. Ave. SE., Stop 7509, Washington, DC 20593-7509, telephone 202-372-1445, fax 202-372-8382, or
Notice of this meeting is given under the Federal Advisory Committee Act, Title 5 United States Code Appendix.
The Merchant Marine Personnel Advisory Committee was established under authority of section 310 of the Howard Coble Coast Guard and Maritime Transportation Act of 2014, Title 46, United States Code, section 8108, and chartered under the provisions of the Federal Advisory Committee Act, (Title 5, United States Code, Appendix). The Committee acts solely in an advisory capacity to the Secretary of the Department of Homeland Security through the Commandant of the Coast Guard on matters relating to personnel in the United States merchant marine, including training, qualifications, certification, documentation, and fitness standards and other matters as assigned by the Commandant; shall review and comment on proposed Coast Guard regulations and policies relating to personnel in the United States merchant marine, including training, qualifications, certification, documentation, and fitness standards; may be given special assignments by the Secretary and may conduct studies, inquiries, workshops, and fact finding in consultation with individuals and groups in the private sector and with State or local governments; shall advise, consult with, and make recommendations reflecting its independent judgment to the Secretary.
The agenda for the May 25, 2016 meeting is as follows:
(1) The working group will meet briefly to discuss Task Statement 30, Utilizing military education, training and assessment for the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers and U.S. Coast Guard Certifications; the purpose and goals of this intercessional; and the organization of this intercessional/workshop;
(2) Reports of working sub-groups. At the end of the day, the working sub-groups will report to the full working group on what was accomplished in their meetings. The full working group will not take action on these reports on this date. Any action taken as a result of this working group meeting will be taken on day 2 of the meeting.
(3) Public comment period.
(4) Adjournment of meeting.
The agenda for the May 26, 2016 meeting is as follows:
(1) The working group will meet briefly to discuss Task Statement 30, Utilizing military education, training and assessment for the International Convention on Standards of Training, Certification and Watchkeeping for Seafarers and U.S. Coast Guard Certifications; the purpose and goals of this intercessional for this date; and any adaptations to the organization of this intercessional;
(2) Reports of working sub-groups. The working sub-groups will report to the full working group on what was accomplished in their meetings. The full working group will not take action on these reports at this time. Any action taken as a result of this working group meeting will be taken after the public comment period.
(3) Public comment period.
(4) Preparation of the meeting report to the Committee.
(5) Adjournment of meeting.
A public comment period will be held during each day during the working group meeting concerning matters being discussed. Speakers are requested to limit their comments to 3 minutes. Please note that the public comment periods may end before the prescribed ending times following the last call for comments.
Please contact Mr. Davis Breyer, listed in the
Office of the Assistant Secretary for Community Planning and Development, HUD.
Notice.
This Notice identifies unutilized, underutilized, excess, and surplus Federal property reviewed by HUD for suitability for possible use to assist the homeless.
Juanita Perry, Department of Housing and Urban Development, 451 Seventh Street SW., Room 7262, Washington, DC 20410; telephone (202) 402-3970; TTY number for the hearing- and speech-impaired (202) 708-2565 (these telephone numbers are not toll-free), or call the toll-free Title V information line at 800-927-7588.
In accordance with the December 12, 1988 court order in
Fish and Wildlife Service, Interior.
Notice of availability; request for public comments; announcement of public meetings.
We, the U.S. Fish and Wildlife Service (Service or USFWS), have prepared a draft Environmental Impact Statement (EIS) under the National Environmental Policy Act of 1969, as amended (NEPA), in response to an application from Power Company of Wyoming (PCW) for eagle take permits (ETPs) pursuant to the Bald and Golden Eagle Protection Act (BGEPA) and its implementing regulations. PCW has applied for standard and programmatic ETPs for the Chokecherry and Sierra Madre (CCSM) Phase I Wind Energy Project in Carbon County, Wyoming. We announce a public comment period on the draft EIS. We request data, comments, new information, or suggestions from the public, other concerned governmental agencies, the scientific community, Tribes, industry, or any other interested party.
If you require reasonable accommodations to attend the meeting, contact the person listed under
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For information on how to view comments on the EIS from the Environmental Protection Agency (EPA), or for information on EPA's role in the EIS process,
Louise Galiher, 303-236-8677 (phone);
Copies of the draft EIS, as well as the permit application and the supporting Eagle Conservation Plan (ECP), are available for review at the Carbon County Library System at 215 West Buffalo Street, Rawlins, Wyoming; the Saratoga Public Library at 503 West Elm Street, Saratoga, Wyoming; USFWS Wyoming Ecological Services Office at 5353 Yellowstone Rd, Suite 308A, Cheyenne, Wyoming
The notice of intent to prepare an EIS for this project was published in the
In addition to this notice of availability of the draft EIS that the Service is publishing, EPA is publishing a notice announcing the draft EIS, as required under section 309 of the Clean Air Act (42 U.S.C. 7401
Bald eagles and golden eagles are provided further protection under BGEPA, which prohibits anyone, without a permit issued by the Secretary of the Interior, from “taking” eagles, including their parts, nests, or eggs. An ETP authorizes the take of live eagles and their eggs where the take is associated with, but not the purpose of, a human activity or project that is otherwise a lawful activity. Regulations governing permits for bald and golden eagles can be found in the Code of Federal Regulations at 50 CFR 22.26.
ETPs authorize the take of eagles where the take is compatible with the preservation of eagles; where it is necessary to protect an interest in a particular locality; where it is associated with, but not the purpose of, an otherwise lawful activity; and where take is unavoidable even though advanced conservation practices are being implemented. The Service will issue permits for such take only after an applicant has committed to undertake all practicable measures to avoid and minimize such take and mitigate anticipated take to the maximum extent achievable to be compatible with the preservation of eagles. Standard ETPs authorize eagle take in an identifiable timeframe and location. Programmatic ETPs authorize eagle take that is recurring and not within a specific, identifiable timeframe and/or location. Programmatic ETPs may be issued for a period of up to 5 years.
The applicant has prepared an ECP identifying measures it intends to undertake to avoid, minimize, and compensate for potential impacts to bald and golden eagles. To help meet requirements of the Migratory Bird Treaty Act, the applicant has also prepared an avian protection plan containing measures the applicant proposes to implement to avoid or minimize impacts of the Project on other migratory birds. The Service has considered the information presented in the ECP and avian protection plans in our analysis of environmental impacts in the draft EIS.
PCW has since submitted to BLM site-specific plans of development from which BLM is developing site-specific tiered EAs. In 2014, BLM published a final EA 1, which analyzes major components of project infrastructure, including the haul road, rail facility, and rock quarry. EA 2 is currently under development by BLM, and analyzes the wind turbines and pads, access roads, laydown areas, electrical and communication lines, and a construction camp.
The Service has incorporated by reference information from the BLM FEIS, ROD, EA1, and EA2 into our environmental analysis in the draft EIS in order to avoid redundancy and unnecessary paperwork. Council for Environmental Quality (CEQ) regulations authorize incorporation by reference (40 CFR 1502.21, CEQ 40 Most Asked Questions #30; see also 43 CFR 46.135).
In the draft EIS, the Service identified and analyzed the Proposed Action Alternative, the Proposed Action with Different Mitigation, an alternative to Issue ETPs for Phase I of Sierra Madre Wind Development Area Only, and the No Action Alternative.
Our decision whether to issue standard and programmatic ETPs to PCW triggers compliance with NEPA, which requires the Service to analyze the direct, indirect, and cumulative impacts of the CCSM Phase I project before we make our decision, and to make our analysis available to the public. We have prepared the draft EIS to inform the public of our proposed permit action, alternatives to that action, the environmental impacts of the alternatives, and measures to minimize adverse environmental effects.
The EPA is charged under section 309 of the Clean Air Act to review all Federal agencies' EISs and to comment on the adequacy and the acceptability of the environmental impacts of proposed actions in the EISs.
EPA also serves as the repository (EIS database) for EISs prepared by Federal agencies and provides notice of their availability in the
For more information, see
In accordance with CEQ's regulations for implementing NEPA and DOI's NEPA regulations, the Service requests public comments on the draft EIS. Timely comments will be considered by the Service in preparing the final EIS.
Written comments, including email comments, should be sent to the Service at one of the addresses given in the
If you would like to be placed on the mailing list to receive future information, please contact the person listed under
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.
Comments and materials received will be available for public inspection, by appointment, during normal business hours at the office where the comments are being submitted.
This notice is published in accordance with the National Environmental Policy Act of 1969; the CEQ's regulations for implementing NEPA, 40 CFR parts 1500 through 1508; and the Department of the Interior's NEPA regulations, 43 CFR part 45.
U.S. Geological Survey (USGS), Interior.
Notice of a renewal of a currently approved information collection (1028-0092).
We (the U.S. Geological Survey) will respectfully request the Office of Management and Budget (OMB) renew the information collection (IC) and/or data detailed below. To comply with the Paperwork Reduction Act of 1995 (PRA) and as part of our continuing efforts to reduce paperwork and perspective recipient burden, we invite the general public and other Federal agencies to take this opportunity to comment on the IC. This collection is scheduled to expire on 9/30/2016.
To ensure that your comments are considered, we must receive them on or before June 28, 2016.
You may submit comments on this information collection to the Information Collection Clearance Officer, U.S. Geological Survey, 12201 Sunrise Valley Drive MS 807, Reston, VA 20192 (mail); (703) 648-7197 (fax); or
Anthony Martin, National Geospatial Program, U.S. Geological Survey, 12201 Sunrise Valley Drive, Mail Stop 511, Reston, VA 20192 (mail); 703-648-4542 (phone); or
The National Geospatial Program (NGP) of the U.S. Geological Survey (USGS) contributes funding for the collection of geospatial data which increases the development of
We are soliciting comments as to: (a) Whether the proposed collection of information is necessary for the agency to perform its duties, including whether the information is useful; (b) the accuracy of the agency's estimate of the burden of the proposed collection of information; (c) ways to enhance the quality, usefulness, and clarity of the information to be collected; and (d) how to minimize the burden on the respondents, including the use of automated collection techniques or other forms of information technology.
Please note that the comments submitted in response to this notice are a matter of public record. Before including your personal mailing address, phone number, email address, or other personally identifiable information in your comment, you should be aware that your entire comment, including your personally identifiable information, may be made publicly available at any time. While you can ask us in your comment to withhold your personally identifiable information from public view, we cannot guarantee that we will be able to do so.
Bureau of Indian Affairs, Interior.
Notice of rate adjustments.
The Bureau of Indian Affairs (BIA) owns, or has an interest in, irrigation projects located on or associated with various Indian reservations throughout the United States. We are required to establish irrigation assessment rates to recover the costs to administer, operate, maintain, and rehabilitate these projects. We are notifying you that we have adjusted the irrigation assessment rates at several of our irrigation projects and facilities to reflect current costs of administration, operation, maintenance, and rehabilitation.
The irrigation assessment rates are current as of January 1, 2015.
For details about a particular BIA irrigation project or facility, please use the tables in the
A Notice of Proposed Rate Adjustment was published in the
Yes. Rate increases were deferred on the Crow Irrigation Project—Two Leggins Unit and the Wind River Irrigation Project—Riverton Valley Irrigation District.
Yes. The BIA received sixteen (16) letters with comments. All comments received were associated with the Flathead Indian Irrigation Project's (FIIP) proposed rate adjustment for Calendar Year (CY) 2016.
Comments received relate specifically to the proposed rate increase for CY 2016 and other activities associated only with the FIIP.
The BIA's summary of commenters' issues and BIA's response are provided below.
This notice affects you if you own or lease land within the assessable acreage of one of our irrigation projects or if you have a carriage agreement with one of our irrigation projects.
You can contact the appropriate office(s) stated in the tables for the irrigation project that serves you, or you can use the Internet site for the Government Printing Office at
Our authority to issue this notice is vested in the Secretary of the Interior by (Secretary) 5 U.S.C. 301 and the Act of August 14, 1914 (38 Stat. 583; 25 U.S.C. 385). The Secretary has in turn delegated this authority to the Assistant Secretary—Indian Affairs under Part 209, Chapter 8.1A, of the Department of the Interior's Departmental Manual.
The following tables are the regional and project/agency contacts for our irrigation facilities.
The rate table below contains the current rates for all irrigation projects where we recover costs of administering, operating, maintaining, and rehabilitating them. The table also contains the final rates for the CY 2015 and subsequent years where applicable. An asterisk immediately following the rate category notes the irrigation projects where 2015 rates are different from the 2014 rates.
To fulfill its consultation responsibility to tribes and tribal organizations, BIA communicates, coordinates, and consults on a continuing basis with these entities on issues of water delivery, water availability, and costs of administration, operation, maintenance, and rehabilitation of projects that concern them. This is accomplished at the individual irrigation project by pProject, aAgency, and rRegional representatives, as appropriate, in accordance with local protocol and procedures. This notice is one component of our overall coordination and consultation process to provide notice to, and request comments from, these entities when we adjust irrigation assessment rates.
The rate adjustments will have no adverse effects on energy supply, distribution, or use (including a shortfall in supply, price increases, and increase use of foreign supplies) should the rate adjustments be implemented. This is a notice for rate adjustments at BIA-owned and operated irrigation projects, except for the Fort Yuma Irrigation Project. The Fort Yuma Irrigation Project is owned and operated by the Bureau of Reclamation with a portion serving the Fort Yuma Indian Reservation.
These rate adjustments are not a significant regulatory action and do not need to be reviewed by the Office of Management and Budget under Executive Order 12866.
These rate adjustments are not a rule for the purposes of the Regulatory Flexibility Act because they establish “a rule of particular applicability relating to rates.” 5 U.S.C. 601(2).
These rate adjustments do not impose an unfunded mandate on State, local, or tribal governments in the aggregate, or on the private sector, of more than $130 million per year. The rule does not have a significant or unique effect on State, local, or tribal governments or the private sector. Therefore, the Department is not required to prepare a statement containing the information required by the Unfunded Mandates Reform Act (2 U.S.C. 1531
The Department has determined that these rate adjustments do not have significant “takings” implications. The rate adjustments do not deprive the public, state, or local governments of rights or property.
The Department has determined that these rate adjustments do not have significant Federalism effects because they will not affect the States, the relationship between the national government and the States, or the distribution of power and responsibilities among various levels of government.
In issuing this rule, the Department has taken the necessary steps to eliminate drafting errors and ambiguity, minimize potential litigation, and provide a clear legal standard for affected conduct, as required by section 3 of Executive Order 12988.
These rate adjustments do not affect the collections of information which have been approved by the Office of Information and Regulatory Affairs, Office of Management and Budget, under the Paperwork Reduction Act of 1995. The OMB Control Number is 1076-0141 and expires March 31, 2016.
The Department has determined that these rate adjustments do not constitute a major Federal action significantly affecting the quality of the human environment and that no detailed statement is required under the National Environmental Policy Act of 1969 (42 U.S.C. 4321-4370(d)).
In developing this notice, we did not conduct or use a study, experiment, or survey requiring peer review under the Data Quality Act (Pub. L. 106-554).
Bureau of Indian Affairs, Interior.
Notice of request for comments.
In compliance with the Paperwork Reduction Act of 1995, the Bureau of Indian Affairs (BIA) is seeking comments on the renewal of Office of Management and Budget (OMB) approval for the collection of information for Acquisition of Trust Land authorized by OMB Control Number 1076-0100. This information collection expires August 31, 2016.
Submit comments on or before June 28, 2016.
You may submit comments on the information collection to Ms. Sharlene M. Round Face, Bureau of Indian Affairs, Division of Real Estate Services, MS-4639-MIB, 1849 C Street, NW., Washington, DC 20240; fax: (202) 219-1065; email:
Ms. Sharlene M. Round Face, (202) 208-3615.
The BIA is seeking renewal of the approval for the information collection conducted under 25 CFR part 151, Land Acquisitions, for the United States to take land into trust for individual Indians and Indian Tribes. This information collection allows the BIA to review applications for compliance with regulatory and statutory requirements. No specific form is used. No third party notification or public disclosure burden is associated with this collection.
The BIA requests your comments on this collection concerning: (a) The necessity of this information collection for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) The accuracy of the agency's estimate of the burden (hours and cost) of the collection of information, including the validity of the methodology and assumptions used; (c) Ways we could enhance the quality, utility, and clarity of the information to be collected; and (d) Ways we could
Please note that an agency may not conduct or sponsor, and an individual need not respond to, a collection of information unless it has a valid OMB Control Number.
It is our policy to make all comments available to the public for review at the location listed in the
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 2016 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.
These programs are eligible for inclusion in Funding Agreements until September 30, 2016.
Inquiries or comments regarding this notice may be directed 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.
Dr. Kenneth D. Reinfeld, Office of Self-Governance, telephone: (703) 390-6551 or (202) 821-7107.
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.
Comments on a draft
The Yurok Tribe requested that its name be added to the National Park Service list in Section II. The change was made.
The Fish and Wildlife Service indicated that the Confederated Salish and Kootenai Tribes of the Flathead Reservation currently do not have a self-governance funding agreement with the Fish and Wildlife Service. The change was made to the Fish and Wildlife Service list in Section II.
The Fish and Wildlife Service requested that its contact information in Section III be corrected. The change was made.
The National Park Service requested that Maniilaq be dropped and the Yurok Tribe be added to the National Park Service list in Section II. The changes were made.
The National Park Service requested that Death Valley National Park in California, Devils Postpile National Monument in California, Point Reyes National Seashore in California, Crater Lake National Park in Oregon, Oregon Caves National Monument in Oregon, and Fort Vancouver National Historic Site be added to the National Park Service list in Section III. 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 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
1. Klamath Project, California and Oregon.
2. Trinity River Fishery, California.
3. Central Arizona Project, Arizona.
4. Rocky Boy's/North Central Montana Regional Water System, Montana.
5. Indian Water Rights Settlement Projects, as authorized by Congress.
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 preparation 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 Mr. 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 or fax: (303) 231-3091.
The NPS administers the National Park System, which is made up of national parks, monuments, historic sites, battlefields, seashores, lake shores and recreation areas. The NPS 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 administering 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 Mr. 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, or 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, 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,
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 administering through a self-governance funding agreement.
For questions regarding self-governance, contact Mr. Scott Aikin, Fish and Wildlife Service, National Native American Programs Coordinator, 1211 SE Cardinal Court, Suite 100, Vancouver, Washington 98683, telephone (360) 604-2531 or fax (360) 604-2505.
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 Ms. Monique Fordham, Esq., National Tribal Liaison, U.S. Geological Survey, 12201 Sunrise Valley Drive, Reston, Virginia 20192, telephone (703) 648-4437 or 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 Mr. 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 2016 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.
Office of the Secretary, Interior.
Notice.
This notice announces the public outreach session/webinar regarding the U.S. Extractive Industries Transparency Initiative (USEITI) to increase awareness and dissemination of the 2015 USEITI Report and the benefits of EITI.
The public outreach session/webinar will be from 2:00-4:00 p.m. ET on May 3, 2016.
The public outreach session/webinar will be held in the Rachel Carson Room of the Stewart Lee Udall Department of the Interior Building located at 1849 C Street NW., Washington, DC 20240. Members of the public may attend in person or view documents and presentations under discussion via Live Meeting Net Conference at
Rosita Compton Christian, USEITI Secretariat; 1849 C Street NW., MS 4211, Washington, DC 20240. You may also contact the USEITI Secretariat via email at
The U.S. Department of the Interior established the USEITI Advisory Committee (Committee) on July 26, 2012, to oversee the domestic implementation of this voluntary, global initiative designed to increase transparency and accountability in the governance of extractive industries revenue management. More information about the Committee, including its charter, and public meetings can be found at
This Public Outreach session/webinar will provide the public awareness of EITI and its benefits, update stakeholders on status of U.S. compliance with the global standard, and demonstrate the interactive on-line 2015 first annual USEITI Report. The USEITI Report can be found at
Office of the Assistant Secretary—Indian Affairs, Interior.
Notice.
This notice announces that the Acting Assistant Secretary—Indian Affairs has selected 10 schools as the next set of schools eligible to receive funding to replace their school facilities.
Mr. Darrell LaRoche, Director, Office of Facilities, Property, and Safety Management, Office of the Assistant Secretary—Indian Affairs (703) 390-6314,
The No Child Left Behind (NCLB) School Facilities and Construction Negotiated Rule-Making Committee established the process and criteria for determining the priority in which the Department of the Interior would proceed with campus-wide school replacement. The criteria can be viewed at pages 37-41 of the Committee's Report, available here:
For Fiscal Year (FY) 2016, the National Review Committee identified the 10 schools listed below and invited those schools to a present at a public meeting in February 2016, in Albuquerque, New Mexico. The Acting Assistant Secretary—Indian Affairs has determined that all 10 schools need to be replaced and, therefore, all 10 schools should be eligible for funding, as it becomes available through Congressional appropriations, in this cycle.
The selection of these 10 schools is based on criteria, such as the Facility Condition Index, and other measures outlined in the NCLB report. The Office of the Assistant Secretary—Indian Affairs will place these 10 in order of readiness based on when each school completes the planning process. Design and construction for these projects is contingent on the budget process.
Bureau of Land Management, Interior.
Notice.
The purpose of this notice is to request public nominations to fill one recently vacated position on the Utah
All nominations must be received no later than May 31, 2016.
Nominations should be sent to Lola Bird, Public Affairs Specialist, Utah State Office, Bureau of Land Management, 440 West 200 South, Suite 500, Salt Lake City, UT 84101.
Lola Bird, Bureau of Land Management, Utah State Office, 440 West 200 South, Suite 500, Salt Lake City, UT 84101; phone (801) 539-4033; or email
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, seven days a week, to leave a message or question with the above individual. You will receive a reply during normal business hours.
The Federal Land Policy and Management Act (FLPMA) (43 U.S.C. 1739) directs the Secretary of the Interior to involve the public in planning and issues related to management of lands administered by the Bureau of Land Management (BLM). Section 309 of FLPMA directs the Secretary to establish 10- to 15-member citizen-based advisory councils that are consistent with the Federal Advisory Committee Act (FACA). As required by FACA, RAC membership must be balanced and representative of the various interests concerned with the management of the public lands.
The BLM-Utah RAC is hosting a call for nominations for a vacant position in category three (description addressed in the
43 CFR 1784.4-1.
Approved:
Bureau of Land Management, Department of the Interior.
Notice of public meeting.
In accordance with the Federal Land Policy and Management Act of 1976 (FLPMA), and the Federal Advisory Committee Act of 1972 (FACA), the U.S. Department of the Interior, Bureau of Land Management (BLM) California Desert District Advisory Council (DAC) will meet as indicated below.
The DAC will participate in a field tour of BLM-administered public lands on Friday, May 20, 2016, from 8:00 a.m. to 5:00 p.m. and will meet in formal session on Saturday, May 21, 2016, from 8:00 a.m. to 5:00 p.m. in Barstow, California. Members of the public are welcome. They must provide their own transportation, meals and beverages. Final agendas for the Friday field trip and the Saturday public meeting, along with the Saturday meeting location, will be posted on the DAC Web page at
Stephen Razo, BLM California Desert District External Affairs, 1-951-697-5217. 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 individuals. You will receive a reply during normal hours.
All DAC meetings are open to the public. The 15-member council advises the Secretary of the Interior, through the BLM, on a variety of planning and management issues associated with public land management on BLM administered lands in the California desert. Public comment for items not on the agenda will be scheduled at the beginning of the meeting Saturday morning. Time for public comment is made available by the council chair during the presentation of various agenda items, and is scheduled at the end of the meeting for topics not on the agenda. While the Saturday meeting is scheduled from 8:00 a.m. to 5:00 p.m., the meeting could conclude prior to 5:00 p.m. should the council conclude its presentations and discussions. Therefore, members of the public interested in a particular agenda item or discussion should schedule their arrival accordingly. Agenda for the Saturday meeting will include updates by council members, the BLM California Desert District Manager, five Field Managers, and council subgroups. Focus topics for the meeting will include Route 66 Corridor Management Plan and renewable energy project updates. Written comments may be filed in advance of the meeting for the California Desert District Advisory Council, c/o Bureau of Land Management, External Affairs, 22835 Calle San Juan de Los Lagos, Moreno Valley, CA 92553. Written comments also are accepted at the time of the meeting and, if copies are provided to the recorder, will be incorporated into the minutes.
National Park Service, Interior.
Notice.
The Sam Noble Oklahoma Museum of Natural History at the University of Oklahoma has completed an inventory of human remains and associated funerary objects, in consultation with the appropriate Indian tribes or Native Hawaiian organizations, and has determined that
Representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to request transfer of control of these human remains and associated funerary objects should submit a written request with information in support of the request to the Sam Noble Oklahoma Museum of Natural History at the address in this notice by May 31, 2016.
Dr. Marc Levine, Assistant Curator of Archaeology, Sam Noble Oklahoma Museum of Natural History, University of Oklahoma, 2401 Chautauqua Avenue, Norman, OK 73072-7029, telephone 405-325-1994, email
Notice is here given in accordance with the Native American Graves Protection and Repatriation Act (NAGPRA), 25 U.S.C. 3003, of the completion of an inventory of human remains and associated funerary objects under the control of the Sam Noble Oklahoma Museum of Natural History. The human remains and associated funerary objects were removed from the following counties in the state of Oklahoma: Bryan, Carter, Coal, Garvin, Marshall, McClain, and Pontotoc.
This notice is published as part of the National Park Service's administrative responsibilities under NAGPRA, 25 U.S.C. 3003(d)(3) and 43 CFR 10.11(d). The determinations in this notice are the sole responsibility of the museum, institution, or Federal agency that has control of the Native American human remains and associated funerary objects. The National Park Service is not responsible for the determinations in this notice.
A detailed assessment of the human remains was made by the Sam Noble Oklahoma Museum of Natural History professional staff in consultation with representatives of the Jena Band of Choctaw Indians, the Mississippi Band of Choctaw Indians, The Chickasaw Nation, The Choctaw Nation of Oklahoma, and The Quapaw Tribe of Indians.
On October 22, 1941, human remains representing, at minimum, two individuals were removed from the Wheeler Site (34Br-47) in Bryan County, OK. The Wheeler Site was excavated by the Works Progress Administration, and the human remains were transferred to the Sam Noble Oklahoma Museum of Natural History on an unknown date. One individual was determined to be between the ages of 15 and 21 of indeterminate sex. The second individual is represented by two small postcranial fragments. Age and sex could not be identified. The date of the site associated with the human remains is unknown. No known individuals were identified. No associated funerary objects are present.
In 1934, human remains representing, at minimum, one individual were removed from the Reynolds Place Site (34Br-0/79) in Bryan County, OK. The human remains were discovered when the landowner, Mr. Sharpe, was plowing. The human remains represent an adult male of undetermined age. Mr. Sharpe donated the human remains to the Museum on January 21, 1942. The date of the site associated with the human remains is unknown. No known individuals were identified. The 41 associated funerary objects are 41 shell beads.
On October 16, 1987, human remains representing, at minimum, one individual, were removed from the Butler Site (34Ca-94/1) in Carter County, OK. The human remains are likely an adult male of at least 20 years of age. The human remains were collected by the Oklahoma City Medical Examiner's Office and transferred to the Museum via the Oklahoma Archaeological Survey at an unknown date. The date of the site associated with the human remains is unknown. No known individuals were identified. The five associated funerary objects are 2 shell beads, 1 fossil shell, and 2 animal bone fragments.
On May 1, 1974, human remains representing, at minimum, one individual were removed from the Foreman Site (34Co-29/1) in Coal County, OK. The site was located near the west side of the highway between Clarita and Tupelo at the point where it crosses the Clear Boggy River. The site was first reported by a student to a professor at Southeastern State College in Durant, OK, on March 12, 1974. Officials from the Oklahoma Archaeological Survey were alerted to the presence of human remains at the site, which had been subject to disturbance by pot hunting and road construction. The fragmentary human remains are of indeterminate sex and age. Archeological assessment indicates that these human remains likely date to the Late Archaic or Woodland period. The human remains were transferred from the Oklahoma Archaeological Survey to the Museum at an unknown date. No known individuals were identified. No associated funerary objects are present.
On an unknown date, human remains representing, at minimum, three individuals were removed from an unknown location (34Gv-0/20) in Garvin County, OK. The human remains were reportedly recovered in a gravel pit near a stream somewhere in Garvin County. The human remains represent one adult male, one probable adult female, and one adult of indeterminate sex. The human remains were donated to the Museum by an unnamed individual on July 26, 1951. The date of the site associated with the human remains is unknown. No known individuals were identified. The two associated funerary objects are a small shell and a fragment of faunal long bone.
In 1942, human remains representing, at minimum, one individual were removed from Coulter Site (34Ma-22) in Marshall County, OK. The human remains were recovered during Works Progress Administration excavations directed by Dr. Forrest Clements. This single individual, represented by one tooth (a right maxillary molar), was an adult of indeterminate sex. The tooth was transferred from the Oklahoma Archaeological Survey to the Museum at an unknown date. The date of the site associated with the human remains is unknown. No known individuals were identified. No associated funerary objects are present.
In 1942, human remains representing, at minimum, one individual were removed from the Quarrels Site (34Ma-24/14) in Marshall County, OK. The site was located on the bank of Little Glasses Creek, which is presently inundated by Lake Texoma. The human remains consisted of a single fragmentary phalanx of an adult of indeterminate sex. The human remains were transferred to the Museum at an unknown date. The date of the site associated with the human remains is unknown. No known individuals were identified. No associated funerary objects are present.
On an unknown date, human remains representing, at minimum, one individual were removed from the Frank Bounds Farm Site (34Ma-0/50) in Marshall County, OK. The human remains, representing an adult of indeterminate sex, were transferred to the Museum sometime before 1995. The date of the site associated with the human remains is unknown. No known individuals were identified. The 20 associated funerary objects consist of 15 pottery sherds and 5 stone tools.
In 1957, human remains representing, at minimum, one individual were removed from site 34Ml-11 in McClain County, OK. The site was located near a small drainage running northeast into the South Canadian River. The human remains were discovered by a road survey conducted as part of a Federal Highway Administration Project. The human remains are highly fragmented with many elements embedded in dirt. The human remains represent a single adult male. The human remains were transferred to the Museum on an unknown date. The date of the site associated with the human remains is unknown. No known individuals were identified. The one associated funerary object is a piece of groundstone.
On an unknown date, human remains representing, at minimum, one individual were removed from the Danna Smith Site (34Ml-7) in McClain County, OK. The human remains included one bone fragment, representing an adult of indeterminate sex. The bone was transferred to the Museum on an unknown date. The date of the site associated with the human remains is unknown. No known individuals were identified. No associated funerary objects are present.
On an unknown date, human remains representing, at minimum, one individual were removed from an unknown location (34Pn0/5) in Pontotoc County, OK. The single bone fragment represented an adult of indeterminate sex and was transferred to the Museum on an unknown date. The date of the site associated with the human remains is unknown. This site is mislabeled as “34Pn015.” No known individuals were identified. No associated funerary objects are present.
On February 23, 1963, human remains representing, at minimum, one individual were removed from the Townsend Site (34Pn-54) in Pontotoc County, OK. The human remains were collected by Dick McWilliams as part of a surface collection from the site, which is located along an old bank of West Buck Creek near Ada, OK. The human remains represent one adult individual, probably male. The human remains were transferred to the Museum on an unknown date. The date of the site associated with the remains is unknown. No known individuals were identified. No associated funerary objects are present.
Officials of the Sam Noble Oklahoma Museum of Natural History have determined that:
• Pursuant to 25 U.S.C. 3001(9), the human remains described in this notice are Native American based on a combination of one or more of the following: Osteological evidence, collection history, association with Native American artifacts, and association with prehistoric archeological sites.
• Pursuant to 25 U.S.C. 3001(9), the human remains described in this notice represent the physical remains of 15 individuals of Native American ancestry.
• Pursuant to 25 U.S.C. 3001(3)(A), the 69 objects described in this notice are reasonably believed to have been placed with or near individual human remains at the time of death or later as part of the death rite or ceremony.
• Pursuant to 25 U.S.C. 3001(2), a relationship of shared group identity cannot be reasonably traced between the Native American human remains and associated funerary objects and any present-day Indian tribe.
• According to final judgments of the Indian Claims Commission or the Court of Federal Claims, the land from which the Native American human remains and associated funerary objects were removed is the aboriginal land of the Jena Band of Choctaw Indians, the Mississippi Band of Choctaw Indians, The Chickasaw Nation, The Choctaw Nation of Oklahoma, and the Quapaw Tribe of Indians.
• Treaties, Acts of Congress, or Executive Orders, indicate that the land from which the Native American human remains and associated funerary objects were removed is the aboriginal land of the Jena Band of Choctaw Indians, the Mississippi Band of Choctaw Indians, The Chickasaw Nation, The Choctaw Nation of Oklahoma, and the Quapaw Tribe of Indians.
• Pursuant to 43 CFR 10.11(c)(1), the disposition of the human remains and associated funerary objects may be to the Jena Band of Choctaw Indians, the Mississippi Band of Choctaw Indians, The Chickasaw Nation, The Choctaw Nation of Oklahoma, and the Quapaw Tribe of Indians.
Representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to request transfer of control of these human remains and associated funerary objects should submit a written request with information in support of the request to Dr. Marc Levine, Assistant Curator of Archaeology, Sam Noble Oklahoma Museum of Natural History, University of Oklahoma, 2401 Chautauqua Avenue, Norman, OK 73072-7029, telephone 405-325-1994, email
The Sam Noble Oklahoma Museum of Natural History is responsible for notifying the Chickasaw Nation, Choctaw Nation of Oklahoma, Jena Band of Choctaw Indians, Mississippi Band of Choctaw Indians, and Quapaw Tribe of Indians that this notice has been published.
National Park Service, Interior.
Notice of availability.
The National Park Service (NPS), in cooperation with the City of Daly City (Daly City), has prepared a joint Draft Environmental Impact Report and Environmental Impact Statement (DEIR/EIS) for the Vista Grande Drainage Basin Project (Project). The NPS is the lead agency for environmental review under NEPA, and Daly City is the lead agency for environmental review under the California Environmental Quality Act
All comments must be postmarked or transmitted not later than 60 days from the date of publication in the
Please contact Steve Ortega at the Golden Gate National Recreation Area Planning Division at (415) 561-4955 or
This process has been conducted pursuant to the National Environmental Policy Act of 1969 (42 U.S.C. 4321
(1) The Vista Grande storm drain system drains the northwestern portion of Daly City and an unincorporated portion of San Mateo County—areas originally within the watershed of Lake Merced. In the 1890s, the Vista Grande Canal and Tunnel were built to divert stormwater away from the lake to an outlet at the Pacific Ocean, below what is now Fort Funston. The existing Canal and Tunnel do not have adequate hydraulic capacity to convey storm flows, and this periodically causes backing up of Tunnel flows into the Canal, and flooding during peak storm events in adjacent low-lying residential areas and roads. Such flooding and Canal overtopping events cause property damage, bank erosion, traffic nuisances, public safety issues, and may have adverse impacts to Lake Merced water quality.
(2) Urban development has significantly reduced Lake Merced's original estimated watershed size. As urban development advanced in the area, surface runoff was diverted away from Lake Merced. Consequently, the southern portion of the original watershed (Daly City), including what is now the Vista Grande Drainage Basin, and the eastern portion of the original watershed (San Francisco) were diverted from flowing into the Lake. Operation of the Project would capture a portion of the existing Basin stormwater and authorized non-storm runoff that is currently conveyed to the Pacific Ocean and beneficially re-use over the long-term it to augment water levels in Lake Merced.
(3) The existing Daly City Ocean Outlet structure juts out from the cliff approximately 90 feet across the beach below Fort Funston, impeding recreational access, particularly during high tides. The Project presents an opportunity to improve public access across the beach.
(4) The width of the existing Tunnel easement is undetermined. Legal easement issues associated with a potential new tunnel alignment and with proposed improvements at the beach would be evaluated for consistency with the goals of protection and enhancement of resources, values, and uses of lands and waters under federal jurisdiction.
Accordingly, NPS's objectives for the Project include the following: (1) Avoid, minimize, or mitigate environmental impacts to Golden Gate National Recreation Area (GGNRA) natural and cultural resources; (2) during construction, ensure the health and safety of park visitors and staff, maintain access to and through Fort Funston, and minimize impacts to the visitor experience; (3) permanently improve public access along the beach; and (4) minimize impacts on park assets and sustain or restore all park assets (
Copies of and/or internet links to the DEIR/EIS will be circulated to congressional delegations, state and local elected officials, federal and state agencies, tribes, organizations, local businesses, and public libraries. Printed copies (in limited quantity) and CDs will be supplied in response to email, phone, or mail requests. Printed copies will be available at public libraries in San Francisco and San Mateo County.
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.
Public comments received during the comment period will be recorded and categorized in order for the lead agencies to prepare responses, which then will be incorporated into the Final EIR/EIS. Where responses to comments require important changes to the EIR/EIS, the body of the text may be revised. Comments received on the cultural resources section of the EIR/EIS will also be considered during the separate, but coordinated process of compliance with § 106 of the National Historic Preservation Act.
National Park Service, Interior.
Notice.
The National Park Service is soliciting comments on the significance of properties nominated before April 9, 2016, for listing or related actions in the National Register of Historic Places.
Comments should be submitted by May 16, 2016.
Comments may be sent via U.S. Postal Service to the National Register of Historic Places, National Park Service, 1849 C St. NW., MS 2280, Washington, DC 20240; by all other carriers, National Register of Historic Places, National Park Service, 1201 Eye St. NW., 8th Floor, Washington, DC 20005; or by fax, 202-371-6447.
The properties listed in this notice are being considered for listing or related actions in the National Register of Historic Places. Nominations for their consideration were received by the National Park Service before April 9, 2016. Pursuant to section 60.13 of 36 CFR part 60, written comments are being accepted concerning the
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.
A request for removal has been received for the following resources:
60.13 of 36 CFR part 60.
National Park Service, Interior.
Notice.
The Peabody Museum of Archaeology and Ethnology, in consultation with the appropriate Indian tribes or Native Hawaiian organizations, has determined that the cultural item listed in this notice meet the definition of a sacred object and an object of cultural patrimony. Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to claim these cultural items should submit a written request to the Peabody Museum of Archaeology and Ethnology. If no additional claimants come forward, transfer of control of the cultural items to the lineal descendants, Indian tribes, or Native Hawaiian organizations stated in this notice may proceed.
Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to claim this cultural item should submit a written request with information in support of the claim to the Peabody Museum of Archaeology and Ethnology at the address in this notice by May 31, 2016.
Patricia Capone, Peabody Museum of Archaeology and Ethnology, Harvard University, 11 Divinity Avenue, Cambridge, MA 02138, telephone (617) 496-3702.
Notice is here given in accordance with the Native American Graves Protection and Repatriation Act (NAGPRA), 25 U.S.C. 3005, of the intent to repatriate a cultural item under the control of the Peabody Museum of Archaeology and Ethnology, Harvard University, Cambridge, MA, that meets the definition of a sacred object and an object of cultural patrimony under 25 U.S.C. 3001.
This notice is published as part of the National Park Service's administrative responsibilities under NAGPRA, 25 U.S.C. 3003(d)(3). The determinations in this notice are the sole responsibility of the museum, institution, or Federal agency that has control of the Native American cultural items. The National Park Service is not responsible for the determinations in this notice.
A leather war cap was collected by Henry M. Wheelwright between 1901 and 1904 from an unknown location in the southwestern part of the United States. Initially, this object was part of a loan presented to the Peabody Museum by Ruth E. Wheelwright in 1939. The loan was subsequently converted to a gift in 1963. The cap is made of two leather pieces sewn together. It has a leather chin strap that is attached at two points on the bottom. A folded band of red fabric is applied along the bottom and is secured with a top layer of painted, serrated leather band sewn across the bottom. There are two cross symbols on the cap: A black one on one side and a red one on the opposite side. Underneath the red cross, the bottom edge of the cap has been cut in a serrated fashion. A cluster of 13 feathers are attached to the crown of the cap with leather thongs; the end of each feather is wrapped with sinew. The cap measures 13.5 x 47.5 x 41 cm (5
In the initial loan documentation, the cap was described as “Apache Southwest.” At a later time, “Navajo” was added to the culture field on the museum catalogue card. Consultations with the Navajo Nation in 2013 confirmed that the item is not Navajo but is Western Apache. Further consultation with the White Mountain Apache Tribe indicate that stylistic and symbolic characteristics of this item are consistent with traditional Western Apache forms.
Anthropological, historical, and oral historical evidence indicate that the item described above is a specific ceremonial object needed by traditional Native American religious leaders for the practice of traditional Native American religions by their present-day adherents. In addition, these lines of evidence also support that this item has ongoing, traditional and cultural importance central to the Western Apache tribes and could not have been alienated, appropriated or conveyed by any individual tribal member at the time it was separated from the group.
Officials of the Peabody Museum of Archaeology and Ethnology have determined that:
• Pursuant to 25 U.S.C. 3001(3)(C), the one cultural item described above is a specific ceremonial object needed by traditional Native American religious leaders for the practice of traditional Native American religions by their present-day adherents.
• Pursuant to 25 U.S.C. 3001(3)(D), the one cultural item described above has ongoing historical, traditional, or cultural importance central to the Native American group or culture itself, rather than property owned by an individual.
• Pursuant to 25 U.S.C. 3001(2), there is a relationship of shared group identity that can be reasonably traced between the sacred objects and object of cultural patrimony and the San Carlos Apache Tribe of the San Carlos Reservation, Arizona; Tonto Apache Tribe of Arizona; White Mountain Apache Tribe of the Fort Apache Reservation, Arizona; and Yavapai-Apache Nation of the Camp Verde Indian Reservation, Arizona.
Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to claim this cultural item should submit a written request with information in support of the claim to Patricia Capone, Peabody Museum of Archaeology and Ethnology, Harvard University, 11 Divinity Avenue, Cambridge, MA 02138, telephone (617) 496-3702, by May 31, 2016. After that date, if no additional claimants have come forward, transfer of control of the sacred object and object of cultural patrimony to the San Carlos Apache Tribe of the San Carlos Reservation, Arizona; Tonto Apache Tribe of Arizona; White Mountain Apache Tribe of the Fort Apache Reservation, Arizona; and Yavapai-Apache Nation of the Camp Verde Reservation, Arizona may proceed.
The Peabody Museum of Archaeology and Ethnology is responsible for notifying the San Carlos Apache Tribe of the San Carlos Reservation, Arizona; Tonto Apache Tribe of Arizona; White Mountain Apache Tribe of the Fort Apache Reservation, Arizona; and Yavapai-Apache Nation of the Camp Verde Reservation, Arizona.
National Park Service, Interior.
Notice.
The Kansas State Historical Society has completed an inventory of human remains and associated funerary objects, in consultation with the appropriate Indian tribes or Native Hawaiian organizations, and has determined that there is a cultural affiliation between the human remains and associated funerary objects and present-day Indian tribes or Native Hawaiian organizations. Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to request transfer of control of these human remains and associated funerary objects should submit a written request to the Kansas State Historical Society. If no additional requestors come forward, transfer of control of the human remains and associated funerary objects to the lineal descendants, Indian tribes, or Native Hawaiian organizations stated in this notice may proceed.
Lineal descendants or representatives of any Indian tribe or
Dr. Robert J. Hoard, Kansas State Historical Society, 6425 SW. 6th Avenue, Topeka, KS 66615-1099, telephone (785) 272-8681 extension 269, email
Notice is here given in accordance with the Native American Graves Protection and Repatriation Act (NAGPRA), 25 U.S.C. 3003, of the completion of an inventory of human remains and associated funerary objects under the control of the Kansas State Historical Society, Topeka, KS. The human remains and associated funerary objects were removed from Doniphan, Pottawatomie, and Shawnee Counties, KS.
This notice is published as part of the National Park Service's administrative responsibilities under NAGPRA, 25 U.S.C. 3003(d)(3). The determinations in this notice are the sole responsibility of the museum, institution, or Federal agency that has control of the Native American human remains and associated funerary objects. The National Park Service is not responsible for the determinations in this notice.
A detailed assessment of the human remains was made by the Kansas State Historical Society professional staff in consultation with representatives of the Kaw Nation, Oklahoma.
On an unknown date, human remains representing, at minimum, one individual were removed from the Doniphan site, 14DP2, in Doniphan County, KS. The human remains were transferred in April 1990 to the Kansas State Historical Society by the Wallingford Historical Society of Wallingford, Connecticut. The Wallingford Historical Society acquired the human remains as a donation from Harold Stearns. Stearns had received the human remains around 1917 as a gift from George Remsburg, a well-known collector of Indian artifacts in the early 20th century. These human remains are identified by the designation UBS 1989-19B. No known individuals were identified. No associate funerary objects are present.
The human remains were packaged in a box with a paper museum label that indicated the human remains were from “the Doniphan town site.” This is almost certainly the well documented historic Kaw burial site known as the Doniphan site, 14DP2. The human remains are therefore interpreted as being affiliated with the Kaw Nation.
In 1987, human remains representing, at minimum, five individuals were removed from the Doniphan site, 14DP2, in Doniphan County, KS, and designated UBS 1990-28. These human remains were exposed by erosion and excavated by Kansas State Historical staff, done with the agreement of Bill Mehojah, then Chairman of the Kaw Tribe of Oklahoma. No known individuals were identified. There are 132 associated funerary objects: 1 Ceramic vessel, 18 beads, 1 pipe, 1 tablet, 2 Catlinite pieces, 1 bone awl, 1 bivalve shell, 1 gunflint, 1 projectile point, 35 pottery sherds, 71 flakes, 1 peach seed, 1 vial of squash seeds, 9 black seeds, daub, 2 cinders, charcoal, 1 sack of fibers, 1 geode, 1 crockery sherd, 2 abraders, both broken; and 1 vial rodent bones.
In 1936, human remains representing, at minimum, two individuals were removed from the Doniphan site in Doniphan County, KS, by A.T. Hill and John Champe of the Nebraska State Historical Society. The human remains were transferred to the Kansas State Historical Society in 1987 and designated UBS 1991-100. The human remains were identified as one adult and one juvenile of indeterminate sex. No known individuals were identified. No associated funerary objects are present.
In the 1960s, human remains representing, at minimum, one individual was removed from the Doniphan site in Doniphan County, KS. The human remains consist of an adult cranium. The human remains were first taken to Atchison County Historical Society, and then further transferred to Kansas State Historical Society and designated UBS 1991-104. The human remains were then sent to Kansas State University for analysis, and were returned to the Kansas State Historical Society in 1998. No known individuals were identified. No associated funerary objects are present.
In or around 1949, human remains representing, at minimum, two individuals were found on the Ford farm, presumably the Doniphan site, in Doniphan County, KS. A note with the human remains states that they were found exposed. The human remains were originally in the collections of Benedictine College in Atchison, KS. They were transferred to the Kansas State Historical Society in 1992, designated UBS 1992-24-6 (24A) and analyzed by physical anthropologist Dr. Michael Finnegan in 1997. No known individuals were identified. No associated funerary objects are present.
On an unknown date, human remains representing, at minimum, two individuals were removed from the Blue Earth Village site, site 14PO24, in Pottawatomie County, KS. The human remains were donated to the Kansas State Historical Society in 1881 by private collector William J. Griffing and designated UBS 1991-66. No known individuals were identified. No associated funerary objects are present.
In 1937, human remains representing, at minimum, one individual were removed from a site presumed to be the Blue Earth Village site in Pottawatomie County, KS. The human remains were collected by A.T. Hill of the Nebraska State Historical Society. In 1991 the human remains were donated to the Kansas State Historical Society and designated UBS 1991-65. No known individuals were identified. The 9 associated funerary objects are 5 brass buttons, 1 lot of metal lace fragments, 1 lot of wood splinters, 1 piece red pigment, 1 lot of unidentifiable, decomposing material, possibly leather.
In 1986, human remains representing, at minimum, three individuals were removed from site 14SH339, Shawnee County, KS. The human remains were unearthed as a homeowner was building an addition to their house. The human remains were brought to the Kansas State Historical Society in 1987 and designated UBS 1989-5.
Osteological analysis was conducted by Dr. Eileen Burneau, chief pathologist, Kansas Bureau of Investigation; Dr. Kim Schneider, physical anthropologist, Wichita State University, and Dr. Michael Finnegan, physical anthropologist, Kansas State University. The associated funerary objects with the human remains date to the 1800s, and the site is on a high ridge overlooking the documented location of the American Chief Village, occupied by the Kaw during the period of A.D. 1832-1846. It is believed that these human remains and associated funerary objects are affiliated with the Kaw Nation of Oklahoma. No known individuals were identified. The 7 associated funerary objects are 1 bead, 1 railroad spike, 1 axe head, 1 piece of cloth with metal, 1 piece of wood, 1 sack of hair or fibers, and 1 sack of fabric.
Officials of the Kansas State Historical Society have determined that:
• Pursuant to 25 U.S.C. 3001(9), the human remains described in this notice represent the physical remains of 17 individuals of Native American ancestry.
• Pursuant to 25 U.S.C. 3001(3)(A), the 148 objects described in this notice are reasonably believed to have been placed with or near individual human remains at the time of death or later as part of the death rite or ceremony.
• Pursuant to 25 U.S.C. 3001(2), there is a relationship of shared group identity that can be reasonably traced between the Native American human remains and associated funerary objects and the Kaw Nation, Oklahoma.
Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to request transfer of control of these human remains and associated funerary objects should submit a written request with information in support of the request to Dr. Robert J. Hoard, Kansas State Historical Society, 6425 SW. 6th Avenue, Topeka, KS 66615-1099, telephone (785) 272-8681 extension 269, email
The Kansas State Historical Society is responsible for notifying the Kaw Nation, Oklahoma that this notice has been published.
National Park Service, Interior.
Notice.
The Robert S. Peabody Museum of Archaeology at Phillips Academy, in consultation with the appropriate Indian tribes or Native Hawaiian organizations, has determined that the cultural items listed in this notice meet the definition of sacred objects. Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to claim these cultural items should submit a written request to the Robert S. Peabody Museum of Archaeology. If no additional claimants come forward, transfer of control of the cultural items to the lineal descendants, Indian tribes, or Native Hawaiian organizations stated in this notice may proceed.
Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to claim these cultural items should submit a written request with information in support of the claim to the Robert S. Peabody Museum of Archaeology at the address in this notice by May 31, 2016.
Dr. Ryan J. Wheeler, Director, The Robert S. Peabody Museum of Archaeology, Phillips Academy, 180 Main Street, Andover, MA 01810, (978) 749-4490, email
Notice is here given in accordance with the Native American Graves Protection and Repatriation Act (NAGPRA), 25 U.S.C. 3005, of the intent to repatriate cultural items under the control of the Robert S. Peabody Museum of Archaeology, Andover, MA, that meet the definition of sacred objects under 25 U.S.C. 3001.
This notice is published as part of the National Park Service's administrative responsibilities under NAGPRA, 25 U.S.C. 3003(d)(3). The determinations in this notice are the sole responsibility of the museum, institution, or Federal agency that has control of the Native American cultural items. The National Park Service is not responsible for the determinations in this notice.
In August, 1909, one item of both cultural and spiritual significance was removed from the White Earth Reservation in Becker County, MN. Museum documentation indicates that Warren K. Moorehead, Curator of the Robert S. Peabody Museum of Archaeology, acquired a birch bark scroll of the Midewiwin, or Grand Medicine Society (accession number 90.225.1) of White Earth from “Bay-bah-dwub-gay-aush,” whom Moorehead's records listed as a “Shaman of the White Earth Reservation,” to be protected in the museum at Andover.
In 1908, President Theodore Roosevelt appointed Warren K. Moorehead to the Board of Indian Commissioners, the group charged with public oversight of the Bureau of Indian Affairs. After his appointment Moorehead learned from his colleagues at the Smithsonian Institution “of the dreadful situation on a dozen different reservations,” including White Earth. He asked for permission and funds to investigate, which were granted by Commissioner of Indian Affairs Francis Leupp, who appointed Moorehead special agent.
Moorehead spent time at White Earth investigating various forms of land and other theft during a period of significant economic, cultural and religious oppression. It was in this environment that numerous objects of cultural and spiritual significance were removed from Anishinaabeg communities.
Consultations were held during a December 10-11, 2015, visit by officials from the White Earth Band of the Minnesota Chippewa Tribe who affirmed cultural affiliation to the birch bark scroll. In a letter dated January 15, 2016, the White Earth Band of the Minnesota Chippewa Tribe requested the return of the scroll due to its substantial cultural and religious significance and need for continued observance of traditional ceremonies that occur annually.
Officials of the Robert S. Peabody Museum of Archaeology have determined that:
• Pursuant to 25 U.S.C. 3001(3)(C), the one cultural item described above is a specific ceremonial object needed by traditional Native American religious leaders for the practice of traditional Native American religions by their present-day adherents.
• Pursuant to 25 U.S.C. 3001(2), there is a relationship of shared group identity that can be reasonably traced between the sacred object and the White Earth Band of the Minnesota Chippewa Tribe.
Lineal descendants or representatives of any Indian tribe or Native Hawaiian organization not identified in this notice that wish to claim these cultural items should submit a written request with information in support of the claim to Dr. Ryan J. Wheeler, Director, The Robert S. Peabody Museum of Archaeology, Phillips Academy, 180 Main Street, Andover, MA 01810, (978) 749-4490, email
The Robert S. Peabody Museum of Archaeology is responsible for notifying the White Earth Band of the Minnesota Chippewa Tribe that this notice has been published.
On the basis of the record
Pursuant to section 207.18 of the Commission's rules, the Commission also gives notice of the commencement of the final phase of its investigation. The Commission will issue a final phase notice of scheduling, which will be published in the
On March 9, 2016, Metallurgical Products Company, West Chester, PA filed a petition with the Commission and Commerce, alleging that an industry in the United States is materially injured or threatened with material injury by reason of LTFV imports of phosphor copper from Korea. Accordingly, effective March 9, 2016, the Commission, pursuant to section 733(a) of the Tariff Act of 1930 (19 U.S.C. 1673b(a)), instituted antidumping duty investigation No. 731-TA-1314 (Preliminary).
Notice of the institution of the Commission's investigation and of a public conference to be held in connection therewith was given by posting copies of the notice in the Office of the Secretary, U.S. International Trade Commission, Washington, DC, and by publishing the notice in the
The Commission made this determination pursuant to section 733(a) of the Tariff Act of 1930 (19 U.S.C. 1673b(a)). It completed and filed its determination in this investigation on April 25, 2016. The views of the Commission are contained in USITC Publication 4608 (May 2016), entitled
By order of the Commission.
Bureau of Alcohol, Tobacco, Firearms and Explosives, Department of Justice.
60-Day notice.
The Department of Justice (DOJ), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), will submit the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995.
Comments are encouraged and will be accepted for 60 days until June 28, 2016.
If you have additional comments especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Jennifer George, Fire Investigations and Arson Enforcement Division, ATF NCETR, Corporal Road, Building 3750 Redstone Arsenal, Huntsville, Alabama 35898 at:
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
• Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
• Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
• Evaluate whether and if so how the quality, utility, and clarity of the information to be collected can be enhanced; and
• Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
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If additional information is required contact: Jerri Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street NE., Room 3E-405B, Washington, DC 20530.
On April 1, 2016, the Department of Justice lodged a proposed Consent Decree Second Modification with the United States District Court for the District of New Hampshire in the lawsuit entitled
The Consent Decree Second Modification is a modification to the 2009 Clean Water Act Consent Decree that was entered into by the United States, State of New Hampshire, and the City. This Consent Decree Second Modification, signed by the original parties and intervenor-plaintiff Conservation Law Foundation, revises Portsmouth's schedule for constructing secondary wastewater treatment facilities that had been set forth in a 2013 Consent Decree Modification. The Consent Decree Second Modification also establishes enhanced reporting obligations and mitigation requirements designed to counter the harm to the Piscataqua River and Great Bay estuary caused by delayed implementation of secondary treatment.
The publication of this revised notice extends the period for public comment on the Consent Decree Second Modification. All comments must be submitted no later than thirty (30) days after the publication date of this revised notice. 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 Second Modification may be examined and downloaded at this Justice Department Web site:
Please enclose a check or money order for $4.00 (25 cents per page reproduction cost) payable to the United States Treasury.
Bureau of Alcohol, Tobacco, Firearms and Explosives, Department of Justice.
60-Day notice.
The Department of Justice (DOJ), Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), will submit the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995.
Comments are encouraged and will be accepted for 60 days until June 28, 2016.
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 Shawn Stevens, ATF Industry Liaison, Chief, Federal Explosives Licensing Center, 244 Needy Road, Martinsburg, WV 25405, at telephone: 877-283-3352.
Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:
• Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
• Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;
• Evaluate whether and if so how the quality, utility, and clarity of the information to be collected can be enhanced; and
• Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
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Federal Bureau of Investigation, Department of Justice.
30-Day notice.
The Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Division (CJIS) will be submitting the following Information Collection Request to the Office of Management and Budget (OMB) for review and clearance in accordance with the established review procedures of the Paperwork Reduction Act of 1995. This proposed information collection was previously published in the
Comments are encouraged and will be accepted for an additional 30 days until May 31, 2016.
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 Mr. Samuel Berhanu, Unit Chief, Federal Bureau of Investigation, CJIS Division, Module E-3, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306; facsimile (304) 625-3566. Written comments and/or suggestions can also be directed to the Office of Management and Budget, Office of Information and Regulatory Affairs, Attention Department of Justice Desk Officer, Washington, DC 20503 or sent to
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:
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On April 22, 2016, the Department of Justice lodged a proposed Consent Decree in the United States District
This case concerns three oil spills, one in 2013 and two in 2015, at locations in the Atchafalaya River Basin, from oil production facilities owned and operated by ORB Exploration, LLC (ORB), as well as ORB's failure to comply with a Coast Guard order issued during the cleanup of one of the spills or with certain Spill Prevention, Control, and Countermeasure (SPCC) regulations promulgated by the Environmental Protection Agency under the CWA. The largest spill occurred in 2013 at ORB's facilities located at Frog Lake in Iberville Parish, near Baton Rouge, Louisiana, when a corroded transfer pipeline ruptured and spilled a large amount of crude oil, estimated at more than 1,000 barrels, into a flooded wetland area. The second spill occurred in September of 2015, also at ORB's Frog Lake facilities. The third spill occurred in October of 2015 at an ORB facility at Crocodile Bayou in St. Martin Parish, Louisiana. The SPCC violations were discovered during a May 2015 inspection of ORB's oil storage barge at Frog Lake.
In the Complaint, the United States alleges violations of Sections 301(a), 311(b)(7)(A) or (D), 311(b)(7)(B)(ii) and 311(b)(7)(C) of the CWA, 33 U.S.C. 1311(a), 1321(b)(7)(A) or (D), 1321(b)(7)(B)(ii), and 1321(b)(7)(C). In addition, the Louisiana Department of Environmental Quality (LDEQ) alleges violations of La. R. S. 30:2076(A)(1) and (3), and Louisiana Administrative Code sections 33:IX.501.A, 33:IX.1701.B, 33:I.3915.A.3, and 33:I.3925.A, for the discharges of oil and ORB's failures to file a timely report or provide updated notice to the state hotline for reporting spills. The Complaint seeks the assessment of civil penalties, State response costs, and injunctive relief for the alleged violations. The proposed Consent Decree resolves the civil penalty, State response cost, and injunctive relief claims of the United States and LDEQ for the causes of action alleged in the Complaint by requiring ORB to perform corrective measures focused on spill detection and prevention and pay federal civil penalties of $615,000 and State civil penalties and response costs of $100,000.
The publication of this notice opens a period for public comment on the proposed 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 proposed Consent Decree may be examined and downloaded at this Justice Department Web site:
Please enclose a check or money order for $7.50 (25 cents per page reproduction cost) payable to the United States Treasury.
Office of Juvenile Justice and Delinquency Prevention, Office of Justice Programs.
30-Day notice.
The Department of Justice (DOJ), Office of Justice Programs, Office of Juvenile Justice and Delinquency Prevention, 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 an additional 30 days until May 31, 2016.
If you have comments especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Brecht Donoghue, (202) 305-1270, Office of Juvenile Justice and Delinquency Prevention, Office of Justice Programs, U.S. Department of Justice, 810 Seventh Street NW., Washington, DC 20531. Written comments and/or suggestions can also be directed to the Office of Management and Budget, Office of Information and Regulatory Affairs, Attention Department of Justice Desk Officer, Washington, DC 20503 or sent to
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:
Overview of this information collection:
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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., Suite 3E.405B, Washington, DC 20530.
National Institute of Justice, Office of Justice, Programs, Department of Justice.
Notice and request for comments.
The National Institute of Justice (NIJ) seeks feedback from the public on the draft test procedures developed for the Gun Safety Technology Challenge, published here:
Comments must be received by 5 p.m. Eastern Time on June 13, 2016.
NIJ was tasked with supporting the President's Plan to Reduce Gun Violence, specifically:
“The President is directing the Attorney General to work with technology experts to review existing and emerging gun safety technologies, and to issue a report on the availability and use of those technologies. In addition, the Administration will issue a challenge to the private sector to develop innovative and cost-effective gun safety technology and provide prizes for those technologies that are proven to be reliable and effective.”
In support of this Executive action, NIJ has conducted a technology assessment and market survey of existing and emerging gun safety technologies that would be of interest to the law enforcement and criminal justice communities and others with an interest in gun safety and advanced firearm technology. These firearms or firearms accessories can be understood to use integrated components that exclusively permit an authorized user or set of users to operate or fire the gun and automatically deactivate it under a set of specific circumstances, reducing the chances of accidental or purposeful use by an unauthorized user. The integrated gun safety technology may include different authentication technologies, such as radio frequency identification and fingerprint sensors.
A report published in June 2013 by NIJ entitled
NIJ now seeks an objective demonstration of the reliability of firearms available today with advanced gun safety technology integrated into the firearm. The reliability of firearms with integrated advanced safety technologies has been cited as a concern regarding the potential performance and user acceptance of products that may incorporate such technologies, as discussed in the 2013 NIJ report. It is anticipated that the results of the Challenge will provide a basis to improve the general understanding of whether the addition of a smart gun technology does or does not significantly reduce the reliability of the firearm system compared to existing firearms. It is believed that this is the first effort to apply a methodology to provide a rigorous and scientific assessment of the technical performance characteristics of these types of firearms.
With this Challenge, manufacturers and developers of (1) firearms that incorporate advanced safety technologies or (2) firearms accessories utilizing advanced safety technologies that are intended to modify firearms were able to submit their products for testing and evaluation. The Challenge is designed to proceed in an escalated manner in three stages, including an informational and safety review, light duty single product testing, and more heavy duty expanded product testing. To assess the reliability of smart gun technology, the U.S. Army Aberdeen Test Center (ATC) plans to perform firearm testing and evaluation. The Challenge was published on October 7, 2015, and closed to submissions on January 5, 2016.
NIJ hopes to better understand the effect of smart gun technology on the reliability of the firearm versus the same or similar firearms without the added safety technology. This Challenge seeks “apples to apples” comparisons to the greatest extent possible. Testing and evaluation is designed to prioritize the collection and use of data that can substantiate conclusions about the relative performance of firearms, so that firearms with and without advanced gun safety technology that are similar with respect to type, form factor, caliber, and other physical characteristics are tested and evaluated using a common methodology and equivalent ammunition. Testing and evaluation is not designed to provide comparison of test results against absolute performance requirements or safety criteria, but rather to provide a meaningful comparison of test results of one firearm against another similar firearm, or a firearm with and without a relevant safety accessory.
Mine Safety and Health Administration, Labor.
Request for public comments.
The Department of Labor, as part of its continuing effort to reduce paperwork and respondent burden, conducts a pre-clearance consultation program to provide the general public and Federal agencies with an opportunity to comment on proposed collections of information in accordance with the Paperwork Reduction Act of 1995, 44 U.S.C. 3506(c)(2)(A). This program helps to assure that requested data can be provided in the desired format, reporting burden (time and financial resources) is minimized, collection instruments are clearly understood, and the impact of collection requirements on respondents can be properly assessed. Currently, the Mine Safety and Health Administration (MSHA) is soliciting comments on the information collection for High-Voltage Continuous Mining Machines Standards for Underground Coal Mines.
All comments must be received on or before June 28, 2016.
Comments concerning the information collection requirements of this notice may be sent by any of the methods listed below.
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Sheila McConnell, Director, Office of Standards, Regulations, and Variances, MSHA, at
This information collection maintains the safe use of high-voltage continuous mining machines in underground coal mines by requiring records of testing, examination and maintenance on machines to reduce fire, electrical shock, ignition and operation hazards.
MSHA is soliciting comments concerning the proposed information collection related to High-Voltage Continuous Mining Machines Standards for Underground Coal Mines. MSHA is particularly interested in comments that:
• Evaluate whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information has practical utility;
• Evaluate the accuracy of MSHA's estimate of the burden of the collection of information, including the validity of the methodology and assumptions used;
• Suggest methods to enhance the quality, utility, and clarity of the information to be collected; and
• Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology,
The information collection request will be available on
The public may also examine publicly available documents at USDOL-Mine Safety and Health Administration, 201 12th South, Suite 4E401, Arlington, VA 22202-5452. Sign in at the receptionist's desk on the 4th floor via the East elevator.
Questions about the information collection requirements may be directed to the person listed in the
This request for collection of information contains provisions for High-Voltage Continuous Mining Machines Standards for Underground Coal Mines. MSHA has updated the data with respect to the number of respondents, responses, burden hours, and burden costs supporting this information collection request.
Comments submitted in response to this notice will be summarized and included in the request for Office of Management and Budget approval of the information collection request; they will also become a matter of public record.
Copyright Royalty Board, Library of Congress.
Notice requesting comments.
The Copyright Royalty Judges solicit comments on a motion of Phase I claimants for partial distribution of 2014 satellite royalty funds.
Comments are due on or before May 31, 2016.
Interested claimants must submit comments to only one of the following addresses. Unless responding by email or online, claimants must submit an original, five paper copies, and an electronic version on a CD.
Kim Whittle, Attorney Advisor, by telephone at (202) 707-7658 or email at
Each year satellite systems must submit royalty payments to the Register of Copyrights as required by the statutory license set forth in section 119 of the Copyright Act for the retransmission to satellite subscribers of over-the-air television broadcast signals.
Allocation of the royalties collected occurs in one of two ways. In the first instance, the Judges may authorize distribution in accordance with a negotiated settlement among all claiming parties. 17 U.S.C. 119(b)(5)(A), 801(b)(3)(A). If all claimants do not reach an agreement with respect to the royalties, the Judges must conduct a proceeding to determine the distribution of any royalties that remain in controversy. 17 U.S.C. 119(b)(5)(B), 801(b)(3)(B). Alternatively, the Judges may, on motion of claimants and on notice to all interested parties, authorize a partial distribution of royalties, reserving on deposit sufficient funds to resolve identified disputes. 17 U.S.C. 119(b)(5)(C), 801(b)(3)(C).
On March 11, 2016, representatives of the Phase I claimant categories (the “Phase I Claimants”)
The Motion of the Phase I Claimants for Partial Distribution is posted on the Copyright Royalty Board Web site at
National Science Foundation.
Notice of public availability of FY 2015 service contract inventories and associated documents.
In accordance with Section 743 of Division C of the Consolidated Appropriations Act of 2010 (Pub. L. 111-117), the National Science Foundation is publishing this notice to advise the public of the availability of (1) the FY 2015 Service Contract Inventory Detail, (2) the FY 2015 Service Contract Inventory Summary, (3) the FY 2014 Service Contract Inventory Analysis Report, (4) the FY 2015 Service Contract Inventory Supplement Report and, (5) the FY 2015 Plan for Analyzing the Service Contract Inventory. This inventory provides information on service contract actions over $25,000 that were made in FY 2015. The information is organized by function to show how contracted resources are distributed throughout the agency. The inventory has been developed in accordance with guidance issued on November 5, 2010, and December 19, 2011, by the Office of Management and Budget's Office of Federal Procurement Policy (OFPP). OFPP's guidance is available at
Questions regarding the service contract inventory should be directed to Richard Pihl in the BFA/DACS at 703-292-7395 or
National Science Foundation.
Notice of permit applications received under the Antarctic Conservation Act of 1978, Public Law 95-541.
The National Science Foundation (NSF) is required to publish a notice of permit applications received to conduct activities regulated under the Antarctic Conservation Act of 1978. NSF has published regulations under the Antarctic Conservation Act at Title 45 Part 670 of the Code of Federal Regulations. This is the required notice of permit applications received.
Interested parties are invited to submit written data, comments, or views with respect to this permit application by May 31, 2016. This application may be inspected by
Comments should be addressed to Permit Office, Room 755, Division of Polar Programs, National Science Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230.
Nature McGinn, ACA Permit Officer, at the above address or
The National Science Foundation, as directed by the Antarctic Conservation Act of 1978 (Pub. L. 95-541), as amended by the Antarctic Science, Tourism and Conservation Act of 1996, has developed regulations for the establishment of a permit system for various activities in Antarctica and designation of certain animals and certain geographic areas a requiring special protection. The regulations establish such a permit system to designate Antarctic Specially Protected Areas.
Introduce non-indigenous species into Antarctica. Gene cloning kits that contain the bacterium
Palmer Station, Anvers Island and McMurdo Station, Ross Island, Antarctica.
June 24, 2016-March 1, 2018.
The National Science Board, pursuant to NSF regulations (45 CFR part 614), the National Science Foundation Act, as amended, (42 U.S.C. 1862n-5), and the Government in the Sunshine Act (5 U.S.C. 552b), hereby gives notice of the scheduling of meetings for the transaction of National Science Board business as follows:
May 5, 2016 from 8:00 a.m. to 4:30 p.m., and May 6, 2016 from 8:00 a.m. to 2:30 p.m. EDT.
These meetings will be held at the National Science Foundation, 4201 Wilson Blvd., Room 1235, Arlington, VA 22230. All visitors must contact the Board Office (call 703-292-7000 or send an email to
Public meetings and public portions of meetings will be webcast. To view the meetings, go to
Please refer to the National Science Board Web site for additional information. Meeting information and schedule updates (time, place, subject matter, and status of meeting) may be found at
Ron Campbell,
Nadine Lymn,
Portions open; portions closed.
2:30 p.m.
Nuclear Regulatory Commission.
Final environmental impact statement; issuance.
The U.S. Nuclear Regulatory Commission (NRC) and the U.S. Army Corps of Engineers (USACE), Baltimore District, have completed the final environmental impact statement (EIS), NUREG-2179, “Environmental Impact Statement for the Combined License (COL) for the Bell Bend Nuclear Power Plant.” The USACE and the NRC are cooperating agencies that jointly participated in the preparation the final EIS for use in both agencies' decision-making processes. The site is located in Luzerne County, Pennsylvania.
The final EIS is available April 21, 2016.
Please refer to Docket ID NRC-2008-0603, 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:
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Tomeka Terry, telephone: 301-415-1488, email:
In accordance with Section 51.118 of title 10 of the
As discussed in the final EIS, the NRC staff's recommendation related to the environmental aspects of the proposed action is that the COL should be issued. This recommendation is based on: (1) The environmental report (ER) submitted by Talen Energy; (2) consultation with Federal, State, Tribal, and local agencies; (3) the NRC staff's independent review; (4) the NRC staff's consideration of comments received during the environmental review; and (5) the assessments summarized in the final EIS, including the potential mitigation measures identified in the ER and in the final EIS. In addition, in making its preliminary recommendation, the NRC staff has concluded that there are no environmentally preferable or obviously superior sites in the region of interest.
For the Nuclear Regulatory Commission.
U.S. Office of Personnel Management.
30-Day notice and request for comments.
The Federal Investigative Services (FIS), U.S. Office of Personnel Management (OPM) is notifying the general public and other Federal agencies that OPM is seeking Office of Management and Budget (OMB) approval of a revised information collection, control number 3206-0266, Privacy Act Request for Completed Standard Form SF85/SF85P/SF86, INV 100A. As required by the Paperwork Reduction Act of 1995, (Pub. L. 104-13, 44 U.S.C. chapter 35), as amended by the Clinger-Cohen Act (Pub. L. 104-106), OPM is providing an additional 30 days for public comments. OPM previously solicited comments for this collection, with a 60-day public comment period, at 81 FR 7847 (February 16, 2016).
Comments are encouraged and will be accepted until May 31, 2016. This process is conducted in accordance with 5 CFR 1320.10.
Interested persons are invited to submit written comments on the proposed information collection to the Office of Information and Regulatory Affairs, Office of Management Budget, 725 17th Street NW., Washington, DC 20503, Attention: Desk Officer for the Office of Personnel Management or sent via electronic mail to
A copy of this information collection, with applicable supporting documentation, may be obtained by contacting Federal Investigative Services, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415, Attention: Donna McLeod or by electronic mail at
This notice announces that OPM has submitted to OMB a request for review and clearance of a revised information collection, control number 3206-0266, Privacy Act Request for Completed Standard Form SF85/SF85P/SF86, INV 100A. The public has an additional 30-day opportunity to comment.
The Privacy Act Request for Completed Standard Form SF 85/SF 85P/SF86, INV 100A, is an information collection completed by individuals seeking access to their most recently completed SF85, SF 85P, or SF 86 that was used to initiate a background investigation performed by the Office of Personnel Management (OPM), Federal Investigative Services (FIS). OPM FIS's Freedom of Information and Privacy Act (FOI/PA) office utilizes the optional form INV 100A to standardize the collection of data elements specific to Privacy Act record requests for previously completed standard forms only. Current Privacy Act record requests are submitted to FIS-FOI/PA in a format chosen by the requester. Often the requests are missing data elements which require contact with the requester, thereby adding processing time. Standardization of the data
OPM proposes no changes to the form. No comments were received.
U.S. Office of Personnel Management.
30-Day notice and request for comments.
The Federal Investigative Services (FIS), U.S. Office of Personnel Management (OPM) is notifying the general public and other Federal agencies that OPM is seeking Office of Management and Budget (OMB) approval of a renewal information collection, control number 3206-0259, Freedom of Information/Privacy Act Record Request Form, INV 100. As required by the Paperwork Reduction Act of 1995, (Pub. L. 104-13, 44 U.S.C. chapter 35), as amended by the Clinger-Cohen Act (Pub. L. 104-106), OPM is providing an additional 30 days for public comments. OPM previously solicited comments for this collection, with a 60-day public comment period, at 81 FR 2923 (January 19, 2016).
Comments are encouraged and will be accepted until May 31, 2016. This process is conducted in accordance with 5 CFR 1320.10.
Interested persons are invited to submit written comments on the proposed information collection to the Office of Information and Regulatory Affairs, Office of Management Budget, 725 17th Street NW., Washington, DC 20503, Attention: Desk Officer for the Office of Personnel Management or sent via electronic mail to
A copy of this information collection, with applicable supporting documentation, may be obtained by contacting Federal Investigative Services, U.S. Office of Personnel Management, 1900 E Street NW., Washington, DC 20415, Attention: Donna McLeod or by electronic mail at
This notice announces that OPM has submitted to OMB a request for review and clearance of a revised information collection, control number 3206-0259, Freedom of Information/Privacy Act Record Request Form, INV 100. The public has an additional 30-day opportunity to comment.
The Freedom of Information/Privacy Act Record Request Form, INV 100, is an information collection completed by individuals submitting Freedom of Information (FOIA), Privacy Act, and Amendment record requests to OPM's Federal Investigative Services (FIS), Freedom of Information and Privacy Act (FOI/PA) office. OPM's FIS-FOI/PA office utilizes the optional form INV 100 to standardize collection of data elements specific to the types of record requests. Current record requests can be submitted to FIS-FOI/PA in a format chosen by the requester. Often, requests are missing data elements which require contact with the requester, thereby adding time to the process. Standardization of the process will increase the volume of perfected requests received and strike an appropriate balance between the burden to the public in submitting a request and FIS-FOI/PA being able to fulfill FOIA, Privacy Act, and Amendment requests in an efficient manner.
The 60-day
To determine an occupational disability, the RRB must obtain the employee's work history and establish if the employee is precluded from performing his or her regular railroad occupation. This is accomplished by comparing the restrictions caused by the impairment(s) against the employee's ability to perform his or her job duties.
To collect the information needed to determine the effect of a disability on an
Extensive changes are proposed to the current information collection process in support of the RRB's Disability Program Improvement Project to enhance/improve disability case processing and overall program integrity as recommended by the RRB's Office of Inspector General and the Government Accountability Office.
The RRB proposes to obsolete current Forms G-251a and G-251b, which request a narrative response and replace them with the implementation of a new version of Form G-251a, which will utilize a combined narrative/structured question and answer format.
Proposed Form G-251a will request railroad employers to provide information regarding whether the employee has been medically disqualified from their railroad occupation; a summary of the employee's duties; the machinery, tools and equipment used by the employee; the environmental conditions under which the employee performs their duties; all sensory requirements (vision, hearing, speech) needed to perform the employee's duties; the physical actions and amount of time (frequency) allotted for those actions that may be required by the employee to perform their duties during a typical work day; any permanent working accommodations an employer may have made due to the employee's disability; as well as any other relevant information they may choose to include. Completion is voluntary.
On October 9, 2015, New York Stock Exchange LLC (“Exchange” or “NYSE”) filed with the Securities and Exchange Commission (“Commission” or “SEC”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)
On August 25, 2014, NYSE Group, Inc., on behalf of BATS Exchange, Inc., BATS Y-Exchange, Inc., CHX, EDGA Exchange, Inc., EDGX Exchange, Inc., FINRA, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. (collectively “Participants”
The Tick Size Pilot is designed to allow the Commission, market participants, and the public to study and assess the impact of increment conventions on the liquidity and trading of the common stocks of certain small-capitalization companies. Each Participant is required to comply, and to enforce compliance by its members, as applicable, with the provisions of the Plan.
NYSE proposes to adopt NYSE Rule 67(a), (c), (d), and (e)
Proposed NYSE Rule 67(a)(2) provides that the Exchange is a Participant in the Plan and is subject to the applicable requirements of the Plan. Proposed NYSE Rule 67(a)(3) provides that member organizations shall
Proposed NYSE Rule 67(a)(5) defines the procedure for dealing with Pilot Securities that drop below $1.00 during the Pilot Period.
Proposed NYSE Rule 67(c) describes the quoting and trading requirements of Pilot Securities in Test Group One. Specifically, NYSE proposes that no member may display, rank, or accept from any person any displayable or non-displayable bids or offers, orders, or indications of interest in increments other than $0.05 for Pilot Securities in Test Group One.
Proposed NYSE Rule 67(d) describes the quoting and trading requirements of Pilot Securities in Test Group Two. Specifically, NYSE proposes that no member may display, rank, or accept from any person any displayable or non-displayable bids or offers, orders, or indications of interest in increments other than $0.05 for Pilot Securities in Test Group Two.
Proposed NYSE Rule 67(d)(3) provides that Test Group Two Pilot Securities may trade in increments less than $0.05 in the following circumstances: (A) Trading may occur at the midpoint between the NBBO or the PBBO; (B) Retail Investor Orders may be provided price improvement of at least $0.005 better than the PBBO; and (C) Negotiated Trades may trade in less than $0.05 increments.
In Partial Amendment No. 1, NYSE proposes an additional exception from the $0.05 trading increment requirement for Test Group Two Pilot Securities. Specifically, NYSE proposes to permit members to execute customer orders to comply with NYSE Rule 5320 following the execution of a proprietary trade by the member at an increment other than $0.05 that was permissible pursuant to an exception under the Plan.
Proposed NYSE Rule 67(e) describes the quoting and trading requirements of Pilot Securities in Test Group Three. NYSE proposes that no member organization may display, rank, or accept from any person any displayable or non-displayable bids or offers, orders, or indications of interest in increments other than $0.05, for Pilot Securities in Test Group Three.
Proposed NYSE Rule 67(e)(4) states the Test Group Three Pilot Securities will be subject to a Trade-at Prohibition. Proposed NYSE Rule 67(e)(4)(A) defines “Trade-At Prohibition” as the prohibition against executions by a Trading Center of a sell order for a Pilot Security at the price of a Protected Bid or the execution of a buy order at the price of a Protected Offer during regular trading hours. Proposed NYSE Rule 67(e)(4)(B) states that absent an enumerated exception, no member organization may execute a sell order for a Pilot Security in Test Group Three at the price of a Protected Bid or a buy order at the price of a Protected Offer.
Proposed NYSE Rule 67(e)(4)(C) sets forth the exceptions to the Trade-at Prohibition for member organizations as follows:
(i) The order is executed as agent or riskless principal by an independent trading unit, as defined in Rule 200(f) of Regulation SHO, of the Trading Center within a member organization that has a displayed quotation as agent or riskless principal, via either a processor or a SRO Quotation Feed, at a price equal to the traded-at Protected Quotation, that was displayed before the order was received, but only up to the full displayed size of that independent trading unit's previously displayed quote;
(ii) the order is executed by an independent trading unit, as defined in Rule 200(f) of Regulation SHO, of the Trading Center within a member organization that has displayed a quotation for the account of that Trading Center on a principal basis, excluding riskless principal, via either a processor or an SRO Quotation Feed, at a price equal to the traded-at Protected Quotation, that was displayed before the order was received, but only up to the full displayed size of that independent trading unit 's previously displayed quote;
(iii) the order that is of Block Size
(v) the order is executed when the Trading Center displaying the Protected Quotation that was traded-at was experiencing a failure, material delay, or malfunction of its systems or equipment;
(vi) the order is executed as part of a transaction that was not a “regular way” contract;
(vii) the order is executed as part of a single-priced opening, reopening, or closing transaction on the Exchange;
(viii) the order is executed when a Protected Bid is priced higher than a Protected Offer in the Pilot Security;
(ix) the order is identified as a Trade-at ISO;
(x) the order is executed by a Trading Center that simultaneously routed Trade-at ISOs to execute against the full displayed size of the Protected Quotation that was traded-at;
(xi) the order is executed as part of a Negotiated Trade;
(xii) the order is executed when the Trading Center displaying the Protected Quotation that was traded-at had displayed, within one second prior to execution of the transaction that constituted the Trade-at, a Best Protected Bid or Best Protected Offer, as applicable, for the Pilot Security with a price that was inferior to the price of the Trade-at transaction;
(xiii) the order is executed by a Trading Center which, at the time of order receipt, had guaranteed an execution at no worse than a specified price (a “stopped order”) where: (A) The stopped order was for the account of a customer; (B) the customer agreed to the specified price on an order-by-order basis; and (C) the price of the Trade-at transaction was, for a stopped buy order, equal to or less than the National Best Bid in the Pilot Security at the time of execution or, for a stopped sell order, equal to or greater than the National Best Offer in the Pilot Security at the time of execution, as long as such order is priced at an acceptable increment;
(xiv) the order is for a fractional share order of a Pilot Security, provided that such fractional share order was not the result of breaking an order
(xv) the order is to correct a bona fide error, which is recorded by the Trading Center in its error account. NYSE proposes to define a bond fide error as: (A) The inaccurate conveyance or execution of any term of an order including, but not limited to, price, number of shares or other unit of trading; identification of the security; identification of the account for which securities are purchased or sold; lost or otherwise misplaced order tickets; short sales that were instead sold long or vice versa; or the execution of an order on the wrong side of a market; (B) the unauthorized or unintended purchase, sale, or allocation of securities, or the failure to follow specific client instructions; (C) the incorrect entry of data into relevant systems, including reliance on incorrect cash positions, withdrawals, or securities positions reflected in an account; or (D) a delay, outage, or failure of a communication system used to transmit market data prices or to facilitate the delivery or execution of an order.
As noted above, the Commission received three comment letters from two commenters concerning the proposed rule change
Both commenters discussed aspects of the Trade-at Prohibition. Specifically, the two commenters opposed the Original NYSE Proposal because it restricted the display exception to the Trade-at Prohibition to member organizations displaying Protected Quotations on a principal basis.
In the Response letter, the Exchange described a scenario that it believed could occur under the FINRA and BATS Proposals. Specifically, the Exchange believed that the FINRA and BATS Proposals would allow an alternative trading system (“ATS”) to execute matched trades of any of its participants at the price of a traded-at Protected Quotation if the ATS was displaying, on an agency basis, a quotation of another participant at the Protected Quotation. The Exchange believed that this scenario created a situation where ATS participants could trade at the price of a Protected Quotation without requiring them to display at that price, thus permitting them to “free-ride” on a displayed Protected Quotation of other ATS participants.
The Exchange responded in Partial Amendment No. 1 by amending its display exception to the Trade-at Prohibition to allow a Trading Center within a member organization to execute an order at the Protected Quotation as agent or riskless principal if the Trading Center within the member organization has displayed a quotation at the Protected Quotation Price in an agency or riskless principal capacity, which conforms with the FINRA and BATS Proposals.
Commenters also discussed the Retail Investor Order exceptions, Block Size Order exception to the Trade-at Prohibition as well as adding certain exceptions to more closely align the Trade-at Prohibition with Rule 611 of Regulation NMS. The commenters requested that the NYSE's proposed Retail Investor Order definition be amended to clarify that the Retail Investor Order exceptions in the Plan applied to both exchange trading and over-the-counter (“OTC”) trading.
One commenter stated the proposed Block Size exception to the Trade-at Prohibition should be amended because it would prevent the facilitation of block crosses that include small orders.
One commenter suggested that the proposed exceptions to the Trade-at Prohibition should more closely align with the exemptions granted to Rule 611 of Regulation NMS.
The two commenters noted the necessity for the Tick Size Pilot rules to be consistent across the Participants.
After carefully considering the proposed rule change, as amended, the comments submitted, and NYSE's response to the comments, the Commission finds that the proposal is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.
The Commission stated in the Approval Order that the Tick Size Pilot should provide a data-driven approach to evaluate whether certain changes to the market structure for Pilot Securities would be consistent with the Commission's mission to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation.
NYSE, as a Plan Participant, has an obligation to comply, and enforce compliance by its members, with the terms of the Plan. Rule 608(c) of Regulation NMS provides that “[e]ach self-regulatory organization shall comply with the terms of any effective national market system plan of which it is a sponsor or participant. Each self-regulatory organization also shall, absent reasonable justification or excuse, enforce compliance with any such plan by its members and persons associated with its members.”
Proposed NYSE Rule 67 (a)(1) sets forth certain definitions to ensure consistency and compliance with the Plan. In Partial Amendment No. 1, the Exchange amended its proposed definition for Retail Investor Orders.
In Partial Amendment No. 1, the Exchange added a definition for Trade-at ISO
In Partial Amendment No. 2, NYSE proposes to remove its proposed definition of Trading Center and instead rely on the definition of Trading Center set forth in the Plan. In the Original NYSE Proposal, NYSE proposed to define Trading Center with a reference to independent trading units, as defined in Rule 200(f) of Regulation SHO. In Partial Amendment No. 2, NYSE noted that this proposed definition could be interpreted in a manner that would be inconsistent with the intentions of the Exchange and the Plan. As discussed below, the concept of an independent trading unit would only apply to the display exception to the Trade-at Prohibition. Accordingly, the Commission finds that the definitions set forth in NYSE Rule 67(a) are consistent with the Act because they implement and clarify provisions of the Plan.
Proposed NYSE Rule 67(a)(2) provides that NYSE, as a Plan Participant, is subject to the applicable requirements of the Plan. Proposed NYSE Rule 67(a)(3) provides that member organizations must establish, maintain, and enforce written policies and procedures that are reasonably designed to meet the applicable quoting and trading requirements of the Plan. Proposed NYSE Rule 67(a)(4) provides that the Exchange systems will not display, quote, or trade in violation of the applicable quoting and trading requirements for a Pilot Security specified in the Plan and its rule, unless such quotation or transaction is specifically exempted under the Plan. As noted above, Sections II.B and IV of the Plan provide that each Participant must establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the quoting and trading requirements of the Plan and adopt rules requiring compliance by its members with the terms of the Plan. Accordingly, proposed NYSE Rules 67(a)(2), (3) and (4) are consistent with the Act as they clarify and implement these Plan provisions.
Proposed NYSE Rule 67(a)(5) provides a mechanism to address instances where the price of a Pilot Security assigned to a Test Group falls below $1.00. Specifically, if the price of a Pilot Security assigned to a Test Group falls below $1.00 during a trading day, the Pilot Security would remain in its assigned Test Group. If, however, a Pilot Security has a Closing Price below $1.00 during any trading day that Pilot Security would be moved out of its respective Test Group and into the Control Group. Proposed NYSE Rule 67(a)(5) also sets forth that notwithstanding the foregoing, Pilot Securities would continue to be subject to the data collection requirements set forth in NYSE Rule 67(b). The Commission notes that the selection criteria for Pilot Securities were developed to minimize the likelihood of the inclusion of securities that trade with a share price of $1.00 or less. However, the Commission understands that there could be instances over the course of the Pilot Period where a Pilot Security's price falls below $1.00. According to the Participants, a $0.05 quoting and/or trading increment could be harmful to trading for such low priced Pilot Securities. Therefore, the Commission believes that this provision is consistent with the Act because it should help to ensure that the universe of Pilot Securities remains constant over the Pilot Period while also addressing trading concerns for Pilot Securities that experience a fall in price.
Proposed NYSE Rule 67(c) provides that no member may display, rank, or accept from any person any displayable or non-displayable bids or offers, orders, or indications of interest in any Pilot Security in Test Group One in increments other than $0.05. Proposed NYSE Rule 67(c) also provides that orders priced to execute at the midpoint of the NBBO or best PBBO and orders entered in the Exchange's Retail Liquidity Program as Retail Price Improvement Orders may be ranked and accepted in increments of less than $0.05. Finally, proposed NYSE Rule 67(c) provides that Pilot Securities in Test Group One may continue to trade at any price increment that is currently permitted by NYSE Rule 62.10. The Commission finds that proposed NYSE Rule 67(c) is consistent with the Act because it implements provisions of the Plan.
Proposed NYSE Rule 67(d)(1) provides that no member may display, rank, or accept from any person any displayable or non-displayable bids or offers, orders, or indications of interest in any Pilot Security in Test Group Two in increments other than $0.05. However, proposed NYSE Rule 67(d)(1) provides that orders priced to trade at the midpoint of the NBBO or PBBO or orders entered in the Exchange's Retail Liquidity Program as Retail Price Improvement Orders may be ranked and accepted in increments of less than $0.05. Proposed NYSE Rule 67(d)(2) provides that members may not execute trading in increments other than $0.05 including Brokered Cross Trades, unless there is an applicable exception provided in proposed NYSE Rule 67(d)(3). Proposed Rule 67(d)(3) provides that Pilot Securities in Test Group Two may trade in increments less than $0.05 in the following circumstances: (A) Trading may occur at the midpoint between the NBBO or the PBBO; (B) Retail Investor Orders may be provided with price improvement of at least $0.005 better than the PBBO; (C) Negotiated Trades may trade in increments less than $0.05; and (D) customer orders to comply with NYSE Rule 5320 following the execution of a proprietary trade at an increment other than $0.05 that is permissible pursuant to a Plan exception.
In Partial Amendment No. 1, NYSE proposes to add a trading increment exception in NYSE Rule 67(d)(3)(D), which would allow the execution of a customer order following a proprietary trade by a NYSE member at an increment other than $0.05 in the same security, on the same side and at the same price as (or within the prescribed amount of) a customer order owed a fill pursuant to NYSE Rule 5320, where the triggering proprietary trade at an increment other than $0.05 was permissible pursuant to an exception under the Plan. The Exchange believes that this exception should facilitate the ability of its members to continue to protect customer orders while retaining the flexibility to engage in proprietary trades that comply with an exception to the Plan.
Proposed NYSE Rule 67(e)(1) provides that no member may display, rank, or accept from any person any displayable or non-displayable bids or offers, orders, or indications of interest in any Pilot Security in Test Group Three in increments other than $0.05. However, proposed NYSE Rule 67(e)(1) provides that orders may be ranked and accepted in increments of less than $0.05 for Test Group Three Pilot Securities if such order is priced to trade at the midpoint of the NBBO or PBBO or is entered in the Exchange's Retail Liquidity Program as Retail Price Improvement Orders. Proposed NYSE Rule 67(e)(2) provides that the $0.05 trading increment applies to all trades for Test Group Three Pilot Securities, including Brokered Cross Trades, unless there is an applicable exception to the $0.05 trading increment requirement. Proposed Rule 67(e)(3) provides that Pilot Securities in Test Group Three may trade in increments less than $0.05 in the following circumstances: (A) Trading may occur at the midpoint between the NBBO or the PBBO; (B) Retail Investor Orders may be provided price improvement of at least $0.005 better than the PBBO; (C) Negotiated Trades may trade in an increment less than $0.05; and (D) customer orders executed to comply with NYSE Rule 5320 following the execution of a proprietary trade at an increment other than $0.05 that is permissible pursuant to a Plan exception.
Proposed NYSE Rule 67(e)(4) describes the Trade-at Prohibition for Test Group Three Pilot Securities and applicable exceptions. Specifically, proposed NYSE Rule 67(e)(4)(A) defines the Trade-at Prohibition as the prohibition against executions by a Trading Center of a sell order for a Pilot Security at the price of a Protected Bid or the execution of a buy order for a Pilot Security at the price of a Protected Offer during regular trading hours. Proposed NYSE Rule 67(e)(4)(B) sets forth that, absent any of the exceptions listed in subparagraph (C), no member organization may execute a sell order for a Pilot Security in Test Group Three at the price of a Protected Bid or execute a buy order for a Pilot Security in Test Group Three at the price of a Protected Offer. The Commission finds these provisions consistent with the Act because they implement provisions set forth in the Plan.
Proposed NYSE Rule 67(e)(4)(C) lists the exceptions to the Trade-at Prohibition. The proposed exceptions set forth in NYSE Rules 67(e)(4)(C)(iv), (v), (vi), (vii), (viii), (x), (xi), (xii), (xiv) mirror the exceptions set forth in the Plan.
In Partial Amendment No. 1, NYSE amended its display exception to the Trade-At Prohibition. Specifically, NYSE proposed to add new language in proposed NYSE Rule 67(e)(4)(C)(i) to permit the execution of an order as agent or riskless principal by a Trading Center within a member organization that has displayed a quotation as agent or riskless principal, via either a processor or an SRO Quotation Feed, at a price equal to the traded-at Protected Quotation, that was displayed before the order was received but only up to the full displayed size of the Trading Center's previously displayed quote.
In Partial Amendment No. 1, the Exchange also renumbers the originally proposed subsection (i) as subsection (ii) to proposed NYSE Rule 67(e)(4)(C). Consistent with the discussion above, the provision was also amended to exclude displayed quotations on a riskless principal basis from the types of quotations that a Trading Center may rely on as an exception to the Trade-at Prohibition under NYSE Rule 67(e)(4)(C)(ii). Proposed NYSE Rule 67(e)(4)(ii) now permits the execution of an order by a Trading Center within a member organization that has displayed a quotation for the account of that Trading Center on a principal basis (excluding riskless principal), via either a processor or an SRO Quotation Feed, at a price equal to the traded-at Protected Quotation, that was displayed before the order was received, but only up to the full displayed size of the Trading Center's previously displayed quote. A Trading Center that has displayed a quotation as principal, excluding riskless principal, may execute an order as principal, agent or riskless principal.
In Partial Amendment No. 2, NYSE proposes to specify that a Trading Center that uses independent trading units, as defined under Rule 200(f) of Regulation SHO, must execute orders that rely on the display exception set forth in NYSE Rules 67(e)(4)(C)(i) or (ii) within the same independent trading unit that displayed the relevant quotation.
The Commission finds that proposed NYSE Rule 67(e)(4)(C)(i) and (ii) are consistent with the Act. The Commission believes that the proposed rule clarifies the operation of the display exception for the Trade-at Prohibition in a manner consistent with the goals of the Plan. Under the proposed rule, a Trading Center would only be able to execute an order in the same capacity in which it has displayed
In Partial Amendment No. 1, NYSE proposes to remove an exception related to odd lot orders and odd lot portions of partial round lot orders. The Exchange noted that it agreed with FINRA and BATS in that a separate exception was unnecessary and that while odd lots are not Protected Quotations, a Trading Center displaying an odd lot order via an SRO Quotation Feed would be able to execute the odd lot order based on such display and the price and size requirements of the Trade-at Prohibition. The Commission notes that the Plan does not include a separate exception for odd lots orders. In addition, the Commission notes that it addressed the treatment of odd lots orders in the Approval Order.
Proposed NYSE Rule 67(e)(4)(C)(iii) sets forth an exception to the Trade-at Prohibition for orders of Block Size that differs from the exception to the Trade-at Prohibition set forth in the Plan. NYSE proposes additional provisions with respect to Block Size orders including that such orders at the time of origin may not be: (A) An aggregation of non-block orders; (B) broken into orders smaller than Block Size prior to submitting the order to a Trading Center for execution; or (C) executed on multiple Trading Centers.
As noted above, one commenter stated that the proposed rule would prevent the facilitation of block crosses that include small orders.
The Commission believes that the additional criteria proposed by NYSE for the Block Size exception to the Trade-at Prohibition are consistent with the Act.
As noted above, the Exchange proposes in NYSE Rule 67(a)(1)(D)
Proposed NYSE Rule 67(e)(4)(C)(xiii) sets forth an exception to the Trade-at Prohibition for stopped orders. A stopped order is defined as an order executed by a Trading Center which, at the time of order receipt, the Trading Center had guaranteed an execution at no worse than a specified price where: (A) The stopped order was for the account of a customer; (B) the customer agreed to the specified price on an order-by-order basis; and (C) the price of the Trade-at transaction was, for a stopped buy order, equal to or less than the National Best Bid in the Pilot Security at the time of execution or, for a stopped sell order, equal to or greater than the National Best Offer in the Pilot Security at the time of execution, as long as such order is priced at an acceptable increment.
In Partial Amendment No. 1, NYSE amended the rule text of proposed NYSE Rule 67(e)(4)(C)(xiii) to clarify its operation under the Trade-at Prohibition, which would conform the NYSE rule to the previously approved FINRA and BATS Proposals.
In Partial Amendment No. 1, NYSE proposes an additional exception to the Trade-at Prohibition related to “bona fide errors.”
The Commission finds that the exception to the Trade-at Prohibition for the correction of bona fide errors is consistent with the Act.
The Commission finds that the NYSE proposal to implement the Tick Size Pilot quoting and trading requirements are consistent with the Act. The proposal clarifies and implements the quoting and trading requirements set forth in the Plan.
Interested persons are invited to submit written data, views, and arguments concerning Partial Amendment Nos. 1 and 2, including whether the proposed rule change, as modified by Partial Amendment Nos. 1 and 2, 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.
The Commission finds good cause, pursuant to Section 19(b)(2) of the Act, to approve the proposed rule change, as modified by Partial Amendment Nos. 1 and 2, prior to the 30th day after the date of publication of Partial Amendment Nos. 1 and 2 in the
NYSE believes that the change to allow members to fill a customer order at a non-nickel increment to comply with NYSE Rule 5320 under limited circumstances best facilitates the ability of members to continue to protect customer orders while retaining the flexibility to engage in proprietary trades that comply with an exception to the Plan. NYSE believes the amendment to the display exception to the Trade-at Prohibition would allow a Trading Center to execute an order at the Protected Quotation in the same capacity in which it has displayed a quotation, at a price equal to the Protected Quotation and up its displayed size would be consistent with the previously stated Commission view
In Partial Amendment No. 2, NYSE proposes to (1) delete its proposed definition of Trading Center; (2) add a reference to independent aggregation units to its proposed NYSE Rule 67(e)(4)(C)(i) and (ii); and (3) correct a typographical error in proposed the Trade-at ISO definition located in proposed NYSE 67(a)(1)(D)(ii). NYSE believes that removing the definition of Trading Center and referring to independent trading units in proposed Rule 67(e)(4)(C)(i) and (ii) makes its rule consistent with the FINRA and BATS Proposals and further clarifies the intent of its rule and the Plan. In addition, NYSE believes that the correction of the typographical error is minor and non-substantive.
Based on the foregoing, the Commission believes that the changes in Partial Amendment Nos. 1 and 2 to: (1) Add an exception to NYSE Rule 67(d)(3)(D) and NYSE Rule 67(e)(3)(D) to permit members to fill a customer order in a Pilot Security at a non-nickel increment to comply with NYSE Rule 5320 under limited circumstances, (2) amend the NYSE Rule 67(e)(4)(C)(i) and NYSE Rule 67(e)(4)(C)(ii) relating to the display exception of the Trade-at Prohibition for a Trading Center displaying as agent or riskless principle, (3) remove the explicit odd lot exception to the Trade-at Prohibition that was previously listed as NYSE Rule 67(e)(4)(C)(i) and Supplementary Material .10, (4) add NYSE Rule 67(e)(4)(C)(xv) to create an exception to the Trade-at Prohibition for certain error correction transactions, (5) modify NYSE Rule 67(e)(4)(C)(xiii) to amend the stopped order exception to the Trade-at Prohibition, (6) add the definition of Trade-at ISO as NYSE Rule 67(a)(1)(E) to clarify the use of ISOs in connection with the Trade-at Prohibition, (7) modify the definition of Retail Investor Order contained in NYSE Rule 67(a)(1)(D) to clarify the rule's applicability, (8) delete the NYSE definition of Trading Center, (9) add references to independent trading units in proposed NYSE Rules 67(e)(4)(C)(i) and (ii), and (10) correct non substantive typographical errors are all consistent with the Act. Accordingly, the Commission finds good cause for approving the proposed rule change, as modified by Partial Amendment Nos. 1 and 2, on an accelerated basis, pursuant to Section 19(b)(2) of the Act.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
Securities and Exchange Commission (“Commission”).
Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (“Act”) for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of the Act and rule 22c-1 under the Act, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and (a)(2) of the Act, and under section 12(d)(1)(J) of the Act for an exemption from sections 12(d)(1)(A) and (B) of the Act.
Madison ETF Trust (the “Trust”) and Madison ETF Advisers, LLC (the “Initial Adviser”).
Applicants request an order that permits: (a) Actively-managed series of certain open-end management investment companies to issue shares (“Shares”) redeemable in large aggregations only (“Creation Units”); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Creation Units in-kind in a master-feeder structure.
The application was filed on August 4, 2015 and amended on December 11, 2015 and March 31, 2016.
An order granting the requested relief will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on May 20, 2016, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to rule 0-5 under the Act, hearing requests should state the nature of the writer's interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary.
Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. Applicants: Madison ETF Trust, Madison ETF Advisers, LLC, 1209 Orange Street, Wilmington, Delaware 19801.
Aaron T. Gilbride, Senior Counsel, at (202) 551-6906 or Sara Crovitz, Assistant Chief Counsel, at (202) 551-
The following is a summary of the application. The complete application may be obtained via the Commission's Web site by searching for the file number, or for an applicant using the Company name box, at
1. The Trust will be registered as an open-end management investment company under the Act and is a statutory trust organized under the laws of Delaware. The Trust will offer a number of Funds (as defined below), each with its own distinct investment objective. Applicants expect the initial series of the Trust (the “Initial Fund”) to be the Madison Active Gold Miners ETF. The Initial Fund will seek to achieve its investment objective by investing in securities issued by gold mining companies using a proprietary model that aims to outperform a benchmark index.
2. The Initial Adviser currently is the investment adviser to the Initial Fund. The Initial Fund may be advised by another Adviser in the future. The Initial Adviser or another Adviser (as defined below) will be the investment adviser for Future Funds (as defined below). The Initial Adviser is, and any other Adviser will be, registered as an investment adviser under the Investment Advisers Act of 1940 (“Advisers Act”). The Adviser (as defined below) may in the future retain one or more sub-advisers (each a “Sub-Adviser”) to manage the portfolios of the Funds (as defined below). Any Sub-Adviser will be registered, or not subject to registration, under the Advisers Act. The Trust will enter into a distribution agreement with one or more distributors. Each distributor will be a broker registered under the Securities Exchange Act of 1934 (“Exchange Act”) and will act as distributor and principal underwriter (“Distributor”) of the Funds. Applicants request that the order requested herein apply to all Distributors who comply with the terms and conditions of this application.
3. Applicants request that the order apply to the Initial Fund and any future series of the Trust as well as other open-end management companies that may utilize active management investment strategies (“Future Funds”). Any Future Fund will (a) be advised by the Initial Adviser or an entity controlling, controlled by, or under common control with an Initial Adviser (any Initial Adviser and each such other entity included in the term “Adviser”), and (b) comply with the terms and conditions of the application.
4. Applicants also request that any exemption under section 12(d)(1)(J) of the Act from sections 12(d)(1)(A) and (B) apply to: (i) Any Fund that is currently or subsequently part of the same “group of investment companies” as the Initial Fund within the meaning of section 12(d)(1)(G)(ii) of the Act; (ii) any principal underwriter for the Fund; (iii) any Brokers selling Shares of a Fund to an Investing Fund (as defined below); and (iv) each management investment company or unit investment trust registered under the Act that is not part of the same “group of investment companies” as the Funds within the meaning of section 12(d)(1)(G)(ii) of the Act and that enters into a FOF Participation Agreement (as defined below) with a Fund (such management investment companies, “Investing Management Companies,” such unit investment trusts, “Investing Trusts,” and Investing Management Companies and Investing Trusts together, “Investing Funds”). Investing Funds do not include the Funds.
5. Applicants further request that the order permit a Fund to operate as a Feeder Fund (“Master-Feeder Relief”). Under the order, a Feeder Fund would be permitted to acquire shares of another registered investment company in the same group of investment companies having substantially the same investment objectives as the Feeder Fund (“Master Fund”) beyond the limitations in section 12(d)(1)(A) of the Act,
6. Applicants anticipate that a Creation Unit will consist of at least 10,000 Shares. Applicants anticipate that the trading price of a Share will range from $10 to $100. All orders to purchase Creation Units must be placed with the Distributor by or through a party that has entered into a participant agreement with the Distributor and the transfer agent of the Fund (“Authorized Participant”) with respect to the
7. In order to keep costs low and permit each Fund to be as fully invested as possible, Shares will be purchased and redeemed in Creation Units and generally on an in-kind basis. Except where the purchase or redemption will include cash under the limited circumstances specified below, purchasers will be required to purchase Creation Units by making an in-kind deposit of specified instruments (“Deposit Instruments”), and shareholders redeeming their Shares will receive an in-kind transfer of specified instruments (“Redemption Instruments”).
8. Purchases and redemptions of Creation Units may be made in whole or in part on a cash basis, rather than in kind, solely under the following circumstances: (a) To the extent there is a Cash Amount, as described above; (b) if, on a given Business Day, a Fund announces before the open of trading that all purchases, all redemptions or all purchases and redemptions on that day will be made entirely in cash; (c) if, upon receiving a purchase or redemption order from an Authorized Participant, a Fund determines to require the purchase or redemption, as applicable, to be made entirely in cash; (d) if, on a given Business Day, a Fund requires all Authorized Participants purchasing or redeeming Shares on that day to deposit or receive (as applicable) cash in lieu of some or all of the Deposit Instruments or Redemption Instruments, respectively, solely because: (i) Such instruments are not eligible for transfer through either the NSCC or DTC; or (ii) in the case of Funds holding non-U.S. investment (“Global Funds”), such instruments are not eligible for trading due to local trading restrictions, local restrictions on securities transfers or other similar circumstances; or (e) if a Fund permits an Authorized Participant to deposit or receive (as applicable) cash in lieu of some or all of the Deposit Instruments or Redemption Instruments, respectively, solely because: (i) Such instruments are, in the case of the purchase of a Creation Unit, not available in sufficient quantity; (ii) such instruments are not eligible for trading by an Authorized Participant or the investor on whose behalf the Authorized Participant is acting; or (iii) a holder of Shares of a Global Fund would be subject to unfavorable income tax treatment if the holder receives redemption proceeds in kind.
9. Each Business Day, before the open of trading on a national securities exchange, as defined in section 2(a)(26) of the Act (“Stock Exchange”), on which Shares are listed, each Fund will cause to be published through the NSCC the names and quantities of the instruments comprising the Creation Basket, as well as the estimated Cash Amount (if any), for that day. The published Creation Basket will apply until a new Creation Basket is announced on the following Business Day, and there will be no intra-day changes to the Creation Basket except to correct errors in the published Creation Basket. The Stock Exchange will disseminate every 15 seconds throughout the trading day an amount representing, on a per Share basis, the sum of the current value of the Portfolio Holdings that were publicly disclosed prior to the commencement of trading in Shares on the Stock Exchange.
10. A Fund may recoup the settlement costs charged by NSCC and DTC by imposing a transaction fee on investors purchasing or redeeming Creation Units (the “Transaction Fee”).
11. Shares will be listed and traded at negotiated prices on a Stock Exchange and traded in the secondary market. Applicants expect that Stock Exchange specialists or market makers (“Market Makers”) will be assigned to Shares. The price of Shares trading on the Stock Exchange will be based on a current bid/offer in the secondary market. Transactions involving the purchases and sales of Shares on the Stock Exchange will be subject to customary brokerage fees and charges.
12. Applicants expect that purchasers of Creation Units will include institutional investors and arbitrageurs. Market Makers, acting in their unique role to provide a fair and orderly secondary market for Shares, also may purchase Creation Units for use in their own market making activities.
13. Shares will not be individually redeemable and owners of Shares may acquire those Shares from a Fund, or tender such shares for redemption to the Fund, in Creation Units only. To redeem, an investor must accumulate enough Shares to constitute a Creation Unit. Redemption requests must be placed by or through an Authorized Participant.
14. Neither the Trust nor any Fund will be marketed or otherwise held out as a “mutual fund.” Instead, each Fund will be marketed as an “actively-managed exchange-traded fund.” In any advertising material where features of obtaining, buying or selling Shares traded on the Stock Exchange are described there will be an appropriate statement to the effect that Shares are not individually redeemable.
15. The Funds' Web site, which will be publicly available prior to the public offering of Shares, will include a Prospectus and additional quantitative information updated on a daily basis, including, on a per Share basis for each Fund, the prior Business Day's NAV and the market closing price or mid-point of the bid/ask spread at the time of the calculation of such NAV (“Bid/Ask Price”), and a calculation of the premium or discount of the market closing price or Bid/Ask Price against such NAV. On each Business Day, before commencement of trading in Shares on the Stock Exchange, the Fund will disclose on its Web site the identities and quantities of the Portfolio Holdings held by the Fund (or its respective Master Fund)
1. Applicants request an order under section 6(c) of the Act for an exemption from sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of the Act and rule 22c-1 under the Act, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and 17(a)(2) of the Act, and under section 12(d)(1)(J) of the Act for an exemption from sections 12(d)(1)(A) and (B) of the Act.
2. Section 6(c) of the Act provides that the Commission may exempt any person, security or transaction, or any class of persons, securities or transactions, from any provisions of the Act, if and to the extent that such exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of the Act. Section 17(b) of the Act authorizes the Commission to exempt a proposed transaction from section 17(a) of the Act if evidence establishes that the terms of the transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned, and the proposed transaction is consistent with the policies of the registered investment company and the general provisions of the Act. Section 12(d)(1)(J) of the Act provides that the Commission may exempt any person, security, or transaction, or any class or classes of persons, securities or transactions, from any provision of section 12(d)(1) if the exemption is consistent with the public interest and the protection of investors.
3. Section 5(a)(1) of the Act defines an “open-end company” as a management investment company that is offering for sale or has outstanding any redeemable security of which it is the issuer. Section 2(a)(32) of the Act defines a redeemable security as any security, other than short-term paper, under the terms of which the holder, upon its presentation to the issuer, is entitled to receive approximately a proportionate share of the issuer's current net assets, or the cash equivalent. Because Shares will not be individually redeemable, applicants request an order that would permit each Fund to redeem Shares in Creation Units only.
4. Section 22(d) of the Act, among other things, prohibits a dealer from selling a redeemable security that is currently being offered to the public by or through a principal underwriter, except at a current public offering price described in the prospectus. Rule 22c-1 under the Act generally requires that a dealer selling, redeeming, or repurchasing a redeemable security do so only at a price based on its NAV. Applicants state that secondary market trading in Shares will take place at negotiated prices, not at a current offering price described in the Prospectus, and not at a price based on
5. Applicants assert that the concerns sought to be addressed by section 22(d) of the Act and rule 22c-1 under the Act with respect to pricing are equally satisfied by the proposed method of pricing Shares. Applicants maintain that while there is little legislative history regarding section 22(d), its provisions, as well as those of rule 22c-1, appear to have been designed to (a) prevent dilution caused by certain riskless-trading schemes by principal underwriters and contract dealers, (b) prevent unjust discrimination or preferential treatment among buyers resulting from sales at different prices, and (c) assure an orderly distribution system of investment company shares by eliminating price competition from brokers offering shares at less than the published sales price and repurchasing shares at more than the published redemption price.
6. Applicants believe that none of these purposes will be thwarted by permitting Shares to trade in the secondary market at negotiated prices. Applicants state that (a) secondary market trading in Shares does not involve the Funds as parties and cannot result in dilution of an investment in Shares, and (b) to the extent different prices exist during a given trading day, or from day to day, such variances occur as a result of third-party market forces, such as supply and demand. Therefore, applicants assert that secondary market transactions in Shares will not lead to discrimination or preferential treatment among purchasers. Finally, applicants contend that the proposed distribution system will be orderly because arbitrage activity should ensure that the difference between the market price of Shares and their NAV remains narrow.
7. Section 22(e) of the Act generally prohibits a registered investment company from suspending the right of redemption or postponing the date of payment of redemption proceeds for more than seven days after the tender of a security for redemption. Applicants observe that settlement of redemptions of Creation Units of Global Funds is contingent not only on the settlement cycle of the U.S. securities markets but also on the delivery cycles present in foreign markets in which those Funds invest. Applicants have been advised that, under certain circumstances, the delivery cycles for transferring Portfolio Holdings to redeeming investors, coupled with local market holiday schedules, will require a delivery process of up to 15 calendar days. Applicants therefore request relief from section 22(e) in order to provide payment or satisfaction of redemptions within the maximum number of calendar days required for such payment or satisfaction in the principal local markets where transactions in the Portfolio Holdings of each Global Fund customarily clear and settle, but in all cases no later than 15 calendar days following the tender of a Creation Unit.
8. Applicants state that section 22(e) was designed to prevent unreasonable, undisclosed and unforeseen delays in the actual payment of redemption proceeds. Applicants assert that the requested relief will not lead to the problems that section 22(e) was designed to prevent. Applicants state that allowing redemption payments for Creation Units of a Fund to be made within a maximum of 15 calendar days would not be inconsistent with the spirit and intent of section 22(e).
9. Section 12(d)(1)(A) of the Act prohibits a registered investment company from acquiring shares of an investment company if the securities represent more than 3% of the total outstanding voting stock of the acquired company, more than 5% of the total assets of the acquiring company, or, together with the securities of any other investment companies, more than 10% of the total assets of the acquiring company. Section 12(d)(1)(B) of the Act prohibits a registered open-end investment company, its principal underwriter, or any other broker or dealer from selling its shares to another investment company if the sale will cause the acquiring company to own more than 3% of the acquired company's voting stock, or if the sale will cause more than 10% of the acquired company's voting stock to be owned by investment companies generally.
10. Applicants request relief to permit Investing Funds to acquire Shares in excess of the limits in section 12(d)(1)(A) of the Act and to permit the Funds, their principal underwriters and any Broker to sell Shares to Investing Funds in excess of the limits in section 12(d)(l)(B) of the Act. Applicants submit that the proposed conditions to the requested relief address the concerns underlying the limits in section 12(d)(1), which include concerns about undue influence, excessive layering of fees and overly complex structures.
11. Applicants submit that their proposed conditions address any concerns regarding the potential for undue influence. To limit the control that an Investing Fund may have over a Fund, applicants propose a condition prohibiting the adviser of an Investing Management Company (“Investing Fund Adviser”), sponsor of an Investing Trust (“Sponsor”), any person controlling, controlled by, or under common control with the Investing Fund Adviser or Sponsor, and any investment company or issuer that would be an investment company but for sections 3(c)(1) or 3(c)(7) of the Act that is advised or sponsored by the Investing Fund Adviser, the Sponsor, or any person controlling, controlled by, or under common control with the Investing Fund Adviser or Sponsor (“Investing Fund's Advisory Group”) from controlling (individually or in the aggregate) a Fund within the meaning of section 2(a)(9) of the Act. The same prohibition would apply to any sub-adviser to an Investing Management Company (“Investing Fund Sub-Adviser”), any person controlling, controlled by or under common control with the Investing Fund Sub-Adviser, and any investment company or issuer that would be an investment company but for sections 3(c)(1) or 3(c)(7) of the Act (or portion of such investment company or issuer) advised or sponsored by the Investing Fund Sub-Adviser or any person controlling,
12. Applicants propose a condition to ensure that no Investing Fund or Investing Fund Affiliate
13. Applicants propose several conditions to address the potential for layering of fees. Applicants note that the board of directors or trustees of any Investing Management Company, including a majority of the directors or trustees who are not “interested persons” within the meaning of section 2(a)(19) of the Act (“disinterested directors or trustees”), will be required to find that the advisory fees charged under the contract are based on services provided that will be in addition to, rather than duplicative of, services provided under the advisory contract of any Fund in which the Investing Management Company may invest. Applicants also state that any sales charges and/or service fees charged with respect to shares of an Investing Fund will not exceed the limits applicable to a fund of funds as set forth in NASD Conduct Rule 2830.
14. Applicants submit that the proposed arrangement will not create an overly complex fund structure. Applicants note that a Fund will be prohibited from acquiring securities of any investment company or company relying on section 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained in section 12(d)(1)(A) of the Act, other than a Wholly-Owned Subsidiary,
15. To ensure that an Investing Fund is aware of the terms and conditions of the requested order, the Investing Funds must enter into an agreement with the respective Funds (“FOF Participation Agreement”). The FOF Participation Agreement will include an acknowledgement from the Investing Fund that it may rely on the order only to invest in a Fund and not in any other investment company.
16. Applicants also are seeking relief from Sections 12(d)(1)(A) and 12(d)(1)(B) to the extent necessary to permit the Feeder Funds to perform creations and redemptions of Shares in-kind in a master-feeder structure. Applicants assert that this structure is substantially identical to traditional master-feeder structures permitted pursuant to the exception provided in section 12(d)(1)(E) of the Act. Section 12(d)(1)(E) provides that the percentage limitations of sections 12(d)(1)(A) and (B) will not apply to a security issued by an investment company (in this case, the shares of the applicable Master Fund) if, among other things, that security is the only investment security held in the investing fund's portfolio (in this case, the Feeder Fund's portfolio). Applicants believe the proposed master-feeder structure complies with section 12(d)(1)(E) because each Feeder Fund will hold only investment securities issued by its corresponding Master Fund; however, the Feeder Funds may receive securities other than securities of its corresponding Master Fund if a Feeder Fund accepts an in-kind creation. To the extent that a Feeder Fund may be deemed to be holding both shares of the Master Fund and other securities, applicants request relief from sections 12(d)(1)(A) and (B). The Feeder Funds would operate in compliance with all other provisions of section 12(d)(1)(E).
17. Section 17(a) of the Act generally prohibits an affiliated person of a registered investment company, or an affiliated person of such a person (“second tier affiliate”), from selling any security to or purchasing any security from the company. Section 2(a)(3) of the Act defines “affiliated person” to include any person directly or indirectly owning, controlling, or holding with power to vote, 5% or more of the outstanding voting securities of the other person and any person directly or indirectly controlling, controlled by, or under common control with, the other person. Section 2(a)(9) of the Act defines “control” as the power to exercise a controlling influence over the management or policies of a company and provides that a control relationship will be presumed where one person owns more than 25% of another person's voting securities. Each Fund may be deemed to be controlled by an Adviser and hence affiliated persons of each other. In addition, the Funds may be deemed to be under common control with any other registered investment company (or series thereof) advised by an Adviser (an “Affiliated Fund”).
18. Applicants request an exemption under sections 6(c) and 17(b) of the Act from sections 17(a)(1) and 17(a)(2) of the Act to permit in-kind purchases and redemptions of Creation Units by persons that are affiliated persons or second tier affiliates of the Funds solely by virtue of one or more of the following: (a) Holding 5% or more, or in excess of 25% of the outstanding Shares of one or more Funds; (b) having an affiliation with a person with an ownership interest described in (a); or (c) holding 5% or more, or more than 25% of the Shares of one or more Affiliated Funds.
19. Applicants assert that no useful purpose would be served by prohibiting such affiliated persons from making in-kind purchases or in-kind redemptions of Shares of a Fund in Creation Units. Absent the unusual circumstances discussed in the application, the Deposit Instruments and Redemption Instruments available for a Fund will be the same for all purchasers and redeemers, respectively, and will correspond
20. Applicants also submit that the sale of Shares to and redemption of Shares from an Investing Fund meets the standards for relief under sections 17(b) and 6(c) of the Act. Applicants note that any consideration paid for the purchase or redemption of Shares directly from a Fund will be based on the NAV of the Fund in accordance with policies and procedures set forth in the Fund's registration statement.
21. In addition, to the extent that a Fund operates in a master-feeder structure, applicants also request relief permitting the Feeder Funds to engage in in-kind creations and redemptions with the applicable Master Fund. Applicants state that the request for relief described above would not be sufficient to permit such transactions because the Feeder Funds and the applicable Master Fund could also be affiliated by virtue of having the same investment adviser. However, applicants believe that in-kind creations and redemptions between a Feeder Fund and a Master Fund advised by the same investment adviser do not involve “overreaching” by an affiliated person. Applicants represent that such transactions will occur only at the Feeder Fund's proportionate share of the Master Fund's net assets, and the distributed securities will be valued in the same manner as they are valued for the purposes of calculating the applicable Master Fund's NAV. Further, all such transactions will be effected with respect to predetermined securities and on the same terms with respect to all investors. Finally, such transaction would only occur as a result of, and to effectuate, a creation or redemption transaction between the Feeder Fund and a third-party investor. Applicants state that, in effect, the Feeder Fund will serve as a conduit through which creation and redemption orders by Authorized Participants will be effected.
Applicants agree that any order of the Commission granting the requested relief will be subject to the following conditions:
1. As long as a Fund operates in reliance on the requested order, the Shares of the Fund will be listed on a Stock Exchange.
2. Neither the Trust nor any Fund will be advertised or marketed as an open-end investment company or a mutual fund. Any advertising material that describes the purchase or sale of Creation Units or refers to redeemability will prominently disclose that the Shares are not individually redeemable and that owners of the Shares may acquire those Shares from the Fund and tender those Shares for redemption to the Fund in Creation Units only.
3. The Web site for the Funds, which is and will be publicly accessible at no charge, will contain, on a per Share basis, for each Fund the prior Business Day's NAV and the market closing price or Bid/Ask Price, and a calculation of the premium or discount of the market closing price or Bid/Ask Price against such NAV.
4. On each Business Day, before commencement of trading in Shares on the Stock Exchange, the Fund will disclose on its Web site the identities and quantities of the Portfolio Holdings held by the Fund (or its respective Master Fund) that will form the basis for the Fund's calculation of NAV at the end of the Business Day.
5. The Adviser or any Sub-Adviser, directly or indirectly, will not cause any Authorized Participant (or any investor on whose behalf an Authorized Participant may transact with the Fund) to acquire any Deposit Instrument for the Fund, or its respective Master Fund, through a transaction in which the Fund, or its respective Master Fund, could not engage directly.
6. The requested relief to permit ETF operations will expire on the effective date of any Commission rule under the Act that provides relief permitting the operation of actively-managed ETFs, other than the Master-Feeder Relief.
1. The members of the Investing Fund's Advisory Group will not control (individually or in the aggregate) a Fund (or its respective Master Fund) within the meaning of section 2(a)(9) of the Act. The members of the Investing Fund's Sub-Advisory Group will not control (individually or in the aggregate) a Fund (or its respective Master Fund) within the meaning of section 2(a)(9) of the Act. If, as a result of a decrease in the outstanding voting securities of a Fund, the Investing Fund's Advisory Group or the Investing Fund's Sub-Advisory Group, each in the aggregate, becomes a holder of more than 25 percent of the outstanding voting securities of a Fund, it will vote its Shares of the Fund in the same proportion as the vote of all other holders of the Fund's Shares. This condition does not apply to the Investing Fund's Sub-Advisory Group with respect to a Fund (or its respective Master Fund) for which the Investing Fund Sub-Adviser or a person controlling, controlled by or under common control with the Investing Fund Sub-Adviser acts as the investment adviser within the meaning of section 2(a)(20)(A) of the Act.
2. No Investing Fund or Investing Fund Affiliate will cause any existing or potential investment by the Investing
3. The board of directors or trustees of an Investing Management Company, including a majority of the independent directors or trustees, will adopt procedures reasonably designed to ensure that the Investing Fund Adviser and any Investing Fund Sub-Adviser are conducting the investment program of the Investing Management Company without taking into account any consideration received by the Investing Management Company or an Investing Fund Affiliate from a Fund (or its respective Master Fund) or a Fund Affiliate in connection with any services or transactions.
4. Once an investment by an Investing Fund in the Shares of a Fund exceeds the limit in section 12(d)(1)(A)(i) of the Act, the Board of a Fund (or its respective Master Fund), including a majority of the independent directors or trustees, will determine that any consideration paid by the Fund (or its respective Master Fund) to the Investing Fund or an Investing Fund Affiliate in connection with any services or transactions: (i) Is fair and reasonable in relation to the nature and quality of the services and benefits received by the Fund (or its respective Master Fund); (ii) is within the range of consideration that the Fund (or its respective Master Fund) would be required to pay to another unaffiliated entity in connection with the same services or transactions; and (iii) does not involve overreaching on the part of any person concerned. This condition does not apply with respect to any services or transactions between a Fund (or its respective Master Fund) and its investment adviser(s), or any person controlling, controlled by or under common control with such investment adviser(s).
5. The Investing Fund Adviser, or Trustee or Sponsor, as applicable, will waive fees otherwise payable to it by the Investing Fund in an amount at least equal to any compensation (including fees received pursuant to any plan adopted by a Fund (or its respective Master Fund) under rule 12b-1 under the Act) received from a Fund (or its respective Master Fund) by the Investing Fund Adviser, or Trustee or Sponsor, or an affiliated person of the Investing Fund Adviser, or Trustee or Sponsor, other than any advisory fees paid to the Investing Fund Adviser, or Trustee, or Sponsor, or its affiliated person by the Fund (or its respective Master Fund), in connection with the investment by the Investing Fund in the Fund. Any Investing Fund Sub-Adviser will waive fees otherwise payable to the Investing Fund Sub-Adviser, directly or indirectly, by the Investing Management Company in an amount at least equal to any compensation received from a Fund (or its respective Master Fund) by the Investing Fund Sub-Adviser, or an affiliated person of the Investing Fund Sub-Adviser, other than any advisory fees paid to the Investing Fund Sub-Adviser or its affiliated person by the Fund (or its respective Master Fund), in connection with the investment by the Investing Management Company in the Fund made at the direction of the Investing Fund Sub-Adviser. In the event that the Investing Fund Sub-Adviser waives fees, the benefit of the waiver will be passed through to the Investing Management Company.
6. No Investing Fund or Investing Fund Affiliate (except to the extent it is acting in its capacity as an investment adviser to a Fund (or its respective Master Fund)) will cause a Fund (or its respective Master Fund) to purchase a security in an Affiliated Underwriting.
7. The Board of a Fund (or its respective Master Fund), including a majority of the independent directors or trustees, will adopt procedures reasonably designed to monitor any purchases of securities by the Fund (or its respective Master Fund) in an Affiliated Underwriting, once an investment by an Investing Fund in the securities of the Fund exceeds the limit of section 12(d)(1)(A)(i) of the Act, including any purchases made directly from an Underwriting Affiliate. The Board will review these purchases periodically, but no less frequently than annually, to determine whether the purchases were influenced by the investment by the Investing Fund in the Fund. The Board will consider, among other things: (i) Whether the purchases were consistent with the investment objectives and policies of the Fund (or its respective Master Fund); (ii) how the performance of securities purchased in an Affiliated Underwriting compares to the performance of comparable securities purchased during a comparable period of time in underwritings other than Affiliated Underwritings or to a benchmark such as a comparable market index; and (iii) whether the amount of securities purchased by the Fund (or its respective Master Fund) in Affiliated Underwritings and the amount purchased directly from an Underwriting Affiliate have changed significantly from prior years. The Board will take any appropriate actions based on its review, including, if appropriate, the institution of procedures designed to assure that purchases of securities in Affiliated Underwritings are in the best interest of shareholders of the Fund.
8. Each Fund (or its respective Master Fund) will maintain and preserve permanently in an easily accessible place a written copy of the procedures described in the preceding condition, and any modifications to such procedures, and will maintain and preserve for a period of not less than six years from the end of the fiscal year in which any purchase in an Affiliated Underwriting occurred, the first two years in an easily accessible place, a written record of each purchase of securities in Affiliated Underwritings once an investment by an Investing Fund in the securities of the Fund exceeds the limit of section 12(d)(1)(A)(i) of the Act, setting forth from whom the securities were acquired, the identity of the underwriting syndicate's members, the terms of the purchase, and the information or materials upon which the Board's determinations were made.
9. Before investing in a Fund in excess of the limits in section 12(d)(1)(A), an Investing Fund will execute a FOF Participation Agreement with the Fund stating that their respective boards of directors or trustees and their investment advisers, or Trustee and Sponsor, as applicable, understand the terms and conditions of the order, and agree to fulfill their responsibilities under the order. At the time of its investment in Shares of a Fund in excess of the limit in section 12(d)(1)(A)(i), an Investing Fund will notify the Fund of the investment. At such time, the Investing Fund will also transmit to the Fund a list of the names of each Investing Fund Affiliate and Underwriting Affiliate. The Investing Fund will notify the Fund of any changes to the list as soon as reasonably practicable after a change occurs. The Fund and the Investing Fund will maintain and preserve a copy of the order, the FOF Participation Agreement, and the list with any updated information for the duration of the investment and for a period of not less than six years thereafter, the first two years in an easily accessible place.
10. Before approving any advisory contract under section 15 of the Act, the board of directors or trustees of each Investing Management Company, including a majority of the independent directors or trustees, will find that the advisory fees charged under such contract are based on services provided that will be in addition to, rather than duplicative of, the services provided under the advisory contract(s) of any
11. Any sales charges and/or service fees charged with respect to shares of an Investing Fund will not exceed the limits applicable to a fund of funds as set forth in NASD Conduct Rule 2830.
12. No Fund (or its respective Master Fund) will acquire securities of any investment company or company relying on Section 3(c)(1) or 3(c)(7) of the 1940 Act in excess of the limits contained in Section 12(d)(1)(A) of the 1940 Act, except to the extent (i) permitted by exemptive relief from the Commission permitting the Fund (or its respective Master Fund) to purchase shares of other investment companies for short-term cash management purposes, (ii) the Fund acquires securities of the Master Fund pursuant to the Master-Feeder Relief or (iii) the Fund invests in a Wholly-Owned Subsidiary that is a wholly-owned and controlled subsidiary of the Fund (or its respective Master Fund) as described in the Application. Further, no Wholly-Owned Subsidiary will acquire securities of any other investment company or company relying on Section 3(c)(1) or 3(c)(7) of the Act other than money market funds that comply with Rule 2a-7 for short-term cash management purposes.
For the Commission, by the Division of Investment Management, under delegated authority.
Securities and Exchange Commission (“Commission”).
Notice of application for an order under sections 6(b) and 6(e) of the Investment Company Act of 1940 (the “Act”) granting an exemption from all provisions of the Act and the rules and regulations thereunder, except sections 9, 17, 30, and 36 through 53 of the Act, and the rules and regulations thereunder (the “Rules and Regulations”). With respect to sections 17(a), (d), (f), (g) and (j) and 30(a), (b), (e), and (h) of the Act, and the Rules and Regulations, and rule 38a-1 under the Act, the exemption is limited as set forth in the application.
Applicants request an order to exempt certain limited partnerships, limited liability companies, business trusts or other entities (“Funds”) formed for the benefit of eligible employees of AllianceBernstein L.P. (the “Company”) and its affiliates from certain provisions of the Act. Each series of a Fund will be an “employees' securities company” within the meaning of section 2(a)(13) of the Act.
The Company and AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P.
The application was filed on April 20, 2015 and was amended on January 28, 2016.
An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on May 20, 2016, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary.
Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090; Applicants: 1345 Avenue of the Americas, New York, New York 10105.
Kyle R. Ahlgren, Senior Counsel, at (202) 551-6857, or Holly L. Hunter-Ceci, Branch Chief, at (202) 551-6825 (Division of Investment Management, Chief Counsel's Office).
The following is a summary of the application. The complete application may be obtained via the Commission's Web site by searching for the file number, or for an applicant using the Company name box, at
1. The Company is a Delaware limited partnership, and together with its “affiliates,” as defined in rule 12b-2 under the Securities Exchange Act of 1934 (the “Exchange Act”) (collectively, “AB,” and each, an “AB Entity”), have organized AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P., a Delaware limited partnership (the “Initial Partnership”) and will in the future organize limited partnerships, limited liability companies, business trusts or other entities (each a “Future Fund” and, collectively with the Initial Partnership, the “Funds”) as “employees' securities companies,” as defined in section 2(a)(13) of the Act. The Funds are intended to provide investment opportunities that are competitive with those at other investment management and financial services firms and to facilitate the recruitment and retention of high caliber professionals.
2. The Initial Partnership was formed on April 4, 2014 as a Delaware limited partnership. AllianceBernstein U.S. Real Estate Partners II G.P. L.P. acts as general partner to the Initial Partnership. AB serves as investment adviser to the Initial Partnership. The Initial Partnership invests all or substantially all of its assets in AllianceBernstein U.S. Real Estate Partners II L.P. (“AB REP II”). ABREP II's investment objective is to provide attractive risk-adjusted returns by making and managing investments in real estate and real estate securities and businesses.
3. A Future Fund may be structured as a domestic or offshore limited or general partnership, limited liability company, corporation, business trust or other entity. AB may also form parallel funds organized under the laws of various jurisdictions in order to create the same investment opportunities for Eligible Employees (defined below) in other jurisdictions. Interests in a Fund may be issued in one or more series, each of which corresponds to particular Fund investments (each, a “Series”). Each Series will be an “employees' securities company” within the meaning of section 2(a)(13) of the Act. Each Fund will operate as a closed-end or open-end management investment company, and a particular Fund may operate as a “diversified” or “non-diversified” vehicle within the meaning of the Act.
4. AB will control each Fund within the meaning of section 2(a)(9) of the Act. Each Fund has, or will have, a general partner, managing member or other such similar entity that manages, operates
5. Each of the General Partner and the Investment Adviser is an investment adviser within the meaning of section 9 and 36 of the Act and is subject to those sections. The General Partner or Investment Adviser may receive a performance-based fee or allocation (a “Carried Interest”) based on the net gains of the Fund's investments in addition to any amount allocable to the General Partner's or Investment Adviser's capital contribution.
6. If the General Partner elects to recommend that a Fund enter into any side-by-side investment with an unaffiliated entity, the General Partner will be permitted to engage as sub-investment adviser the unaffiliated entity (an “Unaffiliated Subadviser”), which will be responsible for the management of such side-by-side investment.
7. Interests in the Funds will be offered in a transaction exempt from registration under section 4(a)(2) of the Securities Act of 1933, as amended (the “1933 Act”), or Regulation D or Regulation S promulgated thereunder, and will be sold only to Qualified Participants, which term refers to: (i) Eligible Employees (as defined below); (ii) Eligible Family Members (as defined below); (iii) Eligible Investment Vehicles (as defined below); and (iv) AB. Prior to offering interests in a Fund to a Qualified Participant, AB must reasonably believe that the Eligible Employee or Eligible Family Member will be capable of understanding and evaluating the merits and risks of participation in a Fund and that each such individual is able to bear the economic risk of such participation and afford a complete loss of his or her investments in the Fund.
8. The term “Eligible Employees” is defined as current or former employees, officers and directors of AB (including people in administration, marketing and operations) and current consultants engaged on retainer to provide services and professional expertise on an ongoing basis as regular consultants or business or legal advisors to AB and who share a community of interest with AB and AB's employees (“Consultants”).
9. A Qualified Participant may purchase an interest through an Eligible Investment Vehicle only if either (i) the investment vehicle is an accredited investor, as defined in rule 501(a) of Regulation D under the 1933 Act or (ii) the Eligible Employee is a settlor
10. The terms of each Fund will be fully disclosed to each Qualified Participant (or person making the investment on behalf of the Qualified Participant) at the time the Qualified Participant is invited to participate in the Fund. The Fund will send its investors an annual financial statement with respect to those investments in which the investor had an interest within 120 days after the end of each fiscal year of the Fund, or as soon as practicable after the end of the Fund's fiscal year. The financial statement will
11. Interests in a Fund will not be transferable except with the express consent of the General Partner, and then only to a Qualified Participant. No sales load or similar fee of any kind will be charged in connection with the sale of interests in a Future Fund.
12. A General Partner may have the right, but not the obligation, to repurchase, cancel or transfer to another Qualified Participant the interest of (i) an Eligible Employee who ceases to be an employee, officer, director or current consultant of any AB Entity for any reason or (ii) any Eligible Family Member of any person described in clause (i). The governing documents for each Fund will describe, if applicable, the amount that an investor would receive upon repurchase, cancellation or forfeiture of its interest. The investor will, at a minimum, be paid the lesser of (i) the amount actually paid by or on behalf of the investor to acquire the interest (plus interest, as reasonably determined by the General Partner) less any amounts paid to the investor in distributions, and (ii) the fair value, determined at the time of repurchase in good faith by the General Partner, of such interest.
13. A Future Fund may invest in one or more pooled investment vehicles (including private funds relying on sections 3(c)(1) and 3(c)(7) under the Act and funds relying on section 3(c)(5) under the Act) and investments in registered investment companies sponsored by AB or by third parties (each, an “Underlying Fund”).
14. A Fund may co-invest in a portfolio company (or a pooled investment vehicle) with an AB Entity or with an investment fund or separate account organized primarily for the benefit of investors who are not affiliated with AB (“Third Party Investors”) over which an AB Entity exercises investment discretion or which is sponsored by an AB Entity (an “AB Third Party Fund”). Co-investments with an AB Entity or with an AB Third Party Fund in a transaction in which AB's investment was made pursuant to a contractual obligation to an AB Third Party Fund will not be subject to Condition 3 below. All other side-by-side investments held by AB entities will be subject to Condition 3.
15. If AB makes loans to a Fund, the lender will be entitled to receive interest, provided that the interest rate will be no less favorable to the borrower than the rate obtainable on an arm's length basis. The possibility of any such borrowings, as well as the terms thereof, would be disclosed to Qualified Participants prior to their investment in a Fund. Any indebtedness of the Fund will be the debt of the Fund and without recourse to the the investors. A Fund will not borrow from any person if the borrowing would cause any person not named in section 2(a)(13) of the Act to own securities of the Fund (other than short-term paper). A Fund will not lend any funds to an AB Entity.
16. A Fund will not acquire any security issued by a registered investment company if immediately after such acquisition such Fund will own more than 3% of the outstanding voting stock of the registered investment company.
1. Section 6(b) of the Act provides that the Commission shall exempt employees' securities companies from the provisions of the Act if and to the extent that such exemption is consistent with the protection of investors. Section 6(b) provides that the Commission will consider, in determining the provisions of the Act from which the company should be exempt, the company's form of organization and capital structure, the persons owning and controlling its securities, the price of the company's securities and the amount of any sales load, how the company's funds are invested, and the relationship between the company and the issuers of the securities in which it invests. Section 2(a)(13) defines an employees' securities company, in relevant part, as any investment company all of whose securities (other than short-term paper) are beneficially owned (a) by current or former employees, or persons on retainer, of one or more affiliated employers, (b) by immediate family members of such persons, or (c) by such employer or employers together with any of the persons in (a) or (b).
2. Section 7 of the Act generally prohibits investment companies that are not registered under section 8 of the Act from selling or redeeming their securities. Section 6(e) of the Act provides that in connection with any order exempting an investment company from any provision of section 7, certain specified provisions of the Act shall be applicable to such company, and to other persons in their transactions and relations with such company, as though such company were registered under the Act, if the Commission deems it necessary and appropriate in the public interest or for the protection of investors. Applicants submit that it would be appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policies and provisions of the Act for the Commission to issue an order under sections 6(b) and 6(e) of the Act exempting the Funds from all provisions of the Act and the rules and regulations thereunder, except sections 9, 17, 30, and 36 through 53 of the Act, and the Rules and Regulations. With respect to sections 17(a), (d), (f), (g) and (j) and 30(a), (b), (e), and (h) of the Act, and the Rules and Regulations, and rule 38a-1 under the Act, Applicants request a limited exemption as set forth in the application.
3. Section 17(a) of the Act generally prohibits any affiliated person of a registered investment company, or any affiliated person of such a person, acting as principal, from knowingly selling or purchasing any security or other property to or from the investment company. Applicants request an exemption from section 17(a) to the extent necessary to (a) permit an AB Entity or an AB Third Party Fund (or any affiliated person of such AB Entity or AB Third Party Fund), or any affiliated person of a Fund (or affiliated persons of such persons), acting as principal, to engage in any transaction directly or indirectly with any Fund or any company controlled by such Fund; and (b) to permit a Fund to invest or engage in any transaction with any AB Entity, acting as principal, (i) in which such Fund, any company controlled by such Fund or any AB Entity or any AB Third Party Fund has invested or will invest, or (ii) with which such Fund, any company controlled by such Fund or any AB Entity or AB Third Party Fund is or will become otherwise affiliated; and (c) permit a Third Party Investor, acting as a principal, to engage in any transaction directly or indirectly with a Fund or any company controlled
4. Applicants submit that an exemption from section 17(a) is consistent with the policy of each Fund and the protection of investors. Applicants state that the investors in each Fund will have been fully informed of the possible extent of such Fund's dealings with AB and of the potential conflicts of interest that may exist. Applicants also state that, as professionals employed in the investment management and securities businesses, or in administrative, financial, accounting, legal, sales, marketing, risk management or operational activities related thereto, the investors will be able to understand and evaluate the attendant risks. Applicants assert that the community of interest among the investors in each Fund, on the one hand, and AB, on the other hand, is the best insurance against any risk of abuse. Applicants acknowledge that the requested relief will not extend to any transactions between a Fund and an Unaffiliated Subadviser or an affiliated person of the Unaffiliated Subadviser, or between a Fund and any person who is not an employee, officer or director of AB or is an entity outside of AB and is an affiliated person of the Fund as defined in section 2(a)(3)(E) of the Act (“Advisory Person”) or any affiliated person of such person.
5. Section 17(d) of the Act and rule 17d-1 under the Act prohibit any affiliated person or principal underwriter of a registered investment company, or any affiliated person of such a person or principal underwriter, acting as principal, from participating in any joint arrangement with the company unless authorized by the Commission. Applicants request an exemption from section 17(d) and rule 17d-1 to the extent necessary to permit affiliated persons of each Fund, or affiliated persons of any of such persons, to participate in, or effect any transaction in connection with, any joint enterprise or other joint arrangement or profit-sharing plan in which such Fund or a company controlled by such Fund is a participant. The exemption would permit, among other things, co-investments by each Fund, AB Third Party Fund and individual members or employees, officers, directors or consultants of AB making their own individual investment decisions apart from AB. Applicants acknowledge that the requested relief will not extend to any transaction in which an Unaffiliated Subadviser or an Advisory Person or an affiliated person of either has an interest.
6. Applicants assert that compliance with section 17(d) would prevent each Fund from achieving a principal purpose, which is to provide a vehicle for Eligible Employees (and other permitted investors) to co-invest with AB or, to the extent permitted by the terms of the Fund, with other employees, officers, directors or consultants of AB or AB entities or with an AB Third Party Fund. Applicants further contend that compliance with section 17(d) would cause a Fund to forego investment opportunities simply because an investor is such Fund or other affiliated person of such Fund also had, or contemplated making, a similar investment. Applicants submit that it is likely that suitable investments will be brought to the attention of a Fund because of its affiliation with AB's large capital resources and investment management experience, and that attractive investment opportunities of the types considered by a Fund often require each participant in the transaction to make funds available in an amount that may be substantially greater than those the Fund would independently be able to provide. Applicants contend that, as a result, a Fund's access to such opportunities may have to be through co-investment with other persons, including its affiliates. Applicants assert that the flexibility to structure co-investments and joint investments will not involve abuses of the type section 17(d) and rule 17d-1 were designed to prevent. In addition, Applicants represent that any transactions otherwise subject to section 17(d) of the Act and rule 17d-1 thereunder, for which exemptive relief has not been requested, would require approval by the Commission.
7. Co-investments with an AB Entity or with an AB Third Party Fund in a transaction in which AB's investment was made pursuant to a contractual obligation to an AB Third Party Fund will not be subject to Condition 3 below. Applicants believe that the interests of the Eligible Employees participating in a Fund will be adequately protected in such situations because AB is likely to invest a portion of its own capital in AB Third Party Fund investments, either through such AB Third Party Fund or on a side-by-side basis (which AB investments will be subject to substantially the same terms as those applicable to such AB Third Party Fund, except as otherwise disclosed in the governing documents of the relevant Fund). Applicants assert that if Condition 3 were to apply to AB's investment in these situations, the AB Third Party Fund would be indirectly burdened. Applicants further assert that the relationship of a Fund to an AB Third Party Fund is fundamentally different from such Fund's relationship to AB. Applicants contend that the focus of, and the rationale for, the protections contained in the requested relief are to protect the Funds from any overreaching by AB in the employer/employee context, whereas the same concerns are not present with respect to the Funds vis-à-vis the investors in an AB Third Party Fund.
8. Section 17(e) of the Act and rule 17e-1 thereunder limit the compensation an affiliated person may receive when acting as agent or broker for a registered investment company. Applicants request an exemption from section 17(e) to permit an AB Entity (including the General Partner) that acts as an agent or broker to receive placement fees, advisory fees, or other compensation from a Fund in connection with the purchase or sale by the Fund of securities, provided that the fees or other compensation are deemed “usual and customary.” Applicants state that for purposes of the application, fees or other compensation that are charged or received by an AB Entity will be deemed to be “usual and customary” only if (i) the Fund is purchasing or selling securities alongside other unaffiliated third parties, AB Third Party Funds or Third Party Investors who are also similarly purchasing or selling securities, (ii) the fees or other compensation being charged to the Fund are also being charged to the unaffiliated third parties, AB Third Party Funds or Third Party Investors, and (iii) the amount of securities being purchased or sold by the Fund does not exceed 50% of the total amount of securities being purchased or sold by the Fund and the unaffiliated third parties, AB Third Party Funds or Third Party Investors. Applicants state that compliance with section 17(e) would prevent a Fund from participating in a transaction in which AB, for other business reasons, does not wish to appear as if the Fund is being treated in a more favorable manner (by being charged lower fees) than other third parties also participating in the transaction. Applicants assert that the concerns of overreaching and abuse that section 17(e) and rule 17e-1 were
9. Rule 17e-1(b) under the Act requires that a majority of directors who are not “interested persons” (as defined in section 2(a)(19) of the Act) take actions and make approvals regarding commissions, fees, or other remuneration. Rule 17e-1(c) under the Act requires each Fund to comply with the fund governance standards defined in rule 0-1(a)(7) under the Act. Applicants request an exemption from rule 17e-1(b) to the extent necessary to permit each Fund to comply with rule 17e-1(b) without the necessity of having a majority of the directors of the Fund who are not “interested persons” take such actions and make such approvals as are set forth in rule 17(e)-1(b). Applicants note that in the event that all the directors of the General Partner or other governing body of the General Partner will be affiliated persons, a Fund could not comply with rule 17(e)-1(b) without the relief requested. Applicants represent that in such an event, the Fund will comply with rule 17e-1(b) by having a majority of the directors (or members of a comparable body) of the Fund or its General Partner take such actions and make such approvals as are set forth in rule 17e-1(b), and that each Fund will otherwise comply with all other requirements of rule 17e-1(b). Applicants further request an exemption from rule 17(e)-1(c) to the extent necessary to permit each Fund to comply with rule 17e-1 without the necessity of having a majority of the directors of the Fund be “disinterested persons” as set forth in rule 17e-1(c). Applicants note that in the event that all the directors of the General Partner or other governing body of the General Partner will be affiliated persons, a Fund could not comply with rule 17e-1 without the relief requested. Applicants represent that each Fund will otherwise comply with all other requirements of rule 17e-1(c).
10. Section 17(f) of the Act provides that the securities and similar investments of a registered management investment company must be placed in the custody of a bank, a member of a national securities exchange or the company itself in accordance with Commission rules. Rule 17f-2 under the Act specifies the requirements that must be satisfied for a registered management investment company to act as a custodian of its own investments. Applicants request relief from section 17(f) and rule 17f-2 to permit the following exceptions from the requirements of rule 17f-2: (a) A Fund's investments may be kept in the locked files of the General Partner or the Investment Adviser for purposes of paragraph (b) of the rule; (b) for purposes of paragraph (d) of the rule, (i) employees of AB or its affiliates (including the General Partner) will be deemed to be employees of the Funds, (ii) officers or managers of the General Partner or a Fund will be deemed to be officers of the Fund and (iii) the General Partner of a Fund or its board of directors will be deemed to be the board of directors of the Fund; and (c) in place of the verification procedure under rule 17f-2(f), verification will be effected quarterly by two employees of the General Partner who are also employees of AB responsible for the administrative, legal and/or compliance functions for funds managed or sponsored by AB and who have specific knowledge of custody requirements, policies and procedures of the Funds. Applicants expect that, with respect to certain Funds, many of their investments will be evidenced only by partnership agreements, participation agreements or similar documents, rather than by negotiable certificates that could be misappropriated. Applicants assert that for such a Fund, these instruments are most suitably kept in the files of the General Partner or its Investment Adviser, where they can be referred to as necessary. Applicants represent that they will comply with all other provisions of rule 17f-2, including the recordkeeping requirements of paragraph (e).
11. Section 17(g) of the Act and rule 17g-1 thereunder generally require the bonding of officers and employees of a registered investment company who have access to its securities or funds. Rule 17g-1 requires that a majority of directors who are not “interested persons” of a registered investment company take certain actions and give certain approvals relating to fidelity bonding. Among other things, the rule also requires that the board of directors of an investment company relying on the rule satisfy the fund governance standards defined in rule 0-1(a)(7). Applicants request an exemption from rule 17g-1 to the extent necessary to permit a Fund to comply with rule17g-1 by having the General Partner of the Fund take such actions and make such approvals as are set forth in rule 17g-1. Applicants state that in the event all the directors of the General Partner or other governing body of the General Partner will be affiliated persons, a Fund could not comply with rule 17g-1 without the requested relief. Applicants also request an exemption from the requirements of rule 17g-1(g) and (h) relating to the filing of copies of fidelity bonds and related information with the Commission and the provision of notices to the board of directors and from the requirements of rule 17g-1(j)(3). Applicants contend that the filing requirements are burdensome and unnecessary as applied to the Funds and represent that the General Partner of each Fund will designate a person to maintain the records otherwise required to be filed with the Commission under rule 17g-1(g). Applicants further contend that the notices otherwise required to be given to the board of directors will be unnecessary as the Funds will not have boards of directors. Applicants represent that each Fund will comply with all other requirements of rule 17g-1.
12. Section 17(j) of the Act and paragraph (b) of rule 17j-1 under the Act make it unlawful for certain enumerated persons to engage in fraudulent or deceptive practices in connection with the purchase or sale of a security held or to be acquired by a registered investment company. Rule 17j-1 also requires that every registered investment company adopt a written code of ethics and that every access person of a registered investment company report personal securities transactions. Applicants request an exemption from section 17(j) and the provisions of rule 17j-1 (except for the anti-fraud provisions of rule 17j-1(b)) because they assert that these requirements are burdensome and unnecessary as applied to the Funds. The relief requested will extend only to entities within AB and is not requested with respect to any Unaffiliated Subadviser or Advisory Person.
13. Sections 30(a), (b) and (e) of the Act and the rules thereunder generally require that registered investment companies prepare and file with the Commission and mail to their shareholders certain periodic reports and financial statements. Applicants contend that the forms prescribed by the Commission for periodic reports have little relevance to a Fund and would entail administrative and legal costs that outweigh any benefit to the investors in such Fund. Applicants request relief under sections 30(a), (b) and (e) to the extent necessary to permit each Fund to report annually to its investors in the manner described in the application. Section 30(h) of the Act requires that every officer, director, member of an
14. Rule 38a-1 requires registered investment companies to adopt, implement and periodically review written policies reasonably designed to prevent violation of the federal securities laws and to appoint a chief compliance officer. Each Fund will comply will rule 38a-1(a), (c) and (d), except that: (i) To the extent the Fund does not have a board of directors, the board of directors of the General Partner or other governing body of the General Partner will fulfill the responsibilities assigned to the Fund's board of directors under the rule; (ii) to the extent the board of directors or other governing body of the General Partner does not have any disinterested members, approval by a majority of the disinterested board members required by rule 38a-1 will not be obtained; and (iii) to the extent the board of directors or other governing body of the General Partner does not have any independent members, the Funds will comply with the requirement in rule 38a-1(a)(4)(iv) that the chief compliance officer meet with the independent directors by having the chief compliance officer meet with the board of directors or other governing body of the General Partner as constituted. Applicants represent that each Fund has adopted written policies and procedures reasonably designed to prevent violations of the terms and conditions of the application, has appointed a chief compliance officer and is otherwise in compliance with the terms and conditions of the application.
Applicants agree that any order granting the requested relief will be subject to the following conditions:
1. Each proposed transaction otherwise prohibited by section 17(a) or section 17(d) of the Act and rule 17d-1 thereunder to which a Fund is a party (the “Section 17 Transactions”) will be effected only if the General Partner determines that: (a) The terms of the Section 17 Transaction, including the consideration to be paid or received, are fair and reasonable to the Fund and the investors and do not involve overreaching of such Fund or its investors on the part of any person concerned; and (b) the Section 17 Transaction is consistent with the interests of the Fund and the investors, such Fund's organizational documents and such Fund's reports to its investors.
In addition, the General Partner will record and preserve a description of all Section 17 Transactions, the General Partner's findings, the information or materials upon which the findings are based and the basis for such findings. All such records will be maintained for the life of the Fund and at least six years thereafter, and will be subject to examination by the Commission and its staff.
2. The General Partner will adopt, and periodically review and update, procedures designed to ensure that reasonable inquiry is made, prior to the consummation of any Section 17 Transaction, with respect to the possible involvement in the transaction of any affiliated person or promoter of or principal underwriter for such Fund, or any affiliated person of such a person, promoter or principal underwriter.
3. The General Partner will not cause the funds of any Fund to be invested in any investment in which a “Co-Investor” (as defined below) has acquired or proposes to acquire the same class of securities of the same issuer, where the investment involves a joint enterprise or other joint arrangement within the meaning of rule 17d-1 in which the Fund and a Co-Investor are participants, unless prior to such investment any such Co-Investor agrees, prior to disposing of all or part of its investment, to (a) give the General Partner sufficient, but not less than one day's, notice of its intent to dispose of its investment; and (b) refrain from disposing of its investment unless the Fund has the opportunity to dispose of the Fund's investment prior to or concurrently with, on the same terms as, and on a pro rata basis with, the Co-Investor. The term “Co-Investor” with respect to any Fund means any person who is: (a) An “affiliated person” (as defined in section 2(a)(3) of the Act) of the Fund (other than an AB Third Party Fund); (b) AB (except when an AB Entity co-invests with a Fund and an AB Third Party Fund pursuant to a contractual obligation to the AB Third Party Fund); (c) an officer or director of an AB Entity; or (d) an entity (other than an AB Third Party Fund) in which AB acts as general partner or has similar capacity to control the sale or other disposition of the entity's securities. The restrictions contained in this condition, however, shall not be deemed to limit or prevent the disposition of an investment by a Co-Investor: (a) To its direct or indirect wholly-owned subsidiary, to any company (a “Parent”) of which the Co-Investor is a direct or indirect wholly-owned subsidiary or to a direct or indirect wholly-owned subsidiary of its Parent; (b) to immediate family members of the Co-Investor, including step or adoptive relationships, or a trust or other investment vehicle established for any Co-Investor or any such family member; or (c) when the investment is comprised of securities that are (i) listed on a national securities exchange registered under section 6 of the Exchange Act, (ii) NMS stocks, pursuant to section 11A(a)(2) of the Exchange Act and rule 600(a) of Regulation NMS thereunder, (iii) government securities as defined in section 2(a)(16) of the Act, (iv) “Eligible Securities” as defined in rule 2a-7 under the Act, or (v) listed or traded on any foreign securities exchange or board of trade that satisfies regulatory requirements under the law of the jurisdiction in which such foreign securities exchange or board of trade is organized similar to those that apply to a national securities exchange or a national market system for securities.
4. Each Fund and its General Partner will maintain and preserve, for the life of such Fund and at least six years thereafter, such accounts, books and other documents as constitute the record forming the basis for the audited financial statements that are to be provided to the investors in such Fund, and each annual report of such Fund required to be sent to such investors, and agree that all such records will be subject to examination by the Commission and its staff.
5. Within 120 days after the end of each fiscal year of each Fund, or as soon
6. If a Fund makes purchases or sales from or to an entity affiliated with the Fund by reason of an officer, director or employee of AB (a) serving as an officer, director, general partner or investment adviser of the entity, or (b) having a 5% or more investment in the entity, such individual will not participate in the Fund's determination of whether or not to effect the purchase or sale.
For the Commission, by the Division of Investment Management, under delegated authority.
Pursuant to Section 19(b)(1)
The Exchange proposes to amend the definition of “block” for purposes of Rule 72(d) and the size of a proposed cross transaction eligible for the Cross Function in Rule 76. The proposed rule change is available on the Exchange's Web site at
In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.
The Exchange proposes to amend the definition of “block” for purposes of Rule 72(d) and the size of a proposed cross transaction eligible for the Cross Function in Rule 76. Under Rule 72(d), when a member
Further, Rule 76 governs the execution of “cross” or “crossing” orders by Floor Brokers. Rule 76 applies only to manual transactions executed at the point of sale on the trading floor and provides that when a member has an order to buy and an order to sell the same security that can be crossed at the same price, the member is required to announce to the trading crowd the proposed cross by offering the security at a price that is higher than his or her bid by a minimum variation permitted in the security before crossing the orders. Any other member, including the DMM, can break up the announced bid and offer by trading with either side of the proposed cross transaction. Supplementary [sic] .10 to Rule 76 provides for a “Cross Function” that Floor brokers may use to monitor compliance with Rule 611 of Regulation NMS. To be eligible for this Cross Function, the proposed cross transaction must be for at least 10,000 shares or a quantity of stock having a market value of $200,000 or more.
The Exchange proposes to amend the permissible size of a crossing transaction permitted under Rule 72(d) and Supplementary Material .10 to Rule 76 to be at least 5,000 shares or a quantity of stock having a market value of $100,000 or more, whichever is less. The Exchange's proposed definition of block size would more closely align with how a block-sized transaction is
The Exchange believes the proposed rule change would promote increased trading by institutions as they are most frequent participants of block-sized trading on the Exchange. If an institution is able to execute in larger sizes, the contra party to the execution is less likely to be a participant that reacts to short term changes in the stock price and as such the price impact to the stock could be less acute when larger individual executions are obtained by the institution.
The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,
The Exchange believes that the proposed rule change would remove impediments to and perfect the mechanism of a free and open market and a national market system because it would attract more order flow to the Exchange that is currently trading on less transparent venues that contribute less to price discovery and price competition than executions and quotes that occur on lit markets. Such new order flow will further enhance the depth and liquidity on the Exchange, which supports just and equitable principles of trade. Specifically, as required under Rule 76, any proposed crossing transaction, including a transaction using the Cross Function or a cross that meets the requirements of Rule 72(d), must be announced in the Crowd before trading, thus providing an opportunity for other market participants, including other Floor brokers or the designated market maker, to participate in the proposed crossing transaction. By reducing the size of a block transaction, the Exchange believes that additional order flow may be routed to Floor brokers and thus be subject to such exposure requirements on the Trading Floor.
The Exchange believes that modifying the definition of block orders to lower the thresholds would be consistent with the public interest and the protection of investors because the Exchange is proposing to align the definition of block orders to current SEC and other exchange rules which the Exchange expects will result in increased participation of large-sized orders on the Exchange.
The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. Specifically, the proposed change will align the definition of a “block” with current SEC and other exchange rules, thereby promoting its competitiveness with dark pools where such large-sized orders currently trade in more frequency than on lit markets. As a consequence, the proposed change will promote competition among the many trading venues, which, in turn, will decrease the burden on competition.
No written comments were solicited or received with respect to the proposed rule change.
Within 45 days of the date of publication of this notice in the
(A) By order approve or disapprove the proposed rule change, or
(B) institute proceedings to determine whether the proposed rule change should be 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.
U.S. Small Business Administration.
Notice.
This is a Notice of the Presidential declaration of a major disaster for Public Assistance Only for the State of Louisiana (FEMA-4263-DR), dated 04/20/2016.
Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155.
A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street SW., Suite 6050, Washington, DC 20416.
Notice is hereby given that as a result of the President's major disaster declaration on 04/20/2016, Private Non-Profit organizations that provide essential services of governmental nature may file disaster loan applications at the address listed above or other locally announced locations.
The following areas have been determined to be adversely affected by the disaster:
The Interest Rates are:
The number assigned to this disaster for physical damage is 147036 and for economic injury is 147046.
In accordance with the Code of Federal Regulations 13—Business Credit and Assistance § 123.512, the following interest rate is effective for Military Reservist Economic Injury Disaster Loans approved on or after April 22, 2016.
Finger Lakes Railway Corp. (FGLK), a Class III rail carrier, has filed a verified notice of exemption under 49 CFR 1150.41 to sublease from Seneca County Industrial Development Agency (Agency), and operate, approximately 26.44 miles of railroad located in New York as follows: (1) Auburn Secondary, between milepost 37.56 at the Seneca/Cayuga County line and milepost 50.50 at or near Geneva, a distance of 12.94 miles; and (2) Geneva Running Track,
According to FGLK, the sublease of the rail lines is part of a series of proposed transactions that will allow FGLK to continue to pay a negotiated “payment in lieu of taxes” (PILOT) while maintaining the benefits of being exempt from local and state taxes. FGLK states that it originally acquired the rail lines in 1995 and transferred title to the Agency and then leased back the rail lines for purposes of the PILOT arrangement. FGLK states that to extend and restructure the PILOT arrangement, the Agency will first transfer title to the rail lines to FGLK.
FGLK certifies that the proposed transaction does not include an interchange commitment.
FGLK states the transaction will not result in the creation of a Class II or Class I rail carrier, but that its projected revenues as a result of this transaction would exceed $5 million. Accordingly, under 49 CFR 1150.42(e), FGLK is required, at least 60 days before this exemption is to become effective, to send notice of the transaction to the national offices of the labor unions with employees on the affected lines, post a copy of the notice at the workplace of the employees on the affected lines, and certify to the Board that it has done so. FGLK, however, has filed a petition for waiver of this 60-day advance labor notice requirement, asserting that there will be no changes for employees working on the rail lines because FGLK already operates the rail lines and will continue to be the sole common carrier operator of the rail lines. FGLK's waiver request will be addressed in a separate decision.
FGLK states that the parties intend to consummate the transaction no sooner than May 13, 2016, the effective date of the exemption (30 days after the verified notice was filed), and only after the Board has ruled on the motion to dismiss in Docket No. FD 36023. The Board will establish in the decision on the waiver request the earliest date this transaction can be consummated.
If the verified notice contains false or misleading information, the exemption is void ab initio. Petitions to revoke the exemption under 49 U.S.C. 10502(d) may be filed at any time. The filing of a petition to revoke will not automatically stay the effectiveness of the exemption. Petitions to stay must be filed no later than May 6, 2016 (at least seven days before the exemption becomes effective).
An original and ten copies of all pleadings, referring to Docket No. FD 36024, must be filed with the Surface Transportation Board, 395 E Street SW., Washington, DC 20423-0001. In addition, a copy of each pleading must be served on Eric M. Hocky, Clark Hill PLC, 2005 Market Street, Suite 1000, Philadelphia, PA 19103.
According to FGLK, this action is categorically excluded from environmental review under 49 CFR 1105.6(c).
Board decisions and notices are available on our Web site at
By the Board, Rachel D. Campbell, Director, Office of Proceedings.
Seneca County Industrial Development Agency (Agency), a noncarrier, has filed a verified notice under 49 CFR 1150.31 to lease from Finger Lakes Railway Corp. (FGLK), a Class III rail carrier, approximately 26.44 miles of railroad located in New York as follows: (1) Auburn Secondary, between milepost 37.56 at the Seneca/Cayuga County line and milepost 50.50 at or near Geneva, a distance of 12.94 miles; and (2) Geneva Running Track, between milepost 342.80 at the Ontario/Seneca County line and milepost 329.30 at or near Kendaia, a distance of 13.50 miles.
According to the Agency, the lease of the rail lines is part of a series of proposed transactions that will allow FGLK to continue to pay a negotiated “payment in lieu of taxes” (PILOT) while maintaining the benefits of being exempt from local and state taxes. The Agency states that FGLK originally acquired the rail lines in 1995 and transferred title to the Agency and then leased back the rail lines for purposes of the PILOT arrangement. The Agency states that to extend and restructure the PILOT arrangement, it will first transfer title to the rail lines to FGLK.
The Agency states that it will not hold itself out to provide any rail service, and is not acquiring any of the common carrier obligations with respect to the rail lines.
The Agency certifies that it will not operate over the rail lines and that the transaction will not result in the creation of a Class I or Class II carrier.
The Agency states that the parties intend to consummate the transaction no sooner than May 13, 2016, the effective date of the exemption (30 days after the verified notice was filed), and only after the Board has ruled on the motion to dismiss.
If the verified notice contains false or misleading information, the exemption is void ab initio. Petitions to revoke the exemption under 49 U.S.C. 10502(d) may be filed at any time. The filing of a petition to revoke will not automatically stay the effectiveness of the exemption. Petitions to stay must be filed no later than May 6, 2016 (at least seven days before the exemption becomes effective).
An original and ten copies of all pleadings, referring to Docket No. FD 36023, must be filed with the Surface Transportation Board, 395 E Street SW., Washington, DC 20423-0001. In addition, a copy of each pleading must be served on Eric M. Hocky, Clark Hill PLC, 2005 Market Street, Suite 1000, Philadelphia, PA 19103.
According to the Agency, this action is categorically excluded from environmental review under 49 CFR 1105.6(c).
Board decisions and notices are available on our Web site at
By the Board, Rachel D. Campbell, Director, Office of Proceedings.
Finger Lakes Railway Corp. (FGLK), a Class III rail carrier, has filed a verified notice of exemption under 49 CFR 1150.41 to acquire from Seneca County Industrial Development Agency (Agency), and operate approximately 26.44 miles of railroad located in New York as follows: (1) Auburn Secondary, between milepost 37.56 at the Seneca/Cayuga County line and milepost 50.50 at or near Geneva, a distance of 12.94 miles; and (2) Geneva Running Track, between milepost 342.80 at the Ontario/Seneca County line and milepost 329.30 at or near Kendaia, a distance of 13.50 miles.
According to FGLK, the acquisition of the rail lines is part of a series of proposed transactions that will allow FGLK to continue to pay a negotiated “payment in lieu of taxes” (PILOT) while maintaining the benefits of being exempt from local and state taxes. FGLK states that it originally acquired the rail lines in 1995 and transferred title to the Agency and then leased back the rail lines for purposes of the PILOT arrangement. FGLK states that to extend and restructure the PILOT arrangement, the Agency will first transfer title to the rail lines to FGLK. This notice relates to that transaction. Then the Agency will lease the rail lines from FGLK.
FGLK certifies that the proposed transaction does not include an interchange commitment.
FGLK states the transaction will not result in the creation of a Class II or Class I rail carrier, but that its projected revenues as a result of this transaction would exceed $5 million. Accordingly, under 49 CFR 1150.42(e), FGLK is required, at least 60 days before this exemption is to become effective, to send notice of the transaction to the national offices of the labor unions with employees on the affected lines, post a copy of the notice at the workplace of the employees on the affected lines, and certify to the Board that it has done so. FGLK, however, has filed a petition for waiver of this 60-day advance labor notice requirement, asserting that there will be no changes for employees working on the rail lines because FGLK already operates the rail lines and will continue to be the sole common carrier operator of the rail lines. FGLK's waiver request will be addressed in a separate decision.
FGLK states that the parties intend to consummate the transaction no sooner than May 13, 2016, the effective date of the exemption (30 days after the verified notice was filed), and only after the Board has ruled on the motion to dismiss in Docket No. FD 36023. The Board will establish in the decision on the waiver request the earliest date this transaction can be consummated.
If the verified notice contains false or misleading information, the exemption is void ab initio. Petitions to revoke the exemption under 49 U.S.C. 10502(d) may be filed at any time. The filing of a petition to revoke will not automatically stay the effectiveness of the exemption. Petitions to stay must be filed no later than May 6, 2016 (at least seven days before the exemption becomes effective).
An original and ten copies of all pleadings, referring to Docket No. FD 36022, must be filed with the Surface Transportation Board, 395 E Street SW., Washington, DC 20423-0001. In addition, a copy of each pleading must be served on Eric M. Hocky, Clark Hill PLC, 2005 Market Street, Suite 1000, Philadelphia, PA 19103.
According to FGLK, this action is categorically excluded from environmental review under 49 CFR 1105.6(c).
Board decisions and notices are available on our Web site at
By the Board, Rachel D. Campbell, Director, Office of Proceedings.
Federal Railroad Administration (FRA), Department of Transportation (DOT).
Notice of funding opportunity.
This Notice of Funding Opportunity (NOFO or notice) details the application requirements and procedures for obtaining grant funding for eligible projects under the Railroad Safety Infrastructure Improvement Grant program. The opportunities described in this notice are available under Catalog of Federal Domestic Assistance (CFDA) number 20.301, “Rail Safety Grants.”
Applications for funding under this notice are due no later than 5:00 p.m. Eastern Daylight Time (EDT), on June 14, 2016. Applications for funding received after 5:00 p.m. EDT on June 14, 2016, will not be considered for funding. See Section 4 of this notice for additional information regarding the application process.
Applications for funding must be submitted via Grants.gov. For any required or supporting application materials that an applicant is unable to submit via Grants.gov (such as oversized engineering drawings), the applicant may submit an original and two copies to John Winkle, attn.: Mary Ann McNamara, Office of Program Delivery, Federal Railroad Administration, 1200 New Jersey Avenue SE., Room W38-302, Mail Stop 20, Washington, DC 20590. However, due to delays caused by enhanced screening of mail delivered via the U.S. Postal Service, applicants are advised to use other means of document conveyance, such as courier service, to ensure timely delivery. Courier service should include the room number in the address.
For further information regarding this notice, please contact John Winkle, attn.: Mary Ann McNamara, Office of Program Delivery, Federal Railroad Administration, 1200 New Jersey Avenue SE., Room W38-302, Mail Stop 20, Washington, DC 20590; Email:
Additionally, applicants should note that the required project narrative component of the application package may not exceed 25 pages in length.
FRA's mission is to ensure the safe, reliable, and efficient movement of people and goods for a strong America, now and in the future. America's population is estimated to increase by 70 million people, or more than 20 percent, by 2045. Freight shipments are forecasted to increase by 45 percent over the same period. Rail transportation will play a critical role in accommodating the passenger and freight mobility demands of our growing population.
As our population grows, so too does the use of our transportation infrastructure. However, the funding necessary to maintain and improve our transportation system has not kept pace with this usage and the burdens placed upon it, which has led to a widening infrastructure deficit as more transportation assets fall into a state of disrepair. This is particularly true on our nation's rail network, where a significant backlog of rail infrastructure, stations, and equipment repair or replacement needs have accumulated after decades of underinvestment. Maintaining infrastructure and equipment is essential for safe, reliable, and efficient railroad operations.
To help address these concerns, over the past several years, FRA has administered several rail infrastructure rehabilitation and improvement grant programs, including the Rail Line Relocation and Improvement program, the Safe Transportation of Energy Products program, and the High-Speed Intercity Passenger Rail program. In the fiscal year 2016 Consolidated Appropriations Act, Congress appropriated $25 million for the Rail Safety Infrastructure Improvements Grant program. Through the Rail Safety Infrastructure Improvements Grant program, FRA will, pursuant to the authority provided by Congress, provide funding assistance to improve the safety of rail infrastructure. Specifically, the Rail Safety Infrastructure Improvements Grant program can fund safety improvements to railroad infrastructure, including the acquisition, improvement, or rehabilitation of intermodal or rail equipment or facilities, including track, bridges, tunnels, rail yards, buildings, passenger stations, and maintenance and repair shops. Projects that make improvements to highway-rail at-grade crossings, including grade separations and grade crossing closures, are also eligible, as are improvements necessary to establish a quiet zone. Applicants should note, however, that given the statutorily-prescribed selection criteria, FRA will view more favorably projects that are primarily intended to improve safety at highway-rail grade crossings, yet incorporate infrastructure improvements necessary to construct a quiet zone, instead of standalone quiet zone infrastructure projects that have minimal impact on railroad safety.
This notice contains the requirements and procedures applicants must follow to compete for funding under the Railroad Safety Infrastructure Improvement Grant program. This notice makes $25,000,000 in discretionary funding available for safety improvements to railroad infrastructure, including the acquisition, improvement, or rehabilitation of intermodal or rail equipment or facilities, including track, bridges, tunnels, yards, buildings, passenger stations, and maintenance and repair shops.
Applicants are encouraged to read the remainder of this NOFO carefully for:
(1) Funding parameters;
(2) Applicant, project, and project-cost eligibility requirements;
(3) Application development and submission policies;
(4) Details regarding FRA's application evaluation and selection criteria; and
(5) Post-award grant administration responsibilities.
Funding for this notice was made available by the Consolidated Appropriations Act, 2016 (Act), Public Law 114-113, division L, title I (2015), which directed FRA to award up to $25,000,000 for railroad safety grants to carry out 49 U.S.C. 20167, in effect the day before the enactment of the Passenger Rail Reform and Investment Act of 2015 (division A, title XI of the Fixing America's Surface Transportation Act). The Act appropriated $25,000,000 for this grant program, all of which is available through this NOFO.
The total amount of funding available under this NOFO is $25,000,000. FRA anticipates making multiple awards under this Notice. However, given the relatively limited amount of funding available for award, FRA:
(1) Encourages applicants to constrain their Federal funding request to a maximum of $5,000,000 per project and application. While this funding request limit is a recommendation and not a firm requirement, applications exceeding the recommended amount must explain why additional funding over the recommended amount is
(2) Strongly encourages applicants to leverage other federal, state, local, or private funds to support the proposed project; and
(3) May not be able to award grants to all eligible applications, or even those applications that meet or exceed the stated evaluation criteria (see Section 5, Application Review and Selection). However, should additional funding become available, FRA may choose to fund applications submitted under this NOFO, but not selected in FRA's first round of funding.
This section of the notice provides the requirements for submitting an eligible grant application. Applications that do not meet the requirements in this section may be considered ineligible for funding. Instructions for conveying eligibility information to FRA are detailed in Section 4 of this NOFO.
The following entities are eligible applicants for all project types permitted under this notice (see section 3.2, “Project Eligibility”), except a project to establish a quiet zone:
• States;
• Local Governments; and
• Passenger and Freight Railroad Carriers.
This notice solicits applications for a broad range of rail projects. Eligible projects are those that will make safety improvements to railroad infrastructure and include the acquisition, improvement, or rehabilitation of intermodal or rail equipment, or facilities. Eligible rail equipment includes track, bridges and tunnels, and eligible facilities include yards, buildings, passenger stations, and maintenance and repair shops. Projects that construct grade separations or make improvements to highway-rail grade crossings are eligible, as are projects to construct the infrastructure necessary to establish a quiet zone, although FRA will view more favorably quiet zone infrastructure projects that are primarily intended to improve highway-rail grade crossing safety. The types of costs/activities allowed under each project type are discussed in Section 3.3, “Cost Eligibility.” All applications must clearly demonstrate project need and the expected positive impact of the proposed project on rail safety using clear supportable data.
Proposed safety infrastructure projects may include in their statement of work pre-construction planning activities, such as preliminary engineering and final design, and any costs related to environmental and related clearances, including all work necessary for FRA to approve the project under the National Environmental Policy Act (NEPA) and related statutes and regulations. FRA will consider eligible, however, only those costs related to preliminary work that directly supports construction of the project. FRA considers work such as planning studies and feasibility studies to be too far removed from actual construction and not eligible. In addition, Congress made clear in the Act that this program must fund safety improvements Therefore, projects funding only pre-construction work, including work that would be otherwise eligible as part of a construction project, are not eligible.
Before submitting an application, applicants should carefully review the principles for cost sharing or matching in 2 CFR 200.306.
○ Track rehabilitation and repair;
○ Track construction, such as straightening curves or adding passing sidings;
○ Bridge rehabilitation and repair;
○ Signal installation, repair or upgrade;
○ Grade crossing installation, repair or rehabilitation, or closure;
○ Grade separations; and
○ On electrified rail, installation, replacement or rehabilitation of overhead catenary.
○ Rehabilitation of locomotives, passenger cars, or other rolling stock; and
○ Acquisition of locomotives, passenger cars, or other rolling stock.
○ Rehabilitation or repair of tunnels;
○ Construction, rehabilitation or reconfiguration of yards, including necessary track work;
○ Construction, rehabilitation or repair of passenger stations, including rail-related appurtenances such as platforms and canopies; and
○ Construction, rehabilitation or repair of other rail facilities, such as maintenance and repair shops.
The focus of a project must be safety improvements, and not other potential benefits, such as increased operational efficiencies or economic opportunities. As is discussed in Section 5 Application Review, FRA will consider other benefits, but to be eligible under this program the primary purpose of a project must be to improve safety. If an applicant has questions concerning
If a grant awarded under this program will not fully fund the project, the applicant must demonstrate to FRA's satisfaction that the applicant has, prior to submitting the application, secured all funding necessary to complete the project.
Any grant awarded under the Railroad Safety Infrastructure Improvement Grant program will be a reimbursable grant. Unless otherwise approved by FRA, grantees must first disburse funds to cover eligible costs and then seek reimbursement from FRA.
Complete applications must be submitted to Grants.gov no later than 5:00 p.m. EDT on June 14, 2016. Applications received after 5:00 p.m. EDT on June 14, 2016, will not be considered for funding. Accordingly, applicants are strongly encouraged to apply early to ensure that all materials are received before the application deadline.
Applicants must include the following documents in the application package:
○ SF424 (Application for Federal Assistance);
○ Project Narrative (see 4.2.1);
○ Statement of Work (SOW) (see 4.2.2);
○ FRA's Additional Assurances and Certifications;
○ SF 424C—Budget Information for Construction;
○ SF 424D—Assurances for Construction; and
○ SF LLL: Disclosure of Lobbying Activities.
Applicants must complete and submit all components of the application package to be considered for funding. FRA has established a grant opportunity Web page at
FRA welcomes the submission of other relevant supporting documentation the applicant has developed, such as planning, NEPA documentation, engineering and design documentation, and letters of support. Applications accompanied by completed feasibility studies, environmental determinations, and cost estimates may be more favorably considered during the application review process because they demonstrate that an applicant has a greater understanding of the scope and cost of the proposed project. These documents will
(1) Applicants must include a title page that lists the following elements in either a table or formatted list: Project title, location (street or address, zip code, city, county, State, district), the applicant organization name, and the name of any co-applicants. Applicants must provide a brief 4-6 sentence summary of the proposed project, capturing the safety challenges the proposed project aims to address, the intended outcomes, and anticipated benefits that will result from the proposed project.
(2) Applicants must describe the
For quiet zone infrastructure projects submitted by an applicant, the applicant must establish that it is a political subdivision of a State. As described above, FRA considers traditional units of local government such as cities, counties, boroughs and townships to be political subdivisions. For other entities, information that could substantiate eligibility includes enabling legislation stating clearly that the applicant is a political subdivision of a State, an Attorney General's Opinion from the State explaining that the applicant is a political subdivision of the State, or an appellate court judicial opinion finding that the applicant is a political subdivision of a State. If a potential applicant's eligibility as a political subdivision of a State is in question, the applicant should contact FRA.
(3) Applicants must indicate the amount of Federal funding requested from FRA under this NOFO and for this project, the proposed non-Federal match, any other funding amounts, and total project cost. Applicants must identify the Federal and matching funding percentages of the total project cost. Applicants must identify source(s) of matching funds, the source(s) of any other Federal funds committed to the project, and any pending Federal requests. Please note, other federal funds may be used to support the project, but may not be considered eligible matching funds for funds awarded under this Notice, and will be counted as part of the 50 percent limit on Federal funds. If applicable, please note whether the requested Federal funding must be obligated or expended by a certain date (due to other entities with other Federal or non-Federal funding sources, related projects, or other factors). Finally, applicants must specify whether Federal funding has ever previously been sought for the project and not secured, and name the Federal program and fiscal year from which the funding was requested.
(4) Applicants must include a detailed project description that expands upon the brief summary required in item number one of the project narrative section. This detailed description must provide, at a minimum, additional background on: The safety risks and challenges the project aims to address; the specific project activities proposed; expected outputs and outcomes of the project; and any other information the applicant deems necessary to justify the proposed project. In describing the project, the application should also clearly explain how the proposed project meets the respective project and cost/activity eligibility criteria for the type of funding requested as outlined in Section 3 of this notice.
(5) Applicants must include a thorough discussion of how the project meets all of the evaluation criteria for the respective project type as outlined below in Section 5 of this notice. Applicants should note that FRA reviews applications based upon the evaluation criteria listed. If an application does not sufficiently address the evaluation criteria, it is unlikely to be considered a competitive application. In responding to the criteria, applicants are reminded to clearly identify, quantify, and compare expected safety benefits and costs of proposed projects. FRA understands that the level of detail and sophistication of analysis that should be expected for relatively small projects (
(6) Applicants must describe proposed project implementation and project management arrangements. Applicants must include descriptions of the expected arrangements for project contracting, contract oversight, change-order management, risk management, and conformance to Federal requirements for project progress reporting.
(7) Applicants must describe the anticipated environmental or historic preservation impacts associated with the proposed project, any environmental or historic preservation analyses that have been prepared, and progress toward completing any environmental documentation or clearance required for the proposed project under NEPA, the National Historic Preservation Act, section 4(f) of the U.S. DOT Act, the Clean Water Act, or other applicable Federal or State laws. Applicants and grantees under FRA's financial assistance programs are encouraged to contact FRA and obtain preliminary direction regarding the appropriate NEPA class of action and required environmental documentation. Generally, projects will be ineligible to receive funding if construction activities began prior to the applicant/grantee receiving written approval from FRA that all environmental and historical analyses have been completed. Additional information regarding FRA's environmental processes and requirements are located at
Applicants must submit all application materials through Grants.gov. For any required or supporting application materials an applicant is unable to submit via Grants.gov (such as oversized engineering drawings), an applicant may submit an original and two copies to John Winkle, attn.: Mary Ann McNamara, Office of Program Delivery, Federal Railroad Administration, 1200 New Jersey Avenue SE, Room No. W38-302, Mail Stop 20, Washington, DC 20590. Applicants are advised to use means of rapid conveyance (such as courier service) as the application deadline approaches.
To apply for funding through Grants.gov, applicants must be properly registered. Complete instructions on how to register and submit an application are at Grants.gov. Registering with Grants.gov is a one-time process. However, it can take several weeks for first-time registrants to receive confirmation and a user password. FRA recommends that applicants start the registration process as early as possible to prevent delays that may preclude submitting an application package by the application deadline. FRA will not accept applications after the due date.
To apply for funding under this announcement and to apply for funding through Grants.gov, all applicants must:
1.
2.
3.
4.
5.
6.
If an applicant experiences difficulties at any point during this process, please call the Grants.gov Customer Center Hotline at 1-800-518-4726, 24 hours a day, 7 days a week (closed on Federal holidays).
Please use generally accepted formats such as .pdf, .doc, .docx, .xls, .xlsx and .ppt, when uploading attachments. While applicants may imbed picture files, such as .jpg, .gif, and .bmp, in document files, applicants should not submit attachments in these formats. Additionally, the following formats will not be accepted: .com, .bat, .exe, .vbs, .cfg, .dat, .db, .dbf, .dll, .ini, .log, .ora, .sys, and .zip.
Following the application deadline, FRA will screen all applications for timely submission and completeness. Applications that do not meet the requirements detailed in Section 4 of this notice will be ineligible for funding consideration.
FRA intends to award funds to projects that achieve the maximum benefits possible given the amount of funding available. FRA will analyze each application for its technical merit and project benefits using the factors and sub-criteria below.
○ The application is thorough and responsive to all of the requirements outlined in this Notice.
○ The tasks and subtasks outlined in the SOW are appropriate to achieve the expected safety outputs of the proposed project.
○ The proposed costs are realistic and are sufficient to accomplish the tasks documented in the SOW.
○ The appropriate partnerships and financing are in place to complete the proposed project.
○ The application contains supportable data to describe the safety risk that currently exists if the proposed project is not completed. This information should include the age and condition of the rail infrastructure to be replaced, improved, or rehabilitated.
○ The applicant describes the expected safety benefit of the project, making a reasonable link between that benefit and the proposed activities of the project. If applicable, this information should include the volume of hazardous materials transported over the infrastructure to be replaced, repaired or rehabilitated, and whether the infrastructure supports passenger rail operations.
○ The relative impact of the proposed safety improvement (
○ Other potential benefits, such as improved operational efficiencies, reduced maintenance costs, and potential increased ridership.
○ The safety record of the railroad carrier that owns the infrastructure, including accident and incident numbers and rates.
○ Information provided by the applicant that demonstrates the merit of investing in the proposed project using a benefit cost analysis that is systematic, data driven, and examines the trade-offs between project costs and expected safety benefit. Applicants should note if other, alternative investments were considered for submission under this notice using a similar benefit-cost analysis approach. Applicants are strongly encouraged to use Executive Order 12839 (Principles for Federal Infrastructure Investments, 59 FR 4233), OMB Circular A-94 (Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Programs), and OMB Circular A-4 (Regulatory Analysis) to conduct this analysis.
In addition to the evaluation criteria outlined in Section 5.2 above, the FRA Administrator may apply any or all of the following selection criteria to further ensure the projects selected for funding advance FRA and DOT's current mission and key priorities, as well as to ensure the projects selected are appropriate to meet national transportation safety and rail network objectives.
(1) Alignment with DOT Strategic Goals and Priorities:
○ Improving transportation safety;
○ Maintaining infrastructure in a state of good repair;
○ Promoting economic competitiveness;
○ Advancing environmentally sustainable transportation policies;
○ Furthering the six “Livability Principles” DOT developed with the Department of Housing and Urban Development and the Environmental Protection Agency as part of the Partnership for Sustainable Communities;
○ Enhancing quality of life; and
○ Building ladders of opportunity to expand the middle class.
(2) Project Delivery Performance:
○ The applicant's track record in successfully delivering previous FRA and DOT grants on time, on budget, and for the full intended scope; and
○ The extent to which the proposed project complements previous FRA or DOT awards.
(3) Region/Location:
○ The extent to which the proposed project increases the economic productivity of land, capital, or labor at specific locations, particularly in economically distressed areas;
○ Ensuring an appropriate level of regional balance across the country; and
○ Ensuring consistency with national transportation and rail network objectives.
(4) Innovation/Resource Development:
○ Pursuing new rail technologies that result in a favorable public return on investment and that ensure delivery of project benefits;
○ Promoting innovations that demonstrate the value of new approaches to safety management, as well as contracting and project delivery; and
○ Promoting domestic manufacturing, supply, and industrial development.
(5) Partnerships:
○ For projects that span multiple jurisdictions (States or local governments), emphasizing those that have organized multi-jurisdictional partnerships with joint planning and prioritization of investments;
○ Strengthening human capital and workforce opportunities, particularly for low-income workers or for people in economically distressed areas;
○ Employing creative approaches to ensure workforce diversity and use of disadvantaged and minority business enterprises, including opportunities for small businesses and disadvantaged business enterprises, including veteran-owned small businesses and service-disabled veteran-owned small businesses; and
○ Engaging local communities and other stakeholder groups in the project in a way that offers an opportunity for meaningful engagement in the process.
(6) Project Readiness:
○ Applicant progress, if any, in reaching compliance with NEPA for the proposed project. It should be noted that NEPA-related work, or a NEPA decision (
○ The extent to which a proposed project is consistent with an adopted State-wide transportation or rail plan;
○ The level of detail provided in the submitted SOW, including whether there is enough information to immediately advance the proposed project to award;
○ The level and degree to which the proposed project is dependent on other non-FRA financial contributions and the extent to which these contributions are secure; and
○ Whether there are engineering materials developed and submitted to FRA or materials partially developed that may be available to FRA in the near future to assess the proposed project's design and constructability risks.
(7) Other Potential Funding:
○ Whether the applicant has submitted an application for funding under any other rail or transportation infrastructure grant or loan program, such as
1. DOT's TIGER grant program;
2. DOT's FASTLANE grant program;
3. FRA's Railroad Rehabilitation and Improvement Financing loan program; and
4. The Federal Highway Administration's Transportation Infrastructure Finance and Innovation Act loan program.
FRA, prior to making a Federal award with a total amount of Federal share greater than the simplified acquisition threshold (see 2 CFR 200.88, Simplified Acquisition Threshold), will review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313). An applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in the designated integrity and performance system accessible through SAM. FRA will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 2 CFR 200.205 (Federal Awarding Agency Review of Risk Posed by Applicants).
FRA will announce applications selected for funding after the application review period. FRA will contact applicants with successful applications after the announcement with information and instructions about the award process. Notification of a selected application is not an authorization to begin proposed project activities. A formal Notice of Grant Agreement signed by both the grantee and the FRA and containing an approved scope, schedule, and budget, is required before the award is considered complete.
The period of performance for grants awarded under this notice is dependent upon the project and will be determined on a grant-by-grant basis. FRA will only consider written requests to FRA to extend the period of performance with specific and compelling justifications for why an extension is required. Any obligated funding not spent by the grantee and reimbursed by the FRA upon completion of the grant will be de-obligated.
FRA will make awards for projects selected under this notice through cooperative agreements. Cooperative agreements allow for substantial Federal involvement in carrying out the agreed upon investment, including technical assistance, review of interim work products, and increased program oversight under 2 CFR part 200, appendix I. The funding provided under these cooperative agreements will be made available to grantees on a reimbursable basis. Applicants must certify that their expenditures are allowable, allocable, reasonable, and necessary to the approved project before seeking reimbursement from FRA. Additionally, the grantee must expend matching funds at the required percentage alongside Federal funds throughout the life of the project.
Grantees and entities receiving funding from the grantee (sub-recipients and contractors), must comply with all applicable laws and regulations. A non-exclusive list of administrative and national policy requirements that grantees must follow includes: 2 CFR part 200; procurement standards; compliance with Federal civil rights laws and regulations; disadvantaged business enterprises; debarment and suspension; drug-free workplace; FRA's and OMB's Assurances and Certifications; Americans with Disabilities Act; and labor standards, safety oversight, environmental protection, NEPA, environmental justice, and Buy American (41 U.S.C. 8302) provisions.
The applicant will be required to comply with all standard FRA reporting requirements, including quarterly progress reports, quarterly Federal financial reports, and interim and final performance reports, as well as all applicable auditing, monitoring and close out requirements. Reports may be submitted electronically.
The applicant must comply with all relevant requirements of 2 CFR 180.335 and 180.350.
For further information regarding this Notice and the Railroad Safety Infrastructure Improvement Grant program, please contact John Winkle, attn.: Mary Ann McNamara, Office of Program Delivery, Federal Railroad Administration, 1200 New Jersey Avenue SE., Room No. W38-302, Mail Stop 20, Washington, DC 20590; Email:
Consolidated Appropriations Act, 2016, Pub. L. 114-113, division L, title I (2015).
National Highway Traffic Safety Administration (NHTSA), U.S. Department of Transportation (DOT).
Notice and request for comments.
The Department of Transportation (DOT) invites public comments about our intention to request the Office of Management and Budget (OMB) approval for a new information collection. The John A. Volpe National Transportation Systems Center (Volpe Center), U.S. DOT, will conduct this study under an interagency agreement with NHTSA. The collection involves case study interviews with law enforcement agency personnel pertaining to their knowledge and practice in using automated license plate readers (ALPR) for traffic safety purposes. The information to be collected will be used to document the state of knowledge and practice in using ALPR for this purpose under the National Cooperative Research and Evaluation Program (NCREP), which is managed jointly by NHTSA and the Governors Highway Safety Association (GHSA). Before a Federal agency can collect certain information from the public, it must receive approval from OMB. Under procedures established by the Paperwork Reduction Act of 1995, before seeking OMB approval, Federal agencies must solicit public comment
Written comments should be submitted by June 28, 2016.
You may submit comments [identified by Docket No. NHTSA-2016-0051] through one of the following methods:
•
•
•
Margaret Petrella, 617-494-3582, The Volpe Center, U.S. Department of Transportation, Economics Analysis Division (V-321), 55 Broadway, Cambridge, MA 02142.
Case studies will involve qualitative interviews with a variety of personnel in each selected LEA. A discussion guide comprised of approximately 15 to 20 questions will be used for each interview. This approach will provide a knowledge base, including rich, contextual information, from those most knowledgeable about the weaknesses and strengths or barriers and incentives to this technology's effective implementation and use for traffic safety purposes.
The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter 35, as amended; and 49 CFR 1:48.
Internal Revenue Service (IRS), Tax Exempt and Government Entities Division, Treasury.
Notice.
The Advisory Committee on Tax Exempt and Government Entities (ACT) will hold a public meeting on Wednesday, June 8, 2016.
Mark O'Donnell, TE/GE Communications and Liaison; 1111 Constitution Ave. NW., SE:T:CL-NCA 676; Washington, DC 20224. Telephone: 202-317-8736 (not a toll-free number). Email address:
By notice herein given, pursuant to section 10(a)(2) of the Federal Advisory Committee Act, 5 U.S.C. App. (1988), a public meeting of the ACT will be held on Wednesday, June 8, 2016, from 2:00 p.m. to 4:00 p.m., at the Internal Revenue Service; 1111 Constitution Ave. NW., Room 3313; Washington, DC. Issues to be discussed relate to Employee Plans, Exempt Organizations and Government Entities. A report from five ACT subcommittees covers the following topics:
Last minute agenda changes may preclude advance notice. Due to limited seating and security requirements, attendees must call Nicole Swire to confirm their attendance. Mrs. Swire can be reached at 202-317-8736, or email attendance request to
Internal Revenue Service (IRS), Treasury.
Publication of inflation adjustment factor and reference prices for calendar year 2016 as required by sections 45(e)(2)(A) (26 U.S.C. 45(e)(2)(A)) and 45(e)(8)(C) (26 U.S.C. 45(e)(8)(C)) of the Internal Revenue Code.
The 2016 inflation adjustment factor and reference prices are used in determining the availability of the credit for renewable electricity production and refined coal production and Indian coal production under section 45.
The 2016 inflation adjustment factor and reference prices apply to calendar year 2016 sales of kilowatt hours of electricity produced in the United States or a possession thereof from qualified energy resources and to 2016 sales of refined coal and Indian coal produced in the United States or a possession thereof.
Philip Tiegerman, CC:PSI:6, Internal Revenue Service, 1111 Constitution Avenue NW., Washington, DC 20224, (202) 317-6853 (not a toll-free number).
The Department of the Treasury will submit the following information collection requests to the Office of Management and Budget (OMB) for review and clearance in accordance with the Paperwork Reduction Act of 1995, Public Law 104-13, on or after the date of publication of this notice.
Comments should be received on or before May 31, 2016 to be assured of consideration.
Send comments regarding the burden estimates, or any other aspect of the information collections, including suggestions for reducing the burden, to (1) Office of Information and Regulatory Affairs, Office of Management and Budget, Attention: Desk Officer for Treasury, New Executive Office Building, Room 10235, Washington, DC 20503, or email at
Copies of the submissions may be obtained by emailing
The Department of the Treasury will submit the following information collection request to the Office of Management and Budget (OMB) for review and clearance in accordance with the Paperwork Reduction Act of 1995, Public Law 104-13, on or after the date of publication of this notice.
Comments should be received on or before May 31, 2016 to be assured of consideration.
Send comments regarding the burden estimates, or any other aspect of the information collection, including suggestions for reducing the burden, to (1) Office of Information and Regulatory Affairs, Office of Management and Budget, Attention: Desk Officer for Treasury, New Executive Office Building, Room 10235, Washington, DC 20503, or email at
Copies of the submission may be obtained by emailing
The Department of the Treasury will submit the following information collection requests to the Office of Management and Budget (OMB) for review and clearance in accordance with the Paperwork Reduction Act of 1995, Public Law 104-13, on or after the date of publication of this notice.
Comments should be received on or before May 31, 2016 to be assured of consideration.
Send comments regarding the burden estimates, or any other aspect of the information collections, including suggestions for reducing the burden, to (1) Office of Information and Regulatory Affairs, Office of Management and Budget, Attention: Desk Officer for Treasury, New Executive Office Building, Room 10235, Washington, DC 20503, or email at
Copies of the submissions may be obtained by emailing
Notice.
Under the authority of 31 U.S.C. 5120, the United States Mint established a program by which people and businesses could exchange bent and partial coins for reimbursement. Fused or mixed coins cannot be redeemed by the United States Mint.
On November 2, 2015, the United States Mint suspended the exchange program for a period of six months to assess the security of the program and develop additional safeguards, as necessary, to ensure the integrity of United States coinage. Since that time, the United States Mint has made significant progress in assessing the current state of the program, evaluating risks, and identifying potential remedial measures. Additionally, the United States Mint has engaged the services of an independent contractor to assist us in these efforts. However, due to recent litigation involving the exchange program and more time needed to complete our work, the United States Mint is extending the suspension of its redemption of bent and partial coins for an additional period of six months.
Effective May 2, 2016.
Tom Jurkowsky; Director, Office of Corporate Communications; United States Mint; Washington, DC; at (202) 354-7720 or
31 U.S.C. 5120.
Office of the Secretary, Labor.
Notice: Publication In Full of All Notices of Systems of Records, including several new systems; substantive amendments to systems; decommissioning of obsolete legacy systems; and publication of new universal routine uses for all system of records.
This notice provides a complete publication of all Department of Labor Systems of Records. This notice proposes two new universal routine uses to the systems. This notice will update our last complete publication in full which appeared in the
Persons wishing to comment on the changes set out in this notice may do so on or before June 8, 2016.
Written comments may be sent to Joseph J. Plick, Counsel for FOIA and Information Law, Office of the Solicitor, Department of Labor, 200 Constitution Avenue NW., Room N-2420, Washington, DC 20210, telephone (202) 693-5527, or by email to
Pursuant to the Privacy Act of 1974 (5 U.S.C. 552a(e)(4)), hereinafter referred to as the Act, on April 8, 2002, in Volume 67 at Page 16816 of the
On January 11, 2012, the Department published five new and five amended systems of records, which appears at 77 FR 1728 (January 11, 2012). In 2014 the Department published a notice of the addition of five new SORNs, amendment of nine existing SORNs and decommissioning of five SORNs, which appears at 79 FR 8489 (February 12, 2014). The Notice became effective on April 8, 2014. Finally on July 6, 2015 the Department published a SORN for DOL/VETS-5,
Pursuant to section three of the Privacy Act of 1974 (5 U.S.C. 552a(e)(4), the Department hereby publishes an updated consolidated publication in full for all 129 systems of records, including 21 new systems; 108 amended systems; and 43 decommissioned systems. A chart listing all of the actions the Department has taken with regards to its systems of records is attached as Appendix A to this notice. This notice also proposes two new universal routine uses to be added to the Department's current list of 12 universal routine uses, making a total of 14 universal routine uses. These universal routine uses apply across the board to all of the Department's system of records.
1. The first proposed new Universal Routine Use to the General Prefatory Statement (new Universal Routine Use #13) permits the Department to disclose information to a State or local government that has legal authority to make decisions about the issuance, retention and revocation of licenses, certifications or registrations of law practitioners and health care professionals.
2. The second proposed new Universal Routine Use to the General Prefatory Statement (new Universal Routine Use #14) permits the Department to disclose information to the United States Department of Justice (DOJ) and the Federal Bureau of Investigation (FBI) that will be included in the National Instant Criminal Background Check System (NICS).
The Department proposes to decommission 43 legacy systems of records. The decommissioned systems are listed in the Notice of Decommissioned Systems of Records, Section E below. Notably, the Department proposes to decommission a group of legacy systems entitled Employment Standards Administration (ESA), because that agency no longer exists due to a Departmental reorganization. The ESA legacy systems will be renamed as a system that relates to each of the constituent parts of the former ESA agency namely, The Office of Workers' Compensation Programs (OWCP), The Wage and Hour Division (WHD), The Office of Federal Contract Compliance Programs (OFCCP), and The Office of Labor-Management Standards (OLMS). Additionally, the Department proses to decommission a second group of legacy systems entitled Pension and Welfare Benefits Administration (PWBA). Several of the former PWBA systems will be renamed as an Employee Benefits Security Administration (EBSA) system.
1. The first proposed new system is entitled DOL/CENTRAL-7,
2. The second proposed new system is entitled DOL/EBSA-1,
3. The third proposed new system is entitled DOL/EBSA-11,
4. The fourth proposed new system is entitled DOL/EBSA-12,
5. The fifth proposed new system is entitled DOL/EBSA-13,
6. The sixth proposed new system is entitled DOL/EBSA-14,
7. The seventh proposed new system is entitled DOL/EBSA-15,
8. The eighth proposed new system is entitled DOL/ETA-30,
9. The ninth proposed new system is entitled DOL/ETA-31,
10. The tenth proposed new system is entitled DOL/ETA-32,
11. The eleventh proposed new system is entitled DOL/OASAM-37,
12. The twelfth proposed new system is entitled DOL/OIG-6,
13. The thirteenth proposed new system is entitled OIG-7,
14. The fourteenth proposed new system is entitled DOL/OIG-8,
15. The fifteenth proposed new system is entitled DOL/OIG-9,
16. The sixteenth proposed new system is entitled DOL/OIG-10,
17. The seventeenth proposed new system is entitled DOL/OIG-11,
18. The eighteenth proposed new system is entitled DOL/SOL-18,
19. The nineteenth proposed new system is entitled DOL/SOL-19,
20. The twentieth proposed new system is entitled DOL/VETS-5,
21. The twenty-first proposed new system is entitled DOL/VETS-6, Veterans' Case Management System (VCMS). This system contains records related to USERRA, VP, and the TAP Employment Workshop.
22. The first proposed amended system of records is entitled DOL/GOVT-1,
23. The second proposed amended system of records is entitled DOL/GOVT-2,
24. The third proposed amended system of records is entitled DOL/CENTRAL-1,
25. The fourth proposed amended system of records is entitled DOL/CENTRAL-2,
26. The fifth proposed amended system of records is entitled DOL/CENTRAL-3,
27. The sixth proposed amended system of records is entitled DOL/CENTRAL-4,
28. The seventh proposed amended system of records is DOL/CENTRAL-5,
29. The eighth proposed amended system of records is DOL/CENTRAL-6,
30. The ninth proposed amended system of records is entitled DOL/ADJBDS-1,
31. The tenth proposed amended system of records is entitled DOL/BLS-3,
32. The eleventh proposed amended system of records is entitled DOL/BLS-8,
33. The twelfth proposed amended system of records is entitled DOL/BLS-9,
34. The thirteenth proposed amended system of records is entitled DOL/BLS-10,
35. The fourteenth proposed amended system of records is entitled DOL/BLS-11,
36. The fifteenth proposed amended system of records is entitled DOL/BLS-13,
37. The sixteenth proposed amended system of records is entitled DOL/BLS-14,
38. The seventeenth proposed amended system of records is entitled DOL/BLS-17,
39. The eighteenth proposed amended system of records is entitled DOL/BLS-18,
40. The nineteenth proposed amended system of records is entitled DOL/BLS-19,
41. The twentieth proposed amended system of records is entitled DOL/BLS-20,
42. The twenty-first proposed amended system of records is entitled DOL/EBSA-2,
43. The twenty-second proposed amended system is entitled DOL/EBSA-3,
44. The twenty-third proposed amended system is entitled DOL/EBSA-4,
45. The twenty-fourth proposed amended system is entitled DOL/EBSA-5,
46. The twenty-fifth proposed amended system is entitled DOL/EBSA-6,
47. The twenty-sixth proposed amended system is entitled DOL/EBSA-7,
48. The twenty-seventh proposed amended system is entitled DOL/EBSA-8,
49. The twenty-eighth proposed amended system is entitled DOL/EBSA-9,
50. The twenty-ninth proposed amended system is entitled DOL/EBSA-10,
51. The thirtieth proposed amended system of records is entitled DOL/EBSA-11, ERISA Filing and Acceptance System 2 Internet Registration Database (IREG). The Department proposes to amend this to update the System Number, Authority for the Maintenance of the System, Purposes, and Policies and Practices for Storing, Retrieving, Accessing, Retaining and Disposing of Records, Routine Uses, Notification Procedures, and several other categories.
52. The thirty-first proposed amended system of records is entitled DOL/EBSA-12, Delinquent Filer Voluntary Compliance Program (DFVC) Tracking System; Delinquent Filer Voluntary Compliance Program 99. The Department proposes to amend this to update the Authority for Maintenance of the System, Retention and Disposal, Notification Procedure, and several other categories.
53. The thirty-second proposed amended system of records is entitled DOL/EBSA-13, OCA Case Tracking System. The Department proposes to amend this to update the Authority for Maintenance of the System, Retention and Disposal, Notification Procedure, and several other categories.
54. The thirty-third proposed amended system of records is entitled DOL/EBSA-14, Office of Health Plans Standards and Compliance Assistance (OHPSCA) Case Tracking System. The Department proposes to amend this to update the Authority for Maintenance of the System, Retention and Disposal, Notification Procedure, and several other categories.
55. The thirty-fourth proposed amended system of records is entitled DOL/EBSA-15, Fee Disclosure Failure Notice Database. The Department proposes to amend this to update the Authority for Maintenance of the System, Retention and Disposal, Notification Procedure, and several other categories.
56. The thirty-fifth proposed amended system of records is entitled DOL/OMBUDSMAN-1,
57. The thirty-sixth proposed amended system of records is entitled DOL/ETA-1,
58. The thirty-seventh proposed amended system of records is entitled DOL/ETA-4,
59. The thirty-eighth proposed amended system of records is entitled DOL/ETA-7,
60. The thirty-ninth proposed amended system of records is entitled DOL/ETA-8,
61. The fortieth proposed amended system of records is entitled DOL/ETA-16,
62. The forty-first proposed amended system of records is entitled DOL/ETA-20,
63. The forty-second proposed amended system of records is entitled DOL/ETA-24,
64. The forty-third proposed amended system of records is entitled DOL/ETA-29,
65. The forty-fourth proposed amended system of records is entitled DOL/MSHA-1,
66. The forty-fifth proposed amended system of records is entitled DOL/MSHA-22,
67. The forty-sixth proposed amended system of records is entitled DOL/MSHA-23,
68. The forty-seventh proposed amended system of records is entitled DOL/OALJ-1,
69. The forty-eighth proposed amended system of records is entitled DOL/OALJ-2,
70. The forty-ninth proposed amended system of records is entitled DOL/OASAM-4,
71. The fiftieth proposed amended system of records is entitled DOL/OASAM-5,
72. The fifty-first proposed amended system of records is entitled DOL/OASAM-7,
73. The fifty-second proposed amended system of records entitled DOL/OASAM-12,
74. The fifty-third proposed amended system of records entitled DOL/OASAM-19,
75. The fifty-fourth proposed amended system of records is entitled DOL/OASAM-20,
76. The fifty-fifth proposed amended system of records is entitled DOL/OASAM-22,
77. The fifty-sixth proposed amended system of records is entitled DOL/OASAM-25,
78. The fifty-seventh proposed amended system of records is entitled DOL/OASAM-26,
79. The fifty-eighth proposed amended system of records is entitled DOL/OASAM-27,
80. The fifty-ninth proposed amended system of records is entitled DOL/OASAM-28,
81. The sixtieth proposed amended system of records is entitled DOL/OASAM-29,
82. The sixty-first proposed amended system of records is entitled DOL/OASAM-30,
83. The sixty-second proposed amended system of records is entitled DOL/OASAM-31,
84. The sixty-third proposed amended system of records is entitled DOL/OASAM-32,
85. The sixty-fourth proposed amended system of records is entitled DOL/OASAM-34,
86. The sixty-fifth proposed amended system of records is entitled DOL/OASAM-35,
87. The sixty-sixth proposed amended system of records is entitled DOL/OCFO-2,
88. The sixty-seventh proposed amended system of records is entitled DOL/OCFO-3,
89. The sixty-eighth proposed amended system of records is entitled DOL/ODEP-1,
90. The sixty-ninth proposed amended system is entitled DOL/OFCCP-1,
91. The seventieth proposed amended system is entitled DOL/OFCCP-2,
92. The seventy-first proposed amended system of records is entitled DOL/OIG-2,
93. The seventy-second proposed amended system of records is entitled DOL/OIG-5,
94. The seventy-third proposed amended system is entitled DOL/OLMS-1,
95. The seventy-fourth proposed amended system is entitled DOL/OLMS-2,
96. The seventy-fifth proposed amended system of records is entitled DOL/OSHA-1,
97. The seventy-sixth proposed amended system of records is entitled DOL/OSHA-9,
98. The seventy-seventh proposed amended system of records is entitled DOL/OSHA-10,
99. The seventy-eighth proposed amended system of records is entitled DOL/OSHA-14,
100. The seventy-ninth proposed amended system of records is entitled DOL/OSHA-15,
101. The eightieth proposed amended system is entitled DOL/OWCP-1,
102. The eighty-first proposed amended system is entitled DOL/OWCP-2,
103. The eighty-second proposed amended system is entitled DOL/OWCP-3,
104. The eighty-third proposed amended system is entitled DOL/OWCP-4,
105. The eighty-fourth proposed amended system is entitled DOL/OWCP-5,
106. The eighty-fifth proposed amended system is entitled DOL/OWCP-6,
107. The eighty-sixth proposed amended system is entitled DOL/OWCP-7,
108. The eighty-seventh proposed amended system is entitled DOL/OWCP-8,
109. The eighty-eighth proposed new system is entitled DOL/OWCP-9,
110. The eighty-ninth proposed amended system is entitled DOL/OWCP-10,
111. The ninetieth proposed amended system is entitled DOL/OWCP-11,
112. The ninety-first proposed amended system is entitled DOL/OWCP-12,
113. The ninety-second proposed amended system of records is entitled DOL/SOL-3,
114. The ninety-third proposed amended system of records is entitled DOL/SOL-5,
115. The ninety-fourth proposed amended system of records is entitled DOL/SOL-6,
116. The ninety-fifth proposed amended system of records is entitled DOL/SOL-9,
117. The ninety-sixth proposed amended system of records is entitled DOL/SOL-15,
118. The ninety-seventh proposed amended system of records is entitled DOL/VETS-1,
119. The ninety-eighth proposed amended system of records is entitled DOL/VETS-2,
120.
121. The ninety-ninth proposed amended system is entitled DOL/WHD-1,
122. The one hundredth proposed new system is entitled DOL/WHD-2,
123. The one hundred and first proposed amended system is entitled DOL/WHD-3,
124. The one hundred and second proposed amended system is entitled DOL/WHD-4,
125. The one hundred and third proposed amended system is entitled DOL/WHD-5,
126. The one hundred and fourth proposed amended system is entitled DOL/WHD-6,
127. The one hundred and fifth proposed amended system is entitled DOL/WHD-7,
128. The one hundred and sixth proposed amended system is entitled DOL/WHD-8,
129. The hundred and seventh proposed amended system is entitled DOL/WHD-9,
130. The hundred and eighth proposed amended system is entitled DOL/WHD-10,
In its April 8, 2002, publication, the Department gave notice of 12 routine uses that apply to all of its systems of records, except for DOL/OASAM-5, DOL/OASAM-7, and DOL/CENTRAL-3. These 12 routine uses were presented in the General Prefatory Statement for that document, and appeared at Page 16825 of Volume 67 of the
At this time, the Department proposes two new routine uses that will apply to all of its systems of records. The first proposed routine use governs the Department's ability to disclose information to a State or local government agency in charge of issuing licenses to attorneys and health care professionals. The second proposed routine use governs the Department's ability to disclose information to the United States Department of Justice and/or the Federal Bureau of Investigation that will be included in the National Instant Criminal Background Check System (NICS). The new routine uses are described in paragraphs 13 and 14 below.
The following routine uses of the records apply to and are incorporated by reference into each system of records published below unless the text of a particular notice of a system of records indicates otherwise. These routine uses
1. To disclose the records to the Department of Justice when: (a) The agency or any component thereof; or (b) any employee of the agency in his or her official capacity; or (c) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation, and the use of such records by the Department of Justice is for a purpose that is compatible with the purpose for which the agency collected the records.
2. To disclose the records in a proceeding before a court or adjudicative body, when: (a) The agency or any component thereof; or (b) any employee of the agency in his or her official capacity; or (c) any employee of the agency in his or her individual capacity; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation, and that the use of such records is for a purpose that is compatible with the purpose for which the agency collected the records.
3. When a record on its face, or in conjunction with other information, indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, disclosure may be made to the appropriate agency, whether Federal, foreign, State, local, or tribal, or other public authority responsible for enforcing, investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto, if the agency determines by careful review that the records or information are both relevant and necessary to any enforcement, regulatory, investigative or prosecutive responsibility of the receiving entity, and that the use of such records or information is for a purpose that is compatible with the purposes for which the agency collected the records.
4. To a Member of Congress or to a Congressional staff member in response to an inquiry of the Congressional office made at the written request of the constituent about whom the record is maintained.
5. To the National Archives and Records Administration or to the General Services Administration for records management inspections conducted pursuant to 44 U.S.C. 2904 and 2906.
6. To disclose to contractors, employees of contractors, consultants, grantees, and volunteers who have been engaged to assist the agency in the performance of or working on a contract, service, grant, cooperative agreement or other activity or service for the Federal Government.
7. To the parent locator service of the Department of Health and Human Services or to other authorized persons defined by Public Law 93-647 (42 U.S.C. 653(c)) the name and current address of an individual for the purpose of locating a parent who is not paying required child support.
8. To any source from which information is requested in the course of a law enforcement or grievance investigation, or in the course of an investigation concerning retention of an employee or other personnel action, the retention of a security clearance, the letting of a contract, the retention of a grant, or the retention of any other benefit, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested.
9. To a Federal, State, local, foreign, tribal, or other public authority of the fact that this system of records contains information relevant to the hiring or retention of an employee, the granting or retention of a security clearance, the letting of a contract, a suspension or debarment determination or the issuance or retention of a license, grant, or other benefit.
10. To the Office of Management and Budget during the coordination and clearance process in connection with legislative matters.
11. To the Department of the Treasury, and a debt collection agency with which the United States has contracted for collection services, to recover debts owed to the United States.
12. To the news media and the public when (1) the matter under investigation has become public knowledge, (2) the Solicitor of Labor determines that disclosure is necessary to preserve confidence in the integrity of the Department or is necessary to demonstrate the accountability of the Department's officers, employees, or individuals covered by this system, or (3) the Solicitor of Labor determines that there exists a legitimate public interest in the disclosure of the information, provided the Solicitor of Labor determines in any of these situations that the public interest in disclosure of specific information in the context of a particular case outweighs the resulting invasion of personal privacy.
13. To disclose information to a State or local government entity which has the legal authority to make decisions concerning the issuance, retention or revocation of licenses, certifications or registrations required to practice law or a health care profession, when requested in writing by an investigator or supervisory official of the licensing entity for the purpose of making a decision concerning the issuance, retention or revocation of the license, certification or registration of a named attorney or health care professional.
14. To disclose information to the United States Department of Justice and/or the Federal Bureau of Investigation for inclusion in the National Instant Criminal Background Check System (NICS), pursuant to the reporting requirements of the Brady Handgun Violence Prevention Act, as amended by the NICS Improvement Amendments Act of 2007.
The following paragraph applies to and is incorporated by reference into all of the Department's systems of records under the Privacy Act, within the category entitled,
Pursuant to the Department of Labor's Flexiplace Programs (also known as
Two systems of records are reported by the Department of Labor for all federal agencies since this Department has overall responsibility for the administration of the programs in connection with which these systems of records have been compiled. It is presumed that most, if not all, federal agencies maintain systems of records comprising a portion of the government-wide systems of records. In order to avoid duplication in reporting, the Department is reporting these systems on behalf of all agencies. The Department has control over these systems to the same extent as the Office of Personnel Management has control over systems of records containing federal employee personnel records.
1. Federal Employees' Compensation Act Files—DOL/GOVT-1: All records relating to injury or death of civilian employees or other persons entitled to benefits under the Federal Employees' Compensation Act are the records of the Office of Workers' Compensation Programs (OWCP of the Department of Labor). OWCP asserts control of these records under the provisions of 5 U.S.C. 8149 and Department regulations at 20 CFR 10.10. This system applies to copies of claim forms and other documents relating to a compensation claim maintained by the employing agency. This system, however, does not apply to other medical or related files not created pursuant to the Federal Employees' Compensation Act which may be in the possession of an agency. This system is entitled DOL/GOVT-1, Office of Workers' Compensation Programs, Federal Employees' Compensation File.
Initial determinations on requests for access, amendment or correction of records maintained in this system of records shall be made by the OWCP district office having jurisdiction over the particular claim. In addition, requests for access to copies of records maintained by the employing agency may be directed to that agency. Administrative appeals from initial determinations denying access, amendment or correction, shall be addressed to the Solicitor of Labor, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210, as required by 20 CFR 10.12.
2. Job Corps Student Records—DOL/GOVT-2: All records which contain information about students during their stay in Job Corps, from entrance to placement and/or termination, are records which must be maintained by the Job Corps Center at which the student is enrolled. The Employment and Training Administration asserts control of these records under 29 U.S.C. 2881
Initial determinations concerning access, amendment or correction of this government-wide system of records shall be made by screening contractors, Job Corps Center Directors, Job Corps National or Regional Offices. Administrative appeals shall be referred to the Solicitor of Labor, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
In addition, the following government agencies also have Government-wide Systems of Records:
Office of Workers' Compensation Programs, Federal Employees' Compensation Act File.
Most files and data are unclassified. Files and data in certain cases have Top Secret classification, but the rules concerning their maintenance and disclosure are determined by the agency that has given the information the security classification of Top Secret.
The central database for DOL/GOVT-1 is located at the DOL National office and the offices of OWCP's contractor. Paper claim files are located at the various OWCP district offices; claim files of employees of the Central Intelligence Agency are located at that agency. Copies of claim forms and other documents arising out of a job-related injury that resulted in the filing of a claim under the Federal Employees' Compensation Act (FECA) may also be maintained by the employing agency (and where the forms were transmitted to OWCP electronically, the original forms are maintained by the employing agency). In addition, records relating to third-party claims of FECA beneficiaries are maintained in the Division of Federal Employees' and Energy Workers' Compensation, Office of the Solicitor, United States Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals and/or their survivors who file claims seeking benefits under FECA by reason of injuries sustained while in the performance of duty. FECA applies to all civilian Federal employees, including various classes of persons who provide or have provided personal service to the Government of the United States, and to other persons as defined by law such as State or local law enforcement officers, and their survivors, who were injured or killed while assisting in the enforcement of Federal law. In addition, FECA covers employees of the Civil Air Patrol, Peace Corps Volunteers, Job Corps students, Volunteers in Service to America, members of the National Teacher Corps, certain student employees, members of the Reserve Officers Training Corps, certain former prisoners of war, and
This system may contain the following kinds of records: Reports of injury by the employee and/or employing agency; claim forms filed by or on behalf of injured Federal employees or their survivors seeking benefits under FECA; forms authorizing medical care and treatment; other medical records and reports; bills and other payment records; compensation payment records; formal orders for or against the payment of benefits; transcripts of hearings conducted; and any other medical, employment, or personal information submitted or gathered in connection with the claim. The system may also contain information relating to dates of birth, marriage, divorce, and death; notes of telephone conversations conducted in connection with the claim; information relating to vocational and/or medical rehabilitation plans and progress reports; records relating to court proceedings, insurance, banking and employment; articles from newspapers and other publications; information relating to other benefits (financial and otherwise) the claimant may be entitled to; and information received from various investigative agencies concerning possible violations of Federal civil or criminal law. The system may also contain information relating to certain claims under the War Hazards Compensation Act (WHCA).
The system may also contain consumer credit reports on individuals indebted to the United States, information relating to the debtor's assets, liabilities, income and expenses, personal financial statements, correspondence to and from the debtor, information relating to the location of the debtor, and other records and reports relating to the implementation of the Federal Claims Collection Act (as amended), including investigative reports or administrative review matters. Individual records listed here are included in a claim file only insofar as they may be pertinent or applicable to the employee or beneficiary.
5 U.S.C. 8101
FECA establishes the system for processing and adjudicating claims that Federal employees and other covered individuals file with the Department's OWCP seeking monetary, medical and similar benefits for injuries or deaths sustained while in the performance of duty. The records maintained in this system are created as a result of and are necessary to this process. The records provide information and verification about the individual's employment-related injury and the resulting disabilities and/or impairments, if any, on which decisions awarding or denying benefits provided under the FECA must be based.
In addition to those Department-wide routine uses set forth in the General Prefatory Statement to this document, disclosure of information from this system of records may be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is both relevant and necessary and is compatible with the purpose for which the information was collected:
a. To any attorney or other representative of a FECA beneficiary for the purpose of assisting in a claim or litigation against a third party or parties potentially liable to pay damages as a result of the FECA beneficiary's FECA-covered injury and for the purpose of administering the provisions of Sections 8131-8132 of FECA. Any such third party, or a representative acting on that third party's behalf, may be provided information or documents concerning the existence of a record and the amount and nature of compensation paid to or on behalf of the FECA beneficiary for the purpose of assisting in the resolution of the claim or litigation against that party or administering the provisions of Sections 8131-8132 of FECA.
b. To Federal agencies that employed the claimant at the time of the occurrence or recurrence of the injury or occupational illness in order to verify billing, to assist in administering FECA, to answer questions about the status of the claim, to consider rehire, retention or other actions the agency may be required to take with regard to the claim or to permit the agency to evaluate its safety and health program. Disclosure to Federal agencies, including the Department of Justice, may be made where OWCP determines that such disclosure is relevant and necessary for the purpose of providing assistance in regard to asserting a defense based upon FECA's exclusive remedy provision to an administrative claim or to litigation filed under the Federal Tort Claims Act.
c. To other Federal agencies, other Government or private entities and to private-sector employers as part of rehabilitation and other return-to-work programs and services available through OWCP, where the entity is considering hiring the claimant or where otherwise necessary as part of that return-to-work effort.
d. To Federal, State or private rehabilitation agencies and individuals to whom the claimant has been referred for evaluation of rehabilitation and possible reemployment.
e. To physicians, pharmacies, and other health care providers for their use in treating the claimant, in conducting an examination or preparing an evaluation on behalf of OWCP and for other purposes relating to the medical management of the claim, including evaluation of and payment for charges for medical and related services and supplies.
f. To medical insurance or health and welfare plans (or their designees) that cover the claimant in instances where OWCP has paid for treatment of a medical condition that is not compensable under FECA, or where a medical insurance plan or health and welfare plan has paid for treatment of a medical condition that may be compensable under FECA, for the purpose of resolving the appropriate source of payment in such circumstances.
g. To labor unions and other voluntary employee associations from whom the claimant has requested assistance for the purpose of providing such assistance to the claimant.
h. To a Federal, State or local agency for the purpose of obtaining information relevant to a determination concerning initial or continuing eligibility for FECA benefits, and for a determination concerning whether benefits have been or are being properly paid, including whether dual benefits that are prohibited under any applicable Federal or State statute are being paid; and for the purpose of utilizing salary offset and debt collection procedures, including those actions required by the Debt Collection Act of 1982, to collect debts arising as a result of overpayments of FECA compensation and debts otherwise related to the payment of FECA benefits.
i. To the Internal Revenue Service (IRS) for the purpose of obtaining taxpayer mailing addresses for the purposes of locating a taxpayer to collect, compromise, or write-off a Federal claim against such taxpayer; and informing the IRS of the discharge of a debt owed by an individual. Records from this system of records may be disclosed to the IRS for the purpose of offsetting a Federal claim from any
j. To the Occupational Safety and Health Administration (OSHA) for purpose of using injury reports filed by Federal agencies pursuant to FECA to fulfill agency injury reporting requirements. Information in this system of records may be disclosed to OSHA by employing agencies as part of any Management Information System established under OSHA regulations to monitor health and safety.
k. To contractors providing services to the Department or any other Federal agency or any other individual or entity specified in any of these routine uses or in the Department's General Prefatory Statement who require the data to perform the services that they have contracted to perform, provided that those services are consistent with the routine use for which the information was disclosed to the contracting entity. Should such a disclosure be made to the contractor, the individual or entity making such disclosure shall ensure that the contractor complies fully with all Privacy Act provisions, including those prohibiting unlawful disclosure of such information.
l. To the Defense Manpower Data Center—Department of Defense and the United States Postal Service to conduct computer matching programs for the purpose of identifying and locating individuals who are receiving Federal salaries or benefit payments and are delinquent in their repayment of debts owed to the United States under programs administered by the Department in order to collect the debts under the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365) by voluntary repayment, or by salary or administrative offset procedures.
m. To a credit bureau for the purpose of obtaining consumer credit reports identifying the assets, liabilities, expenses, and income of a debtor in order to ascertain the debtor's ability to repay a debt incurred under FECA, to collect the debt, or to establish a payment schedule.
n. To consumer reporting agencies as defined by Sec. 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with Sec. 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose of encouraging the repayment of an overdue debt, the amount, status and history of overdue debts, the name and address, taxpayer identification (SSN), and other information necessary to establish the identity of a debtor, the agency and program under which the claim arose, may be disclosed pursuant to 5 U.S.C. 552a(b)(12).
o. To a Member of Congress or to a Congressional staff member in response to an inquiry made by an individual seeking assistance who is the subject of the record being disclosed for the purpose of providing such assistance.
p. To individuals, and their attorneys and other representatives, and Government agencies, seeking to enforce a legal obligation on behalf of such individual or agency, to pay alimony and/or child support for the purpose of enforcing such an obligation, pursuant to an order of a State or local court of competent jurisdiction, including Indian tribal courts, within any State, territory or possession of the United States, or the District of Columbia or to an order of a State agency authorized to issue income withholding notices pursuant to State or local law or pursuant to the requirements of Sec. 666(b) of title 42, U.S.C., or for the purpose of denying the existence of funds subject to such legal obligation.
q. To the National Institute for Occupational Safety and Health (NIOSH), for the purpose of performing statistical analyses of injury and illness patterns to identify patterns and locations of high incidence, help devise safety and return-to-work interventions, and guide worker safety and health research. The statistical analyses performed by NIOSH will assist OWCP and OSHA in their efforts to reduce the occurrence of employment injuries, assist employees in achieving a smooth transition and return to work following employment injuries, and improve Federal employee safety and health.
r. To the General Services Administration (GSA), for the purpose of permitting GSA and its investigators to evaluate information about potential exposures to hazardous substances to non-GSA federal employees in buildings or complexes managed by GSA.
s. To investigators in employing agency Offices of Inspector General, for the purpose of assisting in the investigation of potential fraud by recipients of compensation benefits under the FECA for their agencies, and for the purpose of assisting in evaluation of compliance by employing agencies with timely filing requirements under the FECA and its implementing regulations as well as for audits related to the employing agencies' handling of their portion of the FECA claims process.
t. To a Federal, State or local agency charged with the responsibility for investigating compliance with laws relating to health and safety, for the purpose of assisting such agency in fulfilling its statutory or regulatory responsibilities.
u. For claims arising under 42 U.S.C. Sections 1701 and 1704 of the WHCA, to insurance carriers or self-insured employers and their attorneys, for the purpose of assisting in administering the claim, and for the purpose of verifying eligibility for payments to claimants and reimbursements of amounts already paid.
The amount, status and history of overdue debts, the name and address, taxpayer identification (SSN), and other information necessary to establish the identity of a debtor, the agency and program under which the claim arose, may be disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by Sec. 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with Sec. 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose of encouraging the repayment of an overdue debt.
Files are stored electronically and/or on paper.
Files and automated data are retrieved after identification by coded file number and/or Social Security Number which is cross-referenced to employee by name, employing establishment, and date and
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files. Only personnel having an appropriate security clearance may handle or process security files.
All case files and automated data pertaining to a claim are destroyed 15 years after the case file has become inactive. Case files that have been scanned to create electronic copies are destroyed after the copies are verified. Electronic data is retained in its most current form only, and as information is updated, outdated information is deleted. Some related financial records are retained only in electronic form, and destroyed six years and three months after creation or receipt.
Director for Federal Employees' Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210.
An individual wishing to inquire whether this system of records contains information about him/her may write or telephone the OWCP district office that services the state in which the individual resided or worked at the time he or she believes a claim was filed. In order for the record to be located, the individual must provide his or her full name, OWCP claim number (if known), date of injury (if known), and date of birth.
Any individual seeking access to non-exempt information about a case in which he/she is a party in interest may write or telephone the OWCP district office where the case is located, or the systems manager, and arrangements will be made to provide review of the file. Access to copies of documents maintained by the employing agency may be secured by contacting that agency's designated disclosure officials.
Specific materials in this system have been exempted from certain Privacy Act provisions regarding the amendment of records. The section of this notice entitled “Systems exempted from certain provisions of the Act,” indicates the kind of materials exempted, and the reasons for exempting them. Any individual requesting amendment of non-exempt records should contact the appropriate OWCP district office, or the system manager. Individuals requesting amendment of records must comply with the Department's Privacy Act regulations at 29 CFR 71.1 and 71.9, and with the regulations found at 20 CFR 10.12.
Information contained in this system is obtained from injured employees; beneficiaries; employing Federal agencies; other Federal agencies; physicians; hospitals; clinics; suppliers of health care products and services and their agents and representatives; educational institutions; attorneys; Members of Congress; OWCP field investigations; State governments; consumer credit reports; agency investigative reports; correspondence with the debtor including personal financial statements; records relating to hearings on the debt; and other Department systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigative material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a, provided, however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of the material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Job Corps Student Records.
None.
Screening contractors; Job Corps centers and operators (which includes contract and agency centers); Job Corps National Office; Job Corps Regional Offices; Federal Records Centers.
Job Corps applicants, students, and terminees.
Records contain information kept on the students, such as separate running accounts of the students' general biographical data; educational training, vocational training; counseling; recreational activities; dormitory logs; health (dental, medical, mental health, and drug testing records); administrative records covering data pertaining to enrollment allowances and allotments; leave records; Student Profile (ETA-640); and Center Standards Officer's disciplinary records.
Subtitle C of Title I of the Workforce Investment Act of 1998, 29 U.S.C. 2881
These records are maintained to ensure that all appropriate documents of the student's stay in Job Corps (covering application to placement and/or termination) are retained and are available to those officials who have a legitimate need for the information in performing their duties and to serve the interests and needs of the students in accordance with 29 U.S.C. 2881
These records and information in these records may be used when relevant, necessary, and appropriate:
a. To disclose photographs and student identities, with appropriate consent, to the news media, for the purpose of promoting the merits of the program.
b. To disclose information, giving the summary of a student's academic and vocational achievement and general biographical information, to placement and welfare agencies, prospective employers, school or training institutions to assist in the employment of a student.
c. To disclose information to State and Federal law enforcement agencies or other government investigators to assist them in locating a student and/or his or her family.
d. To disclose information to appropriate Federal, State, and local
e. To disclose all or any information to parents/guardians regarding students under the age of 18 for performance of parental rights and responsibilities.
f. To disclose information to Job Corps health consultants; Job Corps Center Review Board members (in appropriate disciplinary cases); State, county, and local health services personnel; family planning agencies; and physicians (public or private) to whom a student is referred for diagnosis or to receive treatment to assure continuance of proper health care, or notification and contact tracking for communicable disease control.
g. To disclose to state and local health departments all cases of infection or disease that are required to be reported to them in accordance with state and local laws. This disclosure shall be made by the Center Director.
h. To disclose information to State and local health departments regarding infected persons who are unwilling to notify their contacts at the center for the purpose of enabling the counseling of contacts.
i. To disclose information to medical laboratories necessary in identifying specimens for the purpose of testing.
j. To disclose information to social service agencies in cases of a student's termination in order to provide services such as Medicaid, housing, finance, and placement.
k. To disclose information to the Army Finance Center, Fort Benjamin Harrison, Indiana, to pay student allowances and maintain and dispose of their pay records.
l. To disclose information to Federal, State, and local agencies and to community-based organizations for the operation of experimental, research, demonstration, evaluation and pilot projects authorized under sections 156 or 169 of the Workforce Innovation and Opportunity Act, 29 U.S.C. 3206 or 3224, except that in the case of a research project, the researcher shall guarantee to protect the anonymity of all staff and students involved in any presentation of the results of such study.
m. To disclose information to contractors and agencies that operate centers or have Outreach Admissions and Placement (OAandP) issues which demonstrate a legitimate need for the information to enable them to properly administer their responsibilities in the Job Corps program.
n. To disclose to the Selective Service system names, social security number, date of birth, and address of students, to ensure registration compliance for eligible applicants applying for Job Corps training benefits.
None.
Files are stored electronically and/or on paper.
Records are retrieved by name, social security number, and date of student entry.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Job Corps centers will maintain records of terminated students for a period of 3 years unless custodianship is extended or terminated, for administrative reasons, by the regional office. Counseling records are retained on the Job Corps center for 6 months after student's termination, after which they are destroyed. After termination, a summary or copy of the counseling record is placed in the health record.
After 3 years, centers will retire the records to the appropriate Federal Records center. Students' records are subject to destruction 75 years from the birth date of the youngest student's record contained in a GSA records retirement box, with the disposal authority being NC 369-76-2, item 59. [
Director, Office of Job Corps, U.S. DOL/ETA, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from outreach/screening and placement contractors; Job Corps centers; Job Corps students; employment services; parole officers; State and local law enforcement agencies.
None.
Correspondents with the Department of Labor.
None.
At the offices of each component agency within the U.S. Department of Labor, including national, regional, and contractor offices, and at the offices of call centers serving the Department including the Department's national call center currently located at the contractor's site in Chantilly, Virginia.
Individual correspondents with the various components of the Department who contact, by telephone, U.S. Mail or other mail/delivery service, online, email, or phone bank, components within the Department for various reasons such as, but not limited to, requests for information, brochures, requests for compliance assistance, requests to subscribe to message boards, and/or to use Web site based programs. It includes callers to the Department's
This system contains comments by, or requests from, individuals and information necessary to satisfy requests for information or brochures, requests for compliance assistance, requests to subscribe to message boards, or email management systems, and/or to use Web site based programs. It includes information received from callers to the Department's call centers. Depending on the nature of the request, the file may include (but is not limited to) the following information regarding individuals who have contacted the Department: name, title, mailing address, telephone and fax number, email address, area of interest, and other information necessary to respond to a request.
5 U.S.C. 301.
To enhance information exchange by improving the availability of Departmental component information on automated systems; to facilitate sending information on compliance assistance to correspondents; to use Web site based programs; to provide usage statistics associated with the Department's public access Internet site; and to provide a framework from which to select an unbiased sample of individuals for surveys. Among other things, maintaining the names, addresses, etc. of individuals requesting data/publications will streamline the process for handling subsequent inquiries and requests by eliminating duplicative gathering of mailing information, data, and material on individuals who correspond with the Department.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name, telephone or fax number (including the telephone number from which the individual dials), email address or other identifying information in the system.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with General Records Schedule 14 item 1., current correspondent information files are updated as necessary and are destroyed after three months.
The relevant agency head for the applicable component agency within the U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from correspondents with the relevant component agency within the Department.
None.
Registrants for Department of Labor Events and Activities.
None.
At the offices of each component agency within the Department of Labor, including national, regional and contractor offices.
Individual correspondents with the various components of the Department who contact, by telephone, fax, U.S. Mail or other mail/delivery services, on-line, or email, components within the Department to register for conferences, events, activities, seminars, special interest Web sites, and programs.
This system contains information necessary to satisfy requests by individuals to register for Department conferences, events, activities, seminars, programs and special interest Web sites, including their requests for special accommodations and items such as meal preferences. Depending on the nature of the request, the file may include (but is not limited to) the following information on the individuals who have contacted the Department: name, title, mailing address, telephone and fax number, and email address.
5 U.S.C. 301.
To permit persons to register, by mail, telephone, fax, email and on-line, for Departmental conferences, events, activities, seminars, special interest Web sites, and programs; to enhance information exchange by improving the availability of Departmental component information on automated systems; to provide a framework from which to select an unbiased sample of individuals for surveys; and to maintain the names, addresses, etc. of individuals who register for conferences and seminars.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, a record from this system of records may be disclosed to private entities and/or State or other Federal agencies that co-sponsor or have a statutory interest in the subject of a particular conference or Web site. A record from this system may be disclosed to hotels, conference centers, caterers, interpreters and other entities that provide services for the purpose of holding the conferences and seminars, including services to persons with disabilities. The names and business addresses of attendees may be disclosed to conference attendees and/or the public, where appropriate. Records also may be disclosed where required by law.
None.
Files are stored electronically and/or on paper.
By name, telephone or fax number (including the telephone number from which the individual dials), email address or other identifying information in the system.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with General Records Schedule 14, Item 1, current correspondent information files are updated as necessary and are destroyed three months after the conclusion of event related activities.
The relevant agency head for the applicable component agency within the U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Correspondents with the relevant component agency within the Department.
None.
Internal Investigations of Harassing Conduct.
None.
Records on covered individuals are located at the Department of Labor, Office of the Assistant Secretary for Administration and Management and with respective agency Equal Employment Opportunity (EEO) Managers in the national office.
Current or former Department employees, Department interns, or other such agents of the Department, nationwide, who have filed a complaint or report of harassment, or have been accused of harassing conduct under the Department's Policy to Prevent Harassing Conduct in the Workplace (the Policy).
The system contains all documents related to a complaint or report of harassment, which may include the complaint, statements of witnesses, reports of interviews, investigators and agency EEO manager's findings and recommendations, final decisions and corrective action taken, and related correspondence and exhibits.
5 U.S.C. 301; 44 U.S.C. 3101.
These records are maintained for the purpose of conducting internal investigations into allegations of harassment brought against Department employees and for taking appropriate action in accordance with the Department's Policy.
In addition to those universal routine uses contained in the General Prefatory Statement to this document, disclosure of information from this system of records regarding the status of any investigation that may have been conducted may be made to the party who was subject to the harassment and to the alleged harasser when the purpose of the disclosure is both relevant and necessary and is compatible with the purpose for which the information was collected.
None.
Files are stored electronically and/or on paper.
These records are indexed by the name of the alleged victim(s) and/or the name of the individual accused of harassing conduct.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
These records are maintained for four years from the date that the investigation is closed.
Respective agencies' EEO managers, U.S. Department of Labor, 200 Constitution Ave. NW., Suite N-4123, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Individual complainants; agency EEO Managers; supervisors; management officials; employee relations staff; witness statements; Solicitor's Office staff; CRC staff, and summary reports on harassing conduct complaints.
In accordance with 5 U.S.C. 552a(k)(2), investigative material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a, provided, however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the
Department of Labor Advisory Committees Members Files.
None.
Offices in various components within the U.S. Department of Labor, at the Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210, or other Department offices.
Present and former members of advisory committees established by the Department, and candidates for a position on an advisory committee.
Records contained in this system are biographical information of individuals who are or have been members, or are being considered for membership on the committees. The records also include the biographical information regarding individuals who have been nominated for membership on advisory committees.
5 U.S.C. 301.
The records are used to ensure that all appropriate personal records of advisory committee members, and nominees, are retained and are available for official use.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, information in these records may be disclosed to the General Services Administration when necessary to comply with the Federal Advisory Committee Act.
None.
Files are stored electronically and/or on paper.
Records are retrieved by member name, nominee name, committee name, or via identification number if electronically maintained.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
After a committee term ends, its records are transferred to the National Archives and Records Administration for permanent retention.
The relevant agency head for the applicable component agency within the U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system relates to individual members of the committee and those persons making nominations to the committee.
None.
Privacy Act/Freedom of Information Act Requests File System.
None.
a. Departmental Offices in Washington, DC;
b. Regional offices of the Department.
Individuals who have submitted Privacy Act and Freedom of Information Act requests under (5 U.S.C. 552a and 552).
This system contains initial requests under the Acts, responses, and related documents.
The Privacy Act of 1974 (5 U.S.C. 552a); the Freedom of Information Act (5 U.S.C. 552); and 5 U.S.C. 301).
This system of records is maintained for various reasons as follows:
a. To process individuals' requests made under the Privacy Act and Freedom of Information Act.
b. To provide a record of communications between the requester and the agency.
c. To ensure that all relevant, necessary and accurate data are available to support any process for appeal.
d. To provide a legal document to support any process for appeal.
e. To prepare the annual reports to OMB and Congress as required by the Privacy and Freedom of Information Acts.
These records, and information in these records, may be used to disclose:
a. Information to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.
b. Information to Federal agencies (
c. Information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose of the request, and to identify the type of information requested), where necessary to obtain information relevant to a decision concerning a Privacy Act or Freedom of Information Act request.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of individual making request and by date of request.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for two years after response date if no denial was involved, and five years after response date if denial of records was involved. If there is an appeal to the Solicitor of Labor, the records are destroyed six years after final agency determination or 3 years after final court adjudication, whichever is later.
Head of agencies or component units within the Department who have custody of the records. See the appropriate Agency Official in the listing in the Appendix to this document.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment shall be addressed to the System Manager.
Information contained in this system of records is obtained from individual requester, official documents, agency officials, and other Federal agencies.
The Department of Labor has claimed exemptions from several of its other systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (5), and (6). During the course of a PA/FOIA action, exempt materials from those other systems may become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into these PA/FOIA case records, the Department has claimed the same exemptions for the records as they have in the original primary system of records of which they are a part.
Supervisor's/Team Leader's Records of Employees.
None.
Records of membership in professional licensing organizations such as those for attorneys, accountants and physicians will be maintained in the supervisor's offices and in the national and regional Human Resources Offices. Emergency addressee information may be kept at the residence of or upon the supervisor's person when appropriate.
Current employees, employees who have retired or left the office within the last 12 months, and employees who have been separated from the office or Department for more than 12 months for whom the former supervisor/team leader has retained records.
Records related to individuals while employed by the Department and which contain such information as: Record of employee/supervisor discussions, supervisor(s)/team leader(s) observations, supervisory copies of officially recommended actions, reports of Federal Telecommunications System telephone usage containing call detail information, awards, disciplinary actions, emergency addressee information, flexiplace records, reports of on-the-job accidents, injuries, or illnesses, correspondence from physicians or other health care providers, training requests, requests for regular leave, advanced leave, family and medical leave, and records of membership in professional licensing organizations such as those for attorneys, accountants and physicians. The system also contains records relating to requests for reasonable accommodation and/or leave, including medical documents submitted by employees, as well as reports and records by the PHS physicians who have reviewed the accommodation requests. The system also contains labor relations materials such as performance improvement plans, reprimands, suspensions of less than 14 days, leave restrictions and related materials.
5 U.S.C. 301, 1302, 2951, 4118, Reorganization Plan 6 of 1950, and the Civil Service Reform Act of 1978. The Rehabilitation Act and the Americans with Disabilities Act.
To maintain a file for the use of supervisor(s)/team leader(s) in performing their responsibilities and to support specific personnel actions regarding employees.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, the following routine uses apply to this system of records:
a. Selected information may be disclosed at appropriate stages of investigation and adjudication to the Department's Civil Rights Center, Merit Systems Protection Board, Office of Special Counsel, Federal Labor Relations Authority, Equal Employment Opportunity Commission, arbitrators, or the courts for the purposes of satisfying requirements related to investigation of or litigation related to alleged discrimination, prohibited personnel practices, and unfair labor practices.
b. Records relating to a request for a reasonable accommodation may be referred to PHS or other physicians for their review and evaluation of the request.
c. Data may be disclosed to medical providers for the purpose of evaluating sick leave absences based upon illness or injury.
d. Information may be disclosed to professional licensing organizations such as those for attorneys, accountants, and physicians for the purpose of confirming the membership status of the employee.
None.
Records are maintained in electronic and/or paper files.
Files are retrieved by name of employee or other identifying information.
Access by authorized personnel only. Computer security safeguards are used
Records are maintained on current employees. Review annually and destroy superseded or obsolete documents, or destroy file relating to an employee within 1 year after separation or transfer in accordance with General Records Schedule 1 Item 18a.
All supervisor(s)/team leader(s) having responsibility for performance management plans, performance standards, or ratings.
Inquiries should be mailed to the applicable System Manager.
A request for access should be mailed to the applicable System Manager.
A petition for amendments should be mailed to the applicable System Manager
Information contained in this system is obtained from the individual, supervisor(s)/team leader(s), agency officials, medical providers, co-workers, and professional licensing organizations such as those for attorneys, accountants and physicians.
None.
DOL Employee Conduct Investigations.
None.
The offices of each component agency within the U.S. Department of Labor, including the National and Regional offices.
Employee(s) against whom any allegations of misconduct or violations of law have been made.
Investigative report(s), sworn affidavits, written statements, time and attendance records, earnings and leave statements, applications for leave, notifications of personnel actions, travel vouchers, performance appraisals, interviews and other data gathered from involved parties and organizations which are associated with the case.
5 U.S.C. 301.
To investigate allegations of misconduct or violations of law.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name or case file number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are maintained on current employees. Review annually and destroy superseded or obsolete documents, or destroy file relating to an employee within 1 year after separation or transfer in accordance with General Records Schedule 1 Item 18a.
The relevant agency head for the applicable component agency within the U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC 20210.
Inquiries should be sent to the applicable System Manger.
A request for access shall be mailed to the applicable System Manager.
A petition for amendment should be mailed to the applicable System Manager.
Incident reports submitted by employees or members of the general public; statements by subject and fellow employees; and other investigative reports.
None.
DOL Appeals Management System (AMS)
None.
Office of the Boards and their Information Technology (IT) service provider(s).
Parties involved in appeals proceedings before the Administrative Review Board (ARB), Benefits Review Board (BRB), and Employees' Compensations Appeals Board (ECAB), collectively referred to as the Boards.
Records contain information assembled in case files pertaining to appeals to the Boards with respect to claims of employees for benefits under various statutes and programs.
5 U.S.C. 301; The Privacy Act of 1974 (5 U.S.C. 552a); 30 U.S.C. 901-62 (1982); 33 U.S.C. 901-50 (1982); 42 U.S.C. 1651-54 (1982); 36 DC Code 501-04 (1973); 5 U.S.C. 8171-73 (1982); 42 U.S.C. 1701-17 (1982); Surface Transportation Assistance Act, 49 U.S.C. 31105; 29 CFR part 1978; Energy Reorganization Act of 1974, as amended, 42 U.S.C. 5851 (1988); Clean Air Act, 42 U.S.C. 7622 (1988); Water Pollution Control Act, 33 U.S.C. 1367 (1988); Solid Waste Disposal Act, 42 U.S.C. 6971(a) (1988); Safe Drinking Water Act, 42 U.S.C. 300j-9(1988); Toxic Substances Control Act, 15 U.S.C. 2622 (1988); Comprehensive Environmental Response Compensation and Liability Act, 42 U.S.C. 9610 (1988); Comprehensive Employment and Training Act, as amended, 29 U.S.C. 801(Supp. V 1981); 20 CFR part 627; Workforce Innovation and Opportunity Act, 29 U.S.C. 3101
Records are maintained for use in adjudication of appeals.
Disclosure outside the Department of Labor may be made to federal courts. The Boards decisions are sent to commercial publishing companies for publication, and are also placed on the respective Board's Internet Web site.
None.
Files are stored electronically and/or on paper.
Records are retrieved by the Boards' docket number, Office of Administrative Law Judges (OALJ) number, Office of Workers' Compensation Programs (OWCP) number and claimant's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
The Board retains the case file until it renders a decision on the appeal. The case file is then returned to the appropriate lower, adjudicatory entity (
Clerk of the Board, Benefits Review Board, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals requesting information pertaining to them should send a written and signed request to the System Manager.
A request for access may be addressed to the System Manager. The request must be in writing and be signed by the requester.
A petition for amendment shall be addressed to the System Manager.
Records in the system include information submitted by claimants, employers, carriers, and other persons involved in appeals proceedings, as well as by the Government.
None.
Staff Time Utilization System.
None.
Bureau of Labor Statistics Washington, DC 20212.
Regional Office (R.O.) BLS employees.
Records include name, pay period, hours worked, units accomplished by PAS code for functions such as data collection, quality assurance, training, and other activities.
5 U.S.C. 301.
STU data is used in the development of cost models for Bureau survey work. Codes define program and sub-program areas, work activities, and work locations. The data is used to track productivity and time usage.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by a data field, such as name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Records are retained by fiscal year, in accordance with BLS Records Schedule N1-257-86-4.
Chief, Division of Business Operations, Office of Field Operations, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager. Provide the name and dates of employment.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Employee information contained in this system is obtained from the
None.
Automated Training Request Application (ATRA).
None.
Bureau of Labor Statistics, National Office.
BLS employees who take training.
Employee name, employee organization, course taken, course start date, course end date, total hours for course, course completion date, and course fee.
5 U.S.C. 301.
The records are maintained to enable BLS to allocate costs of training to appropriate organization within BLS and managers and employees to track courses taken by employees.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by course title, course number, name of employee attending course, or other identifying codes.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files. Network passwords are necessary to access records. Access levels are created within automated systems to restrict unauthorized access to system utilities.
Records are retained for 5 years or when superseded or obsolete, whichever is sooner, in accordance with BLS Records Schedule N1-257-88-1.
Chief, Workforce Development and Training Branch, Division of Human Resources and Organization Management, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from applications for employees, training forms such as SF-182, certificates of course completion, BLS routine administrative files, or other application forms BLS may designate.
None.
Routine Administrative Files.
None.
Bureau of Labor Statistics, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
BLS employees, BLS contractors, and visitors to the Postal Square Building.
Several groups of records exist: ID card records, employee location records, separations database records, Postal Square Building Visitor system records, Postal Square Building Phone system records, facility service requests records, transit subsidy records, government credit card records, cardkey security records, print and duplication records, and emergency contact records.
5 U.S.C. 301.
To record and track routine administrative data, maintain security, manage the facility, plan expenditures, maintain an employee locator system, and maintain emergency contact information.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual's name, Social Security Number, or other information in the system.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained one to four years, in accordance with BLS Records Schedule N1-257-88-1, BLS Records Schedule N1-257-06-2, and the National Archives and Records Administration (NARA) General Records Schedule (GRS) 1-4, 6, 9, 11-13, 18, and 20.
Chief, Division of Administrative Services, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Chief, Division of Information Services, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the individual requester, official documents, agency officials, and other federal agencies.
None.
Commissioner's Correspondence Control System.
None.
Bureau of Labor Statistics, Washington, DC 20212.
Individuals from whom correspondence is received in the Commissioner's Office of the Bureau of Labor Statistics.
Information about correspondence and the originators including the name of the sender, subject of the correspondence, name of the individual, office instructed to prepare a response, control number, dates, and related information.
5 U.S.C. 301.
To record the receipt of correspondence, monitor the handling of correspondence, and facilitate a timely response to correspondence.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name, control number, office assigned response, dates.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years, in accordance with BLS Records Schedule N1-257-88-1.
Chief, Division of Information Systems, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from correspondence received in the Commissioner's Office.
None.
Mainframe User ID Database.
None.
Offices of the Bureau of Labor Statistics (BLS) in Washington, DC.
BLS employees, BLS contractors, state agencies employees.
Records include name, ID to access system, office address and phone number, and account number.
5 U.S.C. 301.
To assign and maintain ID numbers, mainframe computer uses, locate mainframe users, and run an accounting program.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by any of the fields listed in the Categories of Records in the System Section.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are reviewed at the beginning of each fiscal year, and inactive IDs from the previous year are deleted.
Chief, Division of Technology Measurement and Strategic Initiatives, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from BLS mainframe users.
None.
National Longitudinal Survey of Youth 1979 (NLSY79) Database.
None.
Maintained at the offices of a Bureau of Labor Statistics (BLS) contractor and
A sample of the general population who were ages 14-21 on December 31, 1978 (referred to as respondents), with over representation of blacks, Hispanics, economically disadvantaged whites, and persons serving in the military.
Records include, but are not limited to, name, social security number, control number, marital history, education, job history, unemployment history, military service, training history, family planning, child health history, alcohol use, drug use, reported police contacts, anti-social behavior, assets and income, school records, Government assistance program participation, childhood residence, child development outcomes, expectations, history of parent/child relationship, time use, time spent on child care and household chores, immigration history, and Armed Services Vocational Aptitude Battery scores.
29 U.S.C. Sec. 2.
To serve a variety of policy-related research interests concerning the labor market problems of youth. Data are used for studies such as (but not limited to): Diffusion of useful information on labor, examination of employment and training programs, understanding labor markets, guiding military manpower and measuring the effect of military service, analysis of social indicators and measuring parental and child inputs and outcomes.
BLS may release records to a contractor to compile data which are not individually identifiable for use by the general public and federal agencies who are conducting labor force research. Under written agreement to protect the confidentiality and security of identifying information, BLS may provide potentially identifying geographic information to researchers to conduct specific research projects which further the mission and functions of BLS. The records also may be disclosed where required by law. Items 3, 4, 7, 8, 9, 10, and 11, 12, 13, and 14 listed in the General Prefatory Statement to this document are not applicable to this system of records.
None.
Files are stored electronically and on paper.
Files are stored electronically and/or on paper.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained permanently, in accordance with BLS Records Schedule N1-257-11-1.
Program Manager, NLS Youth 1979 Cohort Study, Office of Employment and Unemployment Statistics, Room 4945, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals who have participated in the survey.
None.
BLS Behavioral Science Research Laboratory Project Files.
None.
Bureau of Labor Statistics, Washington, DC.
Individual respondents who participate in studies.
Records include respondent's name, name of study, biographic/personal information on the respondent, and test results and observations.
29 U.S.C. Sec. 2.
Biographic/personal information is used by BLS to select participants for studies. Test results and observations are used by BLS to better understand the behavioral and psychological processes of individuals, as they reflect on the accuracy of BLS information collections.
None, except for those universal routine uses listed in the General Prefatory Statement to this document with the following limitations: The Routine Uses listed at paragraphs 3, 4, 7, 8, 9, and 11 in the General Prefatory Statement to this document are not applicable to this system of records. The records also may be disclosed where required by law.
None.
Files are stored electronically and/or on paper.
Files are retrieved by respondent's name, study title or participant identification number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for one to three years, in accordance with BLS Records Schedule N1-257-09-02.
Director, Behavioral Sciences Research Center, Office of Survey Methods Research, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from respondents.
None.
National Longitudinal Survey of Youth 1997 (NLSY97) Database.
None.
Maintained at the offices of a Bureau of Labor Statistics (BLS) contractor and BLS offices in Washington, DC and Chicago, IL.
A sample of the general population who were ages 12-16 on December 31, 1996 (referred to as respondents), with over representation of blacks, Hispanics, and disabled students.
Records include, but are not limited to, name, social security number, control number, marital history, education, job history, unemployment history, military service, training history, fertility/family planning, child health history, alcohol use, drug use, reported police contacts, anti-social behavior, assets and income, school records, Government assistance program participation, childhood residence, child development outcomes, expectations, history of parent/child relationship, time use, time spent on child care and household chores, immigration history, and Armed Services Vocational Aptitude Battery scores.
29 U.S.C. Sec. 2.
To serve a variety of policy-related research interests concerning the school-to-work transition and the labor market problems of youth. Data are used for studies such as (but not limited to): diffusion of useful information on labor, examination of employment and training programs, understanding labor markets, analysis of social indicators, measuring parental and child input and outcomes, norming the Department of Defense Armed Services Vocational Aptitude Battery in its computerized adaptive form, and creation of norms for the Department of Defense Interest Measure.
BLS may release records to a contractor to compile data which are not individually identifiable for use by the general public and federal agencies who are conducting labor force research. Under written agreement to protect the confidentiality and security of identifying information, BLS may provide potentially identifying geographic information to researchers to conduct specific research projects which further the mission and functions of BLS. The records also may be disclosed where required by law. Items 3, 4, 7, 8, 9, 10, 11, 12, 13, and 14 listed in the General Prefatory Statement to this document are not applicable to this system of records.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name or control number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data, and locked locations for paper files.
Records are retained permanently, in accordance with BLS Records Schedule N1-257-11-1.
Program Manager, NLS Youth 1997 Cohort Study, Office of Employment and Unemployment Statistics, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals who have participated in the survey.
None.
Postal Square Building Parking Management Records.
None.
Bureau of Labor Statistics (BLS), Washington, DC.
All individuals assigned or applying for assignment of parking privileges in the Postal Square Building, Washington, DC.
This system includes the following information on all individuals assigned or applying for parking privileges in the Postal Square Building: Name of driver and rider(s), office building and room number, office telephone number, employing agency home address including city, State and zip code, federal service computation date, handicap certification, automobile license numbers, make and year of car, permit number (if assigned parking privileges), category of assignments, estimated times of arrival and departure, and whether the applicant is in or out of the zone of special consideration.
5 U.S.C. 301.
The information is used by the BLS in the administration of the Postal Square Building vehicle parking and car pool programs.
Disclosure of information may be made to other government agencies to compare names of car pool members. For verification and, as a service to car pool seekers, the name of each driver and rider, permit number office telephone number and address of the driver and rider, home address, will be
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual's name, permit number or other information in the system.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for three months, in accordance with the National Archives and Records Administration (NARA) General Records Schedule (GRS) 11, Item 4a [
Chief, Division of Administrative Services, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual requesters' applications.
None.
Customer Information Files.
None.
Offices in the Bureau of Labor Statistics (BLS), Washington, DC and in each of the BLS Regional Offices.
Individuals (customers) requesting BLS information.
Information necessary to satisfy customers' requests and enhance service to customers. Depending on the nature of the request, may include (but is not limited to) name, occupation, organization name, mailing address, telephone and fax numbers, information requested, electronic mail addresses, registration keys, and dates.
5 U.S.C. 301.
To enhance customer service by improving the availability of BLS information on automated systems, to facilitate providing information about BLS and its data products to customers with corresponding interests, and to allow BLS staff to better understand who our customers are and what they're interested in. Maintaining the names, addresses, etc. of customers requesting BLS data/publications will enable BLS to streamline the process for handling subsequent customer inquiries and requests by eliminating duplicative gathering of mailing information. Maintaining electronic mail addresses and provided organization name allows BLS to proactively contact customer of problems with data requests such as `run away queries' ensuring fairer access to all BLS data customers. Another purpose is to inform customers of new features, changes to existing features or changes in the conditions of use of the files.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Information is stored electronically and/or on paper.
Files are retrieved by name, email address, telephone (including the telephone number from which the customer dials), or other identifying information in the System.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Email addresses remain on mailing lists until the customer requests removal from the list, or when the email bounces back. Other PII is deleted from the database 90 days after the customer's last date of inquiry. Registration keys expire after 366 days and associated records are deleted unless a customer registers again for another year.
Associate Commissioner for Publications and Special Studies, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Associate Commissioner for Field Operations, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Chief, Division of Enterprise Web Systems, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Managers.
A request for access should be mailed to the System Managers.
A petition for amendment should be mailed to the System Managers.
Information contained in this system is obtained from subject of the record.
None.
Fellowship Applicants and Recipients Files.
None.
Offices in the Bureau of Labor Statistics (BLS) National Office.
Applicants and recipients of fellowship awards (
Records include the individual's name, school transcripts, work address and telephone number, home address and telephone number, and biographical information, applications, research proposals and related papers, test results, and other documents such as correspondence with the individual.
5 U.S.C. 301.
To assure that the appropriate records on fellowship awards are maintained and are available for official use.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data, and locked locations for paper files.
Records are retained on a permanent basis. Records are transferred to the Federal Records Center when five (5) years old. They are offered to National Archives and Records Administration in ten (10) year blocks, when the most recent record is twenty (20) years old. BLS Record schedule N1-257-09-02.
Associate Commissioner for Survey Methods Research, Postal Square Building, 2 Massachusetts Ave. NE., Washington, DC 20212.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from applicants and award recipients, references, the Education Testing Service, educational institutions supplying transcripts, review records, and administrative data developed during the selection process and/or award tenure.
None.
Data Sharing Agreements Database (DSA).
None.
Offices of the Bureau of Labor Statistics (BLS).
Applicants and recipients of BLS data sharing agreements who are granted access to non-public BLS data files. Individuals may be federal employees or private individuals designated as “agents” under the Confidential Information Protection and Statistical Efficiency Act (CIPSEA).
Records include individuals' names, addresses, telephone numbers, email addresses, organizational affiliation, project title, and project description. The records also include the name, addresses, telephone numbers, and email addresses of the signing official for the agreement at the individual's organization.
5 U.S.C. 301.
To assure that appropriate records on data sharing agreements are maintained and are available for official use.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 5 years after agreement has become inactive (
Data Sharing Agreement Coordinator, Division of Management Systems, Office of Administration, Bureau of Labor Statistics, Postal Square Building, 2 Massachusetts Avenue NE., Washington DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from applicants and recipients of BLS data sharing agreements who request and/or are granted access to non-public BLS data files.
None.
The Employee Retirement Income Security Act of 1974 (ERISA) Filing and Acceptance System 2—One Participant Plans Filing a Form 5500SF.
None.
Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration (EBSA), 200 Constitution Avenue NW., Washington, DC 20210.
The EFAST2 servers are located at the sites of contractors, who operate the system on behalf of the Department of Labor. Contractors own the system hardware and communications and the Department of Labor owns the custom software and data.
Individuals who have filed a Form 5500SF and checked the one-participant plan box in Part I item A of the form.
Data includes all fields on the Form 5500SF and any included schedules or attachments.
29 U.S.C. 1021
ERISA and provisions of the Internal Revenue Code require certain employee benefit plans to submit information annually to the Federal Government (EBSA, Internal Revenue Service (IRS), and Pension Benefit Guaranty Corporation (PBGC)) through the Form 5500 series. One-participant plan filers are given the option to file Form 5500EZ on hard copy directly to the IRS or they may file electronically through EFAST2 using the Form 5500SF.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, EFAST2 data is used for internal reporting by EBSA and furnished to three other Government Agencies: The Internal Revenue Service (IRS), the Social Security Administration (SSA), and PBGC.
Consistent with DOL's information sharing mission, information stored in EFAST2 may be shared with other DOL components, as well as appropriate Federal, State, local, tribal, foreign, or international government agencies. This sharing will only take place after it is determined that the receiving component or agency has a need to know the information to carry out functions consistent with the routine uses set forth in this system of records notice. The IRS uses one-participant Form 5500-SF data to administer requirements of I.R.C. 6058(a) and 6059(a).
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
The EFAST2 Record Schedule (N1-317-11-1) was approved by National Archives and Records Administration on May 10, 2011. All records will be maintained in accordance with the approved schedule.
EFAST2 Program Manager, Office of Technology and Information Services, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from one participant filers who file a Form 5500SF electronically.
None.
EBSA Correspondence Files.
None.
Office of Exemption Determinations, Office of Regulations and Interpretations, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Correspondents.
Records includes letters requesting information, advisory opinions, FOIA requests, Privacy Act Requests, or submitting comments, the Department's replies thereto, and related internal memoranda, including notes pertaining to meetings and telephone calls. Medium sensitivity due to the possibility of SSN provided with correspondence, though not requested by this Agency.
29 U.S.C., 1134 and 1136.
These records are maintained to take action on or to respond to a complaint, inquiry or comment concerning certain aspects of Title I of ERISA or to respond to requests under FOIA or Privacy Act and to track the progress of such correspondence through the office.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by an individual name or control number.
Access by authorized personnel only. Computer security safeguards are used
In accordance with the Record Schedule (N1-317-02-2), if there is litigation in the underlying matter, the file is retained for three years after the litigation is completed. Requests for advisory opinions and the replies thereto are retained indefinitely, requests for information are destroyed one year after completion of project. Electronic index is destroyed six years after date of last entry.
Director, Office of Exemption Determinations, Director, Office of Regulations and Interpretations Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from correspondence from individuals and responses thereto.
None.
Technical Assistance and Inquiries System.
None.
Electronic information is housed in Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210. Ancillary hard copy records such as incoming/outgoing correspondence are housed in the regional or district office that handled the inquiry.
Correspondents and callers requesting information and assistance; Correspondents and callers requesting information from the EBSA Public Disclosure Room.
Written and telephone inquiries from employee benefit plan participants, plan professionals and congressional offices regarding all aspects of pension and welfare benefit plans and records which provide the status of individuals under these plans. System also contains referrals from the Department of Health and Human Services (HHS) and state agencies related to health care benefit plans. Medium sensitivity due to the possibility of the record containing social security numbers, personal financial data or personal medical information. Includes names, addresses and other contact information.
29 U.S.C. 1134 and 1136.
These records are used to take action on or respond to inquiries from Members of Congress and private citizens or referrals from the HHS or state insurance agencies.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, records in this system may be disclosed to the relevant employee benefit plan administrator, third party administrator, insurance carrier or other party as necessary to facilitate a resolution to the circumstance presented by the individual seeking assistance from the agency; or to the referring component within HHS or referring state agency in order to report on the status or final disposition of the referral. Information disclosed will be provided periodically via electronic reports.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of individual, telephone number, email address, company, Employer Identification Number, or HHS or state agency referral number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Manual records are maintained for one year after closing the file, then destroyed. Computer files are maintained for the same period as the manual records or are kept indefinitely in the database and deleted when no longer needed, whichever is later, pursuant to General Records Schedule 14 (Information Services).
In the National office: Director, Office of Outreach, Education, and Assistance, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210. In the Regional offices: Regional Director. In the District Offices: District Supervisor.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Individuals or Members of Congress seeking technical assistance, information, or referrals from HHS or state agencies.
Records or portions of records containing personally identifiable information for individuals other than the subject of the file shall be exempt from disclosure under the Privacy Act. Records or portions of records comprising information that is exempt from disclosure under Specific Exemption (k)(2) or Subsection (d)(5).
Public Disclosure Request Tracking System.
None.
U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Public Disclosure Room, U.S. Department of Labor, Washington, DC 20210.
Individuals who request documents.
Data regarding the request for copies of plan filings made with the Department of Labor or the Internal Revenue Service. Data includes individual requester's name, street address, city, state, zip code, and telephone number, the Employer Identification Number and Plan Number of the plan for which information has been requested and the documents requested.
29 U.S.C. 1021
These records are used by authorized EBSA disclosure personnel to process requests made to the Public Disclosure Room and by EBSA managers to compile statistical reports regarding such requests for management information purposes.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual name, control number or EIN/PN of requested plan.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained in accordance with General Records Schedule 14.
Director of the Office of Outreach, Education and Assistance, Employee Benefits Security Division, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals requesting documents from the Public Disclosure Room.
None.
EBSA Debt Management System.
None.
Office of Program Planning, Evaluation and Management, and Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals and/or companies who have been assessed fines or penalties under provisions of ERISA sections 502(c)(2), 502(i) and 502(l).
Records containing data regarding the assessment of fines/penalties under provisions of ERISA sections 502(c)(2), 502(i) and 502(l). Data includes individuals and/or companies name, street address, city, state, zip code, telephone number, taxpayer identification number or company EIN, and transaction information (
29 U.S.C. 1132, 31 U.S.C. 3711(a) and 29 CFR part 20.
Records are used for maintaining an ongoing Debt Collection/Management Program requiring tracking and accounting for assessed fines/penalties, determination of collection status and assignment of delinquent debts to Treasury and private collection agencies.
Relevant records may be disclosed to Treasury or private collection agencies in order for them to collect debts subject to this program.
Records may be disclosed for delinquent accounts.
Files are stored electronically and/or on paper.
Debt Collection/Management data is retrieved by the EBSA-assigned case number and cross-reference debtor taxpayer identification number or company EIN.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with Records Schedule N1-317-92-1, records are retained for two years after the case is closed or until expiration of applicable statute of limitations, whichever occurs earlier.
Administrative Officer, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Investigators and auditors.
None.
EBSA Consolidated Training Record.
None.
Office of Program Planning, Evaluation and Management, Employee Benefits Security Administration (EBSA), 200 Constitution Avenue NW., Washington, DC 20210.
Employees of the Employee Benefits Security Administration.
Records reflect educational attainment levels (to include areas of study), professional certifications, date of accession to EBSA, in-house (EBSA) technical training courses, Federal Law Enforcement Training Center programs, and Office of Personnel Management classes completed by employees of the Employee Benefits Security Administration.
5 U.S.C. 301.
These records are used to identify which employees have completed certain courses, and the number of employees awaiting training. This information, in the aggregate, helps project the number of courses to schedule for succeeding years. The prior formal education information is used to respond to Congressional and other inquiries regarding the educational attainment level of our workforce. Finally, a combination of the data elements is used to identify employees with specific educational backgrounds and current skill levels who may be considered as instructors for the several agency-sponsored courses.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically.
Files are retrieved by individual employee name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
In accordance with General Records Schedule 1, records are retained for 5 years or when no longer needed, whichever is later.
EBSA Training Coordinator, Office of Program Planning, Evaluation and Management, EBSA, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Individual employees, SF171s, or resume(s) submitted at time of accession to EBSA and individual training course records.
None.
Office of Enforcement Correspondence Tracking System, DFO CTS.
None.
Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration, (EBSA), 200 Constitution Avenue NW., Washington, DC 20210.
Correspondents, such as employee benefit plan professionals, and other individuals involved in investigations and enforcement actions.
Information including plan name, plan administrator's name, service provider's name, trustee's name, and names of other individuals (such as the named defendants) involved in investigations and enforcement actions. Letters from the general public requesting information under the Freedom of Information Act or relating to all aspects of pension and welfare benefit plans covered by Title I of the Employee Retirement Income Security Act of 1974 (ERISA), the status of individuals under these plans, the Department's replies to the inquiries, and related internal memoranda, including notes pertaining to meetings and telephone calls.
29 U.S.C. 1134 and 1136.
This system of records is used to track the progress of correspondence through the Office of Enforcement, including a record of action taken on or response to an inquiry received from the general public or others, and to access investigative information related to field office correspondence regarding investigations instituted by the Department of Labor (DOL) under the Title I of the Employee Retirement Security Act of 1974 (ERISA). The investigative files are used in the prosecution of violations of law, whether civil, criminal or regulatory in nature.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a record from this system of records may be disclosed, subject to the restrictions imposed by various statutes and rules, such as the Privacy Act, to a department or agency of the United States, or to any person actually affected by any matter which may be the subject of the investigation; except that any information obtained by the Secretary of Labor pursuant to section 6103(g) of Title 26 shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the plan, service provider name, trustee name, the name of another individual (such as the named defendant) involved in the investigation or enforcement action, or the name of the correspondent. Files are also retrieved by case number and the plan's employer identification number (EIN).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with the Records Schedule, N9-317-00-02, records are retained for seven years. The electronic database files are deleted when no longer needed.
Director of Enforcement, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be made to the System Manager.
A request for access should be made to the System Manager.
A petition for amendment should be mailed to the System Manager.
Correspondence from individuals, individual complaints, witnesses, or interviews conducted during investigations or plan participant or beneficiary information obtained during investigations on cases opened in the Office of Enforcement or in any of the EBSA field offices.
a. Criminal Law Enforcement: In accordance with subsection 552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for criminal law enforcement purposes in EBSA's Office of Enforcement or its field offices is exempt from subsections (c)(3), and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a.
EBSA Enforcement Management System (electronic); EBSA Civil Litigation Case Tracking System (paper); EBSA Criminal Case Information System (paper).
None.
Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210; Office of Enforcement, EBSA, U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC 20210, and all EBSA field offices as listed in the Appendix A to this document.
Plan administrators, trustees, and those individuals who provide advice or services to employee benefit plans, and other individuals (such as the named defendants) involved in investigations and enforcement actions.
Records tracked electronically includes fields such as plan name, plan administrator's name, service provider's name, trustee's name, and names of other individuals (such as the named defendants) involved in investigations and enforcement actions. Case notes are entered to document case activity during the investigative process.
In addition to an electronic database, paper case files are generated for enforcement activities, both civil and criminal.
29 U.S.C. 1134 and 29 U.S.C. 1136.
This system of records is used to access information related to case files involving investigations instituted by the Department of Labor (DOL) under the Title I of the Employee Retirement Security Act of 1974 (ERISA). The investigative files are used in the prosecution of violations of law, whether civil or criminal in nature.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a record from this system of records may be disclosed, subject to the restrictions imposed by various statutes and rules, such as the Privacy Act, to a department or agency of the United States, or to any person actually affected by any matter which may be the subject of the investigation; except that any information obtained by the Secretary of Labor pursuant to section 6103 of Title 26 shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury. Consistent with DOL's enforcement mission, records of individuals debarred under 29 U.S.C. 1111 will be posted on EBSA's Web site.
None.
Files are stored electronically and/or on paper.
Records are retrieved from the electronic database by the name of the plan, service provider name, trustee name, or the name of another individual (such as the named defendant) involved in the investigation or enforcement action. Records are also retrieved by case number, the plan's employer identification number (EIN) and plan number (if known), or service provider or trustee EIN.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with the Records Schedule, NCI-317-00-02, records are retained for one year after case completion by voluntary compliance or litigation, or related actions following voluntary compliance or litigation. After one year, the case files are transferred to the Federal Records Center for seven (7) years and then destroyed. The electronic database files are retained permanently.
In the national office: Director of Enforcement, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210. In the Regional offices: The Regional Director (as listed in the Appendix to this document; in the District Offices:
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual complaints, witnesses, or interviews conducted during investigations or plan participant or beneficiary information obtained during investigations on cases opened in the Office of Enforcement or in any of the EBSA field offices.
a. Criminal Law Enforcement: In accordance with subsection 552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for criminal law enforcement purposes in EBSA's Office of Enforcement or its field offices is exempt from subsections (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a.
Office of Exemption Determination (OED) ERISA Section 502(l) Files; OED Case Tracking System.
None.
Office of Exemption Determinations and Office of Technology and Information Services, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals who have petitioned the Secretary of Labor for relief from the monetary penalties imposed under ERISA Sec. 502(l).
Letters from individuals seeking relief from the 502(l) penalties, attachments supporting their petitions for relief, the Department's replies thereto, and related internal memoranda, including notes pertaining to meetings and telephone calls. Includes names and addresses.
29 U.S.C. 1108 and 29 U.S.C. 1135.
These records are maintained to document the Department's response to petitioners' requests for relief from the section 502(l) penalties. Such penalties are imposed upon those who are found to have violated the fiduciary and prohibited transaction provisions of Part 4 of Title I of ERISA.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of requestor and/or control number using a computerized index.
Access to these records is limited to authorized EBSA staff. Computer system is password protected and accessible only to personnel creating the database.
In accordance with Records Schedule Number N1-317-93-1, manual records are maintained in the Office of Exemption Determinations for up to two years after case closure, then transferred to the Federal Records Center for retention for an additional 23 years. Electronic records are destroyed on the same schedule as the manual files or when no longer needed, whichever is later.
Director, Office of Exemption Determinations, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Suite 400, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals requesting a 502(l) exemption and the responses thereto.
None.
Form 5500EZ Filings.
None.
U.S. Department of Labor, Employee Benefits Security Administration, Attention: EFAST 3833 Greenway Drive, Lawrence, KS 66046-1290.
Individuals who have filed a Form 5500EZ with the Department of Labor prior to January 1, 2010.
Forms 5500EZ filed with the Department of Labor prior to January 1, 2010.
26 U.S.C. 6058(a); 29 U.S.C. 1134 and 1136.
To satisfy the reporting and disclosure requirements mandated by the Employee Retirement Income Security Act of 1974, as amended, and the Internal Revenue Code.
None, except for those routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved using any Form 5500-EZ field, including plan administrator name, employer identification number, plan number; and plan year.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
The EFAST2 Record Schedule (N1-317-11-1) was approved by National Archives and Records Administration on May 10, 2011. All records will be maintained in accordance with the approved schedule.
EFAST2 Program Manager, Office of Technology and Information Services, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals filing Form 5500EZ filings.
ERISA Filing and Acceptance System 2 Internet Registration Database (IREG).
None.
Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration (EBSA), 200 Constitution Avenue NW., Washington, DC 20210.
EFAST2 is located at the site of contractors, who operate the system on behalf of the Department of Labor. Contractors own the system hardware and communications and the Department of Labor owns the custom software and data.
Individuals who file/sign Form 5500 and Form 5500-SF electronically, third party software developers, and certain Government staff.
Records includes the individual filer's name, street address, city, state, zip code, telephone number, fax number, email address, company name, password, user type, security challenge questions and answers, User ID, and PIN.
29 U.S.C. 1021
The Internet registration (IREG) application allows the public to electronically register on the EFAST2 Web site and obtain electronic filing credentials (User ID and PIN). These credentials are required for accessing restricted portions of the EFAST2 Web site, signing the Form 5500 or Form 5500-SF, and issuing authenticated web service requests to the EFAST2 system. EFAST2 will use the registration database to restrict Web site access, authenticate web service requests, validate filing signatures upon receipt of each filing, and to facilitate official correspondence and compliance assistance outreach. The IREG Database stores the electronic filing participant credentials. The IREG Database is populated by the IREG application.
Filing credentials are used by the public to electronically file Form 5500 and/or Form 5500-SF through the EFAST2 Web Portal. Filing credentials are also used as electronic signatures on Form 5500 and/or Form 5500-SF filings. Filing credentials are tied to the registration data to provide the Government with contact information (
None.
The EFAST2 Record Schedule (N1-317-11-1) was approved by National Archives and Records Administration on May 10, 2011. All records will be maintained in accordance with the approved schedule.
Files are stored electronically.
Files are retrieved by searching IREG Database by UserID, an individual's registration information (
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
The EFAST2 Record Schedule (N1-317-11-1) was approved by National Archives and Records Administration on May 10, 2011. All records will be maintained in accordance with the approved schedule.
EFAST2 Program Manager, Office of Technology and Information Services, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual filers, third party software developers, and certain government staff who register electronic filing credentials through the EFAST2 Web site.
None.
Delinquent Filer Voluntary Compliance Program (DFVC) Tracking System; Delinquent Filer Voluntary Compliance Program 99.
None.
Office of Technology and Information Services, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Fiduciaries who failed to comply with plan administrator fiduciary responsibilities; non-filers, stop filers and late filers of ERISA annual reports who voluntarily seek relief of reporting penalties after filing appropriate annual report(s).
Information including plan name, plan administrator's name, service provider's name, trustee's name, addresses and names of other individuals involved in the DFVC program. Information about individuals may contain Personally Identifiable Information (PII).
29 U.S.C. 1134 and 1136.
The Office of the Chief Accountant (OCA) uses the application to track records of participants of the EBSA Delinquent Filer Voluntary Compliance Program.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, records of plans that participate in the DFVC program help to avoid opening investigations by the OCA for violations that would otherwise be subject to more strict penalties.
None.
Files are stored electronically and/or paper.
Files are retrieved using a relational database and Form 5500 plan identifiers such as plan name, plan number, city, state and unique case ID.
Access by authorized personnel only. Computer security safeguard are used for electronically stored data and locked locations for paper files.
In accordance with Records Schedule N1-317-92-1, manual records are maintained in the Office of the Chief Accountant for up to two years after case closure, then transferred to the Federal Records Center for retention for an additional six years. Electronic records are destroyed on the same schedule as the manual files or when no longer needed, whichever is later.
Director, Office of the Chief Accountant, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this System is obtained from submissions of filings by Plan Administrators and Plan Sponsors under the EBSA DFVC Program.
a. Criminal Law Enforcement: In accordance with subsection 552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for criminal law enforcement purposes in EBSA's Office of Enforcement or its field offices is exempt from subsections I(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a.b.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt from subsection (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a.
OCA Case Tracking System.
None.
Office of Technology and Information Services, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Fiduciaries who fail to comply with plan administrator fiduciary responsibilities, or those fiduciaries who are engaged in activities prohibited by ERISA; non-filers, stop filers, late filers, and deficient filers of ERISA annual reports.
Records include paper files which may contain Personally Identifiable Information (PII) and electronic files which may contain PII. The electronic files contain only plan administrator information. Information stored includes plan name, plan administrator's name, service provider's name, trustee's name, addresses and names of other individuals involved in investigations and enforcement actions. There are also case notes to document case activity during the investigative process.
29 U.S.C. 1134 and 1136.
The Office of the Chief Accountant (OCA) uses the OCATS application to monitor enforcement actions against fiduciaries who fail to comply with plan administrator fiduciary responsibilities, or those fiduciaries who are engaged in activities prohibited by ERISA. On average 3500 to 5000 cases per year are generated requiring OCA intervention.
In addition to those universal routine uses listed in the General Prefatory
None.
Files are stored electronically and/or on paper.
Files are retrieved by using a relational database and Form 5500 plan identifiers such as plan name, plan number, city, state and unique case ID.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with Records Schedule N1-317-92-1, manual records are maintained in the Office of the Chief Accountant for up to two years after case closure, then electronically imaged to the OCATs database for retention for an additional six years. Electronic records are destroyed on the same schedule as the manual files or when no longer needed, whichever is later.
Director, Office of the Chief Accountant, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Investigations and computer targeting searches of previous Forms 5500 filings performed by the OCA of existing plan filings to determine status of non-filers, deficient filers, late and stop filers of required information returns for employee benefit plans. Ancillary sources within the EBSA include investigations by the Office of Enforcement and EBSA field offices.
a. Criminal Law Enforcement: In accordance with subsection 552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for criminal law enforcement purposes in EBSA's Office of Enforcement or its field offices is exempt from subsections (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G) and (I), and (f) of 5 U.S.C. 552a.
Office of Health Plans Standards and Compliance Assistance (OHPSCA) Case Tracking System.
None.
Office of Technology and Information Services, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Health benefits plan administrators, sponsors and health plan participants who request information and assistance on HIPAA, ERISA and other laws affecting group health plans, as well as enforcement of HIPAA and ERISA with respect to group health plans and multi-employer welfare arrangements.
Records include requestor's name, address, telephone number, as well as plan administrator contact information and associated case notes encompassing compliance assistance requests as well as enforcement activities.
29 U.S.C. 1134 and 29 U.S.C. 1136.
The system tracks inquiries from participants and group health plans for compliance assistance and technical assistance on HIPAA, ERISA and other laws and regulations. The system also tracks enforcement cases against group health plans and multi-employer welfare arrangements.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a record from this system of records may be disclosed, subject to the restrictions imposed by various statutes and rules, such as the Privacy Act, to a department or agency of the United States, or to any person actually affected by any matter which may be the subject of the investigation; except that any information obtained by the Secretary of Labor pursuant to section 6103 of Title 26 shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury.
None.
Files are stored electronically and/or on paper.
Files are retrieved via a relational database, using the fields listed under categories of records that are captured from inquiries made and correspondence issued to the Agency.
Access by authorized personnel only. Computer security safeguards are used electronically stored data and locked locations for paper files.
In accordance with Records Schedule Number N1-317-93-1, manual records are maintained in the Office of Health Plan Standards and Compliance Assistance for up to two years after case closure, then transferred to the Federal Records Center for retention for an additional 23 years. Electronic records are destroyed on the same schedule as the manual files or when no longer needed, whichever is later.
Director, Office of Health Plan Standards and Compliance Assistance, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access to records should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from plan participants, group health plan administrators and state insurance commissioners.
a. Criminal Law Enforcement: In accordance with subsection 552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for criminal law enforcement purposes in EBSA's Office of Enforcement or its field offices is exempt from subsections (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G),(H), and (I), and (f) of 5 U.S.C. 552a.
Fee Disclosure Failure Notice Database.
None.
Office of Enforcement, EBSA, U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC 20210, and all EBSA field offices as listed in Appendix A to this document.
Responsible plan fiduciaries and covered service providers.
Records include plan name, fiduciary's name, and service provider's name, relating to contracts and arrangements between plans and service providers.
29 U.S.C. 1104, 29 U.S.C. 1108, and 29 U.S.C. 1134-1136.
This system of records maintains information related to the notice responsible plan fiduciaries submit, as a condition of the class exemption under 29 U.S.C. 2550.408b-2(c)(1)(ix), regarding service providers who have failed to make disclosures as required under 29 U.S.C. 2550.408b-2(c). The Office of Enforcement and EBSA field offices will use the information to carry out their enforcement responsibilities under Title I of the Employee Retirement Income Security Act of 1974 (ERISA), including the fee and expense disclosure requirements of 29 U.S.C. 2550.408b-2(c) and 29 U.S.C. 2550.404a-5.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, records in this system may be disclosed, subject to the restrictions imposed by various statutes or rules, such as the Privacy Act, to any department or agency of the United States; except that any information obtained by the Secretary of Labor pursuant to section 6103 of Title 26 shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury.
None.
Files are stored electronically and/or paper.
Files are retrieved from the electronic database by the name of the plan, name of the responsible plan fiduciary, service provider name, or the name of a contact person for the plan or service provider. Records are also retrieved by the plan number, the plan sponsor's employer identification number (EIN), or the covered service provider's EIN.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In accordance with Records Schedule Number N1-317-92-1, records are retained by the Office of Enforcement for one year after receipt or completion by voluntary compliance or litigation or subsequent related actions, whichever is later, and then transferred to the Federal Records Center and kept for seven (7) years and then destroyed. Electronic database files are retained for the same period as manual files.
In the National Office: The Director of Enforcement, Employee Benefits Security Administration, US Department of Labor, 1200 Constitution Avenue NW., Washington, DC 20210.
In the Regional offices: The Regional Director.
In the District offices: The District Supervisor.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from plan fiduciaries, investigators, and other appropriate Office of Enforcement or EBSA field office staff.
a. Criminal Law Enforcement: In accordance with subsection 552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for criminal law enforcement purposes in this system of records is exempt from subsections (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4) (G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection 552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and (4), and (e)(1) and (4)(G), (H), and (I) and (f) of 5 U.S.C. 552a.
Office of the Ombudsman for the Energy Employees Occupational Illness Compensation Program Act (EEOICPA) File.
Most files and data are unclassified. Files and data in certain cases may have Top Secret classification and the rules concerning their maintenance and disclosure are determined by the agency that has given the information the security classification of Top Secret.
U.S. Department of Labor, Office of the Ombudsman for the Energy Employees Occupational Illness Compensation Program Act, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals or their survivors who are seeking benefits under the Energy Employees Occupational Illness Compensation Program Act (EEOICPA). These individuals include, but are not limited to, employees or survivors of employees of Department of Energy contractors and subcontractors, and certain uranium workers or survivors of those workers as described under Section 5 of the Radiation Employees Compensation Act (RECA).
This system may contain the following kinds of records: Correspondence between the Office of the Ombudsman and claimants, potential claimants, and/or survivors of such individuals or correspondence between the Office of the Ombudsman and the program agency regarding those individuals' EEOICPA claims; logs recording and detailing communications between claimants, potential claimants, and/or survivors of such individuals and the Office of the Ombudsman; claim forms filed by or on behalf of injured individuals or their survivors seeking benefits under the EEOICPA; reports by the employee and/or the United States Department of Energy; employment records; exposure records; safety records or other incident reports; dose reconstruction records; workers' or family members' contemporaneous diaries, journals, or other notes; forms authorizing medical care and treatment; other medical records and reports; bills and other payment records; compensation payment records; formal orders for or against the payment of benefits; transcripts of hearings conducted; and any other medical, employment, or personal information submitted or gathered in connection with the claim or complaint.
The system may also contain information relating to dates of birth, marriage, divorce, and death; notes (written or typed in email or other correspondence) of telephone conversations conducted in connection with the claim or complaint; information relating to vocational and/or medical rehabilitation plans and progress reports; records relating to court proceedings, insurance, banking and employment; articles from newspapers and other publications; information relating to other benefits (financial and otherwise) that the employee and/or survivor may be entitled to, including previously filed claims; and information received from various investigative agencies concerning possible violations of civil or criminal laws.
The system may also contain consumer credit reports on individuals indebted to the United States including information relating to the debtor's assets, liabilities, income and expenses, personal financial statements, correspondence to and from the debtor, and information relating to the location of the debtor. In addition, the system may contain other records and reports relating to the implementation of the Federal Claims Collection Act (as amended), including investigative reports or administrative review matters. Individual records listed here are included in a claim file only insofar as they may be pertinent or applicable to the individual claiming benefits.
Energy Employees Occupational Illness Compensation Program Act of 2000, Title XXXVI of Public Law 106-398, as amended by Public Law 108-375, 3161 (October 28, 2004), 42 U.S.C. 7385s-15.
To fulfill the duties of the Ombudsman under the EEOICPA as specified by Congress. The EEOICPA establishes a program for compensating certain individuals for covered illnesses related to exposure to toxic substances. These records are necessary to provide information to the public regarding the benefits available under the EEOICPA and the procedures attendant to those benefits, as well as to prepare the Congressionally-mandated Report to Congress detailing the complaints and concerns received in the Office of the Ombudsman concerning that program.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, the Ombudsman may disclose relevant and necessary information to the Department of Labor's Office of Workers' Compensation Program (OWCP); the Department of Health and Human Services' National Institute for Occupational Safety and Health (NIOSH); and/or the Department of Energy's Office of Health and Safety in order for the Ombudsman to respond to inquiries made by claimants, potential claimants, and/or survivors of such individuals regarding those individuals' EEOICPA claims, to the extent necessary to identify the individual and inform the source of the purpose(s) of the request.
The amount, status and history of overdue debts; the name and address, taxpayer identification (SSN), and other information necessary to establish the identity of a debtor; and the agency and program under which the claim arose may be disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose of encouraging the repayment of an overdue debt.
Files are stored electronically and/or on paper.
By name, employer, contractor, date, or nature of injury.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
All case files and automated data pertaining to a claim are destroyed 15 years after the case file has become inactive. Paper records that have been scanned to create electronic records are
Ombudsman, Energy Employees Occupational Illness Compensation Program Act, 200 Constitution Avenue NW., Suite N-2454, Washington, DC 20210.
Individuals wishing to inquire whether this system of records contains information about them may write or telephone the Office of the Ombudsman. In order for the record to be located, the individual must provide his or her full name, claim number (if known), and date of injury (if known).
Any individual seeking access to non-exempt information about a claim in which he/she is a party in interest may write or telephone the Office of the Ombudsman.
Any individual requesting amendment of non-exempt records should contact the Office of the Ombudsman. Individuals requesting amendment of records must comply with the Department's Privacy Act regulations at 29 CFR 71.1 and 71.9.
Claimants who are the subject of the record and their family members; employers; current and former Federal contractors and subcontractors and their family members; State governments, State agencies, and other Federal agencies; State and Federal workers' compensation offices; physicians and other medical professionals; hospitals; clinics; medical laboratories; suppliers of health care products and services and their agents and representatives; educational institutions; attorneys; Members of Congress; EEOICPA investigations; consumer credit reports; investigative reports; correspondence with the debtor including personal financial statements; records relating to hearings on the debt; and other Department systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigative material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a, provided, however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of the material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Office of Apprenticeship, Budget and Position Control File.
None.
Employment and Training Administration (ETA), Office of Apprenticeship, Room N-5311, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Federal employees currently employed by OA.
Personal records concerning grades and salaries.
5 U.S.C. 301.
For ready access in preparing management reports as required by ETA, and controlling OA FTE Ceiling (Full Time Equivalent) employment.
None, except for those routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or paper.
Files are retrieved by region, budget position number, and name of employee.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained indefinitely for employment reference requests on former employees.
Administrator, Office of Apprenticeship, Room N-5311, Employment and Training Administration, Frances Perkins Building, 200 Constitution Avenue NW., Washington DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from personal records, including SF-Form 50.
None.
Registered Apprenticeship Partners Information Data System (RAPIDS).
None.
Employment and Training Administration (ETA), Office of Apprenticeship, Room N-5311, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Apprentices/Trainees.
The categories of records include the following identifying information on apprentices/trainees: Social Security number, program number, State Code, O*NET/RAPIDS Occupation Code, Job Title, name, birth date, sex, ethnic code,
The National Apprenticeship Act, also referred to as the Fitzgerald Act, 29 U.S.C. 50.
Records of individual apprentice/trainee and apprenticeship/trainee program sponsors are used for the operation and management of the apprenticeship system of training.
Statistical records may be disclosed to Joint Apprenticeship Committees and Nonjoint Apprenticeship Committees, and other apprenticeship sponsors to determine an assessment of skill needs and provide program information; to provide program information for State Apprenticeship Agencies (SAAs) and other State/Federal agencies concerned with apprenticeship/training needs; to research and community organizations such as the Urban League to utilize apprenticeship information in research.
None.
Files are stored electronically and/or on paper.
Records are retrieved by the social security number of the apprentice/trainee by program type. However, data files are provided to researchers that have been cleaned of PII.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Paper files retain for five years and then destroy. Inactive programs are stored indefinitely using routine IT protocols. Inactive and completed apprentices are stored indefinitely using routine IT protocols.
Administrator, Office of Apprenticeship, Room N-5311, Employment and Training Administration, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Apprentice/trainee and also Program Sponsor.
None.
Foreign Labor Certification System and Employer Application Case Files.
None.
Employment and Training Administration (ETA), Office of Foreign Labor Certifications, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210; National Processing Centers in Atlanta, Georgia; Chicago, Illinois; and National Prevailing Wage Center in Washington, DC, and contractor offices.
Employers who file labor certification applications, or labor condition applications for permanent or temporary employment of foreign workers; employers who file requests for prevailing wage determinations that may support an application for temporary and permanent labor certification; agents and foreign labor recruiters whom employers may engage in the recruitment of prospective H-2B workers with regard to labor certification applications filed in the H-2B temporary employment program and all persons or entities hired by or working for such recruiters or agents and any agents or employees of those persons or entities. The foreign worker is identified on Applications for Permanent Employment Certification, they are not identified nor listed on Applications for Temporary Employment Certification, Prevailing Wage Determination, nor Labor Condition Applications.
Employers' names, addresses, type and size of businesses to include annual gross revenue and proof of insurance coverage, production data, number of workers needed in certain cases, offer of employment terms to known or unknown aliens, and background and qualifications of certain aliens, along with resumes and applications of U.S. workers, employer provided source wage documents and surveys, names of agents and recruiters whom employers may engage in the recruitment of prospective H-2B workers, as well as the identity and location of all persons or entities hired by or working for such recruiters or agents, and any of the agents or employees of those persons and entities, engaged in recruitment of prospective workers for the H-2B job opportunities offered by the employer.
Immigration and Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H)(i), and (ii), 1184(c), 1182(m) and (n), 1182(a)(5)(a), 1188, and 1288. Section 122 of Public Law 101-649. 8 CFR 214.2(h). 20 CFR 655 Subpart A. 20 CFR 655.9.
To maintain a record of applicants and actions taken by ETA on requests to employ foreign workers and requests for prevailing wage determinations.
1. Case files developed in processing labor certification applications, labor condition applications, and prevailing wage determination, are released to the employers which filed such applications and their representatives; to review ETA actions in connection with appeals of denials or other wage-related final determinations before the Office of Administrative Law Judges (OALJ) or Federal Courts; to participating agencies such as the DOL Office of Inspector General, DOL Wage and Hour Division, Department of Homeland Security, United States Citizenship and Immigration Services, and Department of State in connection with administering and enforcing related immigration laws and regulations. Records may also be released to named alien beneficiaries or their representatives, and third party requests under the under the Freedom of Information Act.
2. The Department will maintain a publicly available list of agents and recruiters whom employers have reported to the Department that they engage or plan to engage in the recruitment of prospective H-2B workers, as well as the identity and
None.
Files are stored electronically and/or on paper.
Files are retrieved by case number and employer name and in limited instances by the named beneficiary. In the case of labor certification applications in the H-2B program, files may be retrieved by name, including the name of the employer, agent, recruiter, or other entity involved in the recruitment of prospective H-2B workers as provided to the Department by the employer; and by country where recruitment activity may occur.
Access by authorized personnel. Computer security safeguards are used for electronically stored data and scanned images; and paper files are maintained in secured locations.
FLC Case Files are retained for a period of 5 years after close in accordance with Records Schedule Number DAA-0369-2013-0002. Paper files are retained on-site at national processing centers for six months from the date of final determination. OFLC will continuously scan or convert paper records into OFLC Archive and Scan database(s). Paper copies of employer applications that are scanned will be destroyed once converted to an electronic medium and verified, or when no longer needed for legal or audit purposes in accordance with the records schedule. Paper copies of case files that are not scanned are retained on-site for six months after close, then transferred to Federal Records Center for duration of 5 year retention period.
Administrator, Office of Foreign Labor Certifications, ETA, 200 Constitution Avenue NW., Room C-4312, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from labor certification applications, labor condition applications, and prevailing wage determination requests completed by employers. Certain information is furnished by named alien beneficiaries of permanent labor certification applications, State Workforce Agencies, and the resumes and applications of U.S. workers. Additional information is obtained from employer provided surveys.
None.
Job Corps Student Pay, Allotment and Management Information System (SPAMIS).
None.
Job Corps Data Center (JCDC), 1627 Woodland Avenue, Austin, Texas 78741 (and Job Corps Centers).
Job Corps students and Job Corps terminees.
Personal information about the student: Pre-enrollment status, number of months enrolled in school, home address, family status and income; characteristics, such as age, race/ethnic group, sex; summarization of basic education and vocational training received in Job Corps; and initial Placement status (entry into employment, school, military service, or other status) after separation from the Program.
Subtitle C of Title I of the Workforce Investment Act of 1998, 29 U.S.C. 2882
These records are maintained to pay students and track student academic and vocational outcomes and achievements. This information is used for reporting center/contractor performance that includes enrollment information, performance outcomes while enrolled and placement information after separation.
These records and information in these records may be used when relevant, necessary and appropriate:
a. To disclose photographs and student identities to the news media for the purpose of promoting the merits of the program.
b. To disclose information of a student's academic and vocational achievement and general biographical information, to placement and welfare agencies, respective employers, school or training institutions to assist in the employment of a student.
Categories of users:
a. Job Corps Center staff and operators/contractors;
b. Outreach, Admissions and Placement staff and contractors;
c. Support Contractors;
d. Federal staff at the regional and national levels.
None.
Files are stored electronically and/or on paper.
Files are retrieved by social Security number or name and center enrolled.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for at least three (3) but no more than four (4) years after termination. After this, the records are retired to the Regional Federal Records
National Director, Office of Job Corps U.S. Department of Labor, Employment and Training Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Job Corps students, Outreach, Admissions and Placement Contractors; Support Contractors, and Job Corps Centers.
None.
Employment and Training Administration Investigatory File.
None.
Employment and Training Administration, OMAS/OGM, Division of Policy, Review and Resolution, Frances Perkins Building, 200 Constitution Ave. NW., Washington, DC 20210, and each of the Employment and Training Administration Regional Offices.
Applicants, contractors, subcontractors, grantees, members of the general public, ETA employees, who are alleged violators of ETA, and federal laws and regulations.
Reports of alleged and confirmed problems, abuses or deficiencies relative to the administration of programs and operations of the agency, and of possible violations of Federal law whether civil or criminal; reports on resolution of criminal or conduct violations, and information relating to investigations and possible violations of ETA administered programs and projects; incident reports, hotline complaints, and investigative memoranda.
5 U.S.C. 301; Workforce Investment Act, 29 U.S.C. 2801
To ensure that all appropriate records of problems, abuses or deficiencies relative to the administration of programs and operations of the agency are retained and are available to agency, Departmental, or other Federal officials having a need for the information to support actions taken based on the records.
The records and information in this system that are relevant and necessary may be used to disclose pertinent information to states, Workforce Development Boards, and other DOL-funded grantees as necessary to enforce ETA rules and regulations; and other uses noted in the prefatory statement.
None.
Files are stored electronically and/or on paper.
Files are retrieved by OIG case number along with case name and subject in excel spreadsheet in OGM S (shared drive).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Non-investigatory records are retained for 5 years after the case is closed. Records containing information or allegations that do result in a specific investigation are placed in an inactive file when the case is closed and destroyed, by shredding, after 10 years.
Administrator, Office of Financial and Administrative Management, 200 Constitution Ave. NW., Washington, DC 20210; and each Regional Administrator or Associate Regional Administrator of the ETA in the regional offices.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals, program sponsors, contractors, grantees, complainants, witnesses, Office of the Inspector General and other Federal, State and local government records.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Federal Bonding Program, Bondee Certification Files.
None.
U.S. Department of Labor, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Any at-risk job applicant is eligible for bonding services, including: Ex-offender, recovering substance abusers (alcohol or drugs), welfare recipients and other persons having poor financial credit, economically disadvantaged youth and adults who lack a work history, individuals dishonorably discharged from the military, and
Personal (name, SSN, employer name), employment data (DOT and SIC codes), employer data (address, city, State, ZIP code), amount of bond (expressed in $500 units), cost of bond (expressed in units), effective date of bond, and termination date of bond.
Workforce Investment Act of 1998 (WIA) (29 U.S.C. 2801
The purpose of these records is to provide information to the DOL project officer on the activities of the contracted project—the Federal Bonding Program. These records are used solely for statistical information and not used in any way for making any determination about an identifiable individual.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or paper.
Files retrieved by assigned bond number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
States and regions dispose of data 3 years and older; The Punch Card Processing Co. keeps master DOS of all bondees prior to 1980.
Administrator, Office of Workforce Investment, Frances Perkins Building, 200 Constitution Ave. NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from State Job Service files, applicants for the bond and bonded employee's employer.
None.
Grant Officer Files.
None.
Employment and Training Administration, Office of Office of Management and Administrative Services, Office of Grants Management, 200 Constitution Avenue NW., Washington, DC 20210.
Present and former grant officers.
Name, Social Security Number, job title and grade, qualifications, training and experience, request for appointment as Grant Officer, Certification of Appointment, copy of Certificate of Appointment, and other correspondence and documents relating to the individual's qualifications.
40 U.S.C. 486; Department of Labor Acquisition Regulations 2901.6; Department of Labor Manual Series 2-800.
To ascertain an individual's qualifications to be appointed as a grant officer; to determine if limitations on procurement authority are appropriate; to complete Certificate of Appointment.
Disclosure to Office of Government Ethics: A record from a system of records may be disclosed, as a routine use, to the Office of Government Ethics for any purposes consistent with that office's mission, including the compilation of statistical data.
None.
Files are stored electronically and on paper.
Files are retrieved by Grant Officer name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Records relating to and reflecting the designation of Grant Officers and terminations of such designations, are retained until destroyed 6 years after termination of appointment in accordance with Records Schedule Number NI-369-00-1.
Chief, Division of Workforce System Federal Assistance, U.S. Department of Labor, ETA, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the grant officer's Certification of Appointment and background information on education, SF-171, and specific information on procurement authorities delegated.
None.
National Agricultural Workers Survey (NAWS) Research File.
None.
The NAWS Sponsor, Employment and Training Administration (ETA), Office of Policy Development and
NAWS respondents. These are randomly selected individuals who are engaged in crop and nursery activities. Between 1,500 and 4,000 individuals will be included in the file each year.
The system will contain records of the employment and migration history of crop workers and their families. It will also contain information about the wages, working conditions and recruitment procedures, and the health and occupational injury experience of crop workers. The records stored at JBS International, and only at JBS international, will also contain the names, and addresses of the respondents in the NAWS. All of this data will have been obtained in a personal interview with the respondents.
5 U.S.C. 301.
To gather and analyze data on the demographic, employment, and health characteristics of hired crop and nursery farm workers.
None, except for those universal routine uses listed in the General Prefatory Statement to this document with the following limitations: The Routine Uses listed at paragraphs 3, 4, 7, 8, 9, and 11 in the General Prefatory Statement to this document are not applicable to this system of records. The records also may be disclosed where required by law.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of individual making request.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Files are retained for four years after the collection of the data.
The NAWS Sponsor, Employment and Training Administration, Office of Policy Development and Research, U.S. Department of Labor, 200 Constitution Avenue NW, Washington, DC 20210; the System Manager, currently JBS, 555 Airport Blvd., Suite 400, Burlingame, CA 94010; and the NAWS Co-Sponsor, the National Institute for Occupational Safety and Health (NIOSH): (1) The Division of Surveillance, Hazard Evaluations, and Field Studies, NIOSH, 4676 Columbia Drive, Cincinnati, Ohio 45226, and (2) The Division of Safety Research, NIOSH, 1095 Willowdale Road,—mail stop 180-p, Morgantown, West Virginia 26505.
Inquiries should be mailed to the appropriate System Manager.
A request for access should be mailed to the appropriate System Manager.
A petition for amendment should be mailed to the appropriate System Manager.
Information in this system is obtained from the NAWS respondents.
None.
DOL Employment and Training Administration (ETA) Evaluation, Research, Pilot or Demonstration Contractors' Project Files.
None.
Individual contractors' and subcontractors' project worksites Department Offices in Washington DC.
Participants in programs of the Workforce Investment Act (WIA) and Workforce Innovation and Opportunity Act (WIOA), Job Corps, Trade Adjustment Assistance, Registered Apprenticeship, and employers or employees covered under a State unemployment compensation law; or other research, pilot or demonstration projects.
Records in the system(s) may include personally identifiable information, characteristics of program participants, description of program activities, services received by participants, program outcomes and participant follow-up information; or Claimant (Employee) records, Employer contribution records, and Employee wage records obtained after the completion of the program for the purposes of the research/evaluation project(s).
Workforce Investment Act of 1998, Secs. 156, 171, and 172; Workforce Innovation and Opportunity Act, Secs. 156 and 169; Social Security Act, Secs. 441 and 908. (29 U.S.C. 1731-1735; 29 U.S.C. 2856, 2916, and 2917; and 42 U.S.C. 841 and 1108; respectively; and Social Security Act, Sections 303(a)(l), 303(a)(6), and 906, (42 U.S.C. 503(a)(l), 503(a)(6), 902, ll06); 5 U.S.C. 8506(b).
The purpose of this system is to provide necessary information for statutorily-required and other evaluations of ETA programs, evaluations of ETA-sponsored pilot and demonstration programs, and other statistical and research studies of employment and training program and policy issues. These records are used solely for statistical research or evaluation and are not used in any way for making any determination about an identifiable individual.
Contractors or grantees of particular projects may disclose records without personal identifiable information to other Federal, State and local government agencies in order to facilitate the collection of additional
None.
Files are stored electronically.
Files are retrieved by name or social security number, and by a variety of other unique identifiers that have been created for a specific study.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Records are retained by the contractors for one to five years, then the identifiers are destroyed. After the conclusion of the studies the records are retired to the Federal Records Center and are destroyed after being retained by the Records Center for 20 years.
Administrator, Office of Policy and Research, Employment and Training Administration, Frances Perkins Building, 200 Constitution Ave. NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual participants, and Federal, State, and local Government agencies.
None.
The Enterprise Business Support System (EBSS).
None.
U.S. Departmental of Labor, 200 Constitution Avenue, Washington, DC.
a. Workforce Investment Act Standardized Record Data (WIASRD)—a system which manages file submissions and serves as a repository for annually submitted files of individual records on all participants who exit the Workforce Investment Act (WIA) programs.
b. WIOA Participant Individual Record Layout (PIRL)—a system which manages file submissions and serves as a repository for annually submitted files of individual records on all participants who exit the Workforce Innovation and Opportunity Act (WIOA) programs.
c. Registered Apprenticeship Partners Information Data Systems (RAPIDS)—is a web-based apprenticeship training program management and reporting system. It is composed of two major components: The RAPIDS system and the E-Registration. The RAPIDS system allows RAPIDS users (Apprenticeship Training Employer and Labor Services management, regional and state directors and Apprenticeship Training Representatives) to register, process, manage, and report apprenticeship programs and apprentices registered in these programs. E-Registration allows apprenticeship sponsors to register and manage apprentices in programs they sponsor.
d. Common Reporting Interchange System (CRIS)—CRIS uses state and Federal Employment Data Exchange System (FEDES) and Wage Record Interchange System (WRIS) in generating reports. CRIS provides common performance measures for the grant programs, which do not have the ability to collect the common measure outcomes
e. The Reintegration of Ex-Offenders—Adult Program (RExO), formerly known as the Prisoner Reentry Initiative (PRI), is designed to strengthen urban communities through an employment-centered program that incorporates mentoring, job training, and other comprehensive transitional services. Participants enrolled in RExO—Adult grants and the affiliated random assignment evaluation.
f. Youth Build—a case management and grantee performance reporting system. The system collects participant level data and manages the program lifecycle at the participant level. The system also provides grantees with quarterly reporting capability and tools to manage sub-grantees.
g. Enhanced Transitional Jobs Demonstration (ETJD)—These evaluations will inform the Federal government about the effectiveness of subsidized and transitional employment programs in helping vulnerable populations secure unsubsidized jobs in the labor market and achieve self-sufficiency.
h. Senior Community Service Employment Program (SCSEP) Performance and Results Quarterly Performance Results (QPR) System (SPARQ)—Participants in the SCSEP funded under the Older Americans Act Amendments of 2006 (OAA Amendments), Public Law 109-365.
i. Indian and Native American Program (INAP)—Participants who have exited from the Workforce Investment Act (WIA), Section 166 program and the Workforce Innovation and Opportunity Act, Section 166 programs.
j. Bene-Choice (formerly Youth Offenders)—a case management and grantee performance reporting system. The system collects participant level data and manages the program lifecycle at the participant level. The system also provides grantees with quarterly reporting capability and tools to manage sub-grantees.
k. Trade Act Participant Records (TAPR)—an application which collects and maintains program performance and participant outcomes for TAA and NAFTA Transitional Adjustment Assistance (NAFTA-TAA) programs.
l. High Growth and Community Based Job Training and Performance Reporting (HGJTP)—a web-enabled application that collects performance results from High Growth and Community Based grant programs.
WISARD: This system contains initial requests under the Workforce Investment Act, responses, and related documents.
WIOA (PIRL): This system contains WIOA participant personally identifiable information such as social security numbers and birthdates.
RAPIDS: Include the following identifying information on apprentices/trainees: Social Security number, ATR Code, program number, State Code, DOT Code, Job Title, name, birth date, sex, ethnic code, race code, Veteran code, accession date, previous experience date, expected completion date, exit wage, and apprenticeship school link.
CRIS: This system contains initial requests under the Workforce Investment Act and Workforce Innovation and Opportunity Act, responses, and related documents.
RExO: This system contains participant contact and demographic data, as well as services provided and performance outcomes obtained.
YOUTH BUILD: This system contains participant contact and demographic data, as well as services provided and performance outcomes obtained.
ETJD: This system contains participant contact and demographic data, as well as services provided and performance outcomes obtained.
SCSEP: Records in the system include personal characteristics of each SCSEP participant; the description of training, community service assignments, and unsubsidized employment placements the participants received; wages and supportive services received; and program outcome and participant follow-up information obtained after completion of the program.
INAP: Records in the system include (scrambled) Social Security number and various characteristics of each participant, the description of program activities and services they received, and program outcome and participant follow-up information obtained after completion of the program.
BeneChoice (formerly Youth Offenders): Case managers enter the data provided by the participants.
TAPR: Standardized set of data elements, definitions, and specifications that describe the characteristics, activities, and outcomes of TAA participants.
HGJTP: Electronic file of individual records on all participants who exit from the program during the reporting quarter. These individual records follow a comma-delimited format and contain the minimal amount of information needed in order for ETA to collect employment-related outcomes data using wage records.
The Workforce Investment Act of 1998, Public Law 105-220, 29 U.S.C. 2871, Section 136; Workforce Innovation and Opportunity Act, Public Law 113-128, Section 116, 29 U.S.C. 3141.
This system of records is maintained to:
a. Generate statistical reports that will present detailed information on the characteristics of program participants, program activities, and outcomes.
b. Provide information for evaluation purposes.
c. Provide a suitable national database to enable the Department to provide technical guidance to local programs in establishing performance goals for their service providers.
d. Provide grantees with a case management system to record individual participant outcomes.
e. Provide access to real-time data to grantees for data tracking and program improvement.
f. Provide access to real-time data to Federal office staff in response to requests for information from Congress, GAO, OMB and other sources, as requested.
g. Provide access to necessary demographic and outcome information necessary for the affiliated random assignment evaluation of the programs.
These records, and information in these records, may be used to:
a. Report performance outcomes on individual grants and aggregated grant performance.
b. Share performance information to the workforce system via the Quarterly Workforce System Results.
c. Share demographic and service counts as requested by Congress, OCIA, OMB, GAO or other requesters.
d. Track case management and performance by grantees to improve outcomes and meet performance measure goals.
e. Disclose information to researchers and public interest groups those records that are relevant and necessary to evaluate the effectiveness of the overall programs and its various training components in serving different subgroups of the eligible population.
f. Disclose information to Federal, state, and local agencies and community-based organizations to facilitate statistical research, audit, and evaluation activities necessary to ensure the success, integrity, and improvement of the employment and training programs.
g. Disclose information to placement and welfare agencies, prospective employers, school, or training institutions to assist in participant employment.
h. Disclose statistical information to the news media or members of the general public for the purpose of promoting the merits of the programs.
i. Disclose to Native American organizations receiving WIA, section 166 and WIOA, section 166 funding to provide relevant and necessary information to allow for comparative self-analysis of their programs' performance.
None.
Files are stored electronically.
Files are retrieved by the grant, recipient's grant number and unique identification assigned to individuals. Records can also be retrieved by social security number but only by individuals that have access to the database and the encryption methodology.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Records are retained indefinitely.
Director, Office of Information Systems and Technology, Employment and Training Administration (ETA).
Inquiries should be mailed to the System Owner.
A request for access should be mailed to the System Owner.
A petition for amendment should be addressed to the System Owner.
Information in this system is obtained from the individual requester, official documents, agency officials, and other Federal agencies.
The Department of Labor has claimed exemptions from several of its other systems of records under 5 U.S.C. 552a(k) (1), (2), (3), (5), and (6). During the course of a PA/FOIA action, exempt materials from those other systems may become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into these PA/FOIA case records, the Department has claimed the same exemptions for the records as they have in the original primary system of records of which they are a part.
Contract Files.
None.
Employment and Training Administration, Office of Contracts Management, 200 Constitution Avenue NW., Suite N-4643, Washington, DC 20210, Regional Offices.
Present and former contracting officers, contract specialists, and contracting officer representatives.
Name, job title, qualifications, training and experience, request for appointment as Contracting Officer, Contracting Officer Representative, Contracting Officer Representative Letter of Appointment, and other correspondence and documents relating to the individual's qualifications therefor.
48 CFR Subpart 4.8; Department of Labor Acquisition Regulations 2901.6; Department of Labor Manual Series 2-800, and Section 830.
a. To ascertain an individual's qualifications to be appointed as a contracting officer;
b. To determine if limitations on procurement authority are appropriate;
c. To complete Certificate of Appointment;
d. To provide a record of communications between the requester and the agency;
e. To ensure that all relevant, necessary and accurate data are available to support any process for appeal; and
f. To provide a legal document to support any process for appeal.
A.
B.
None.
Files are stored electronically and/or paper. Paper records in file folders.
Files are retrieved by Contract Number and Name.
Records are maintained in a secured, locked file room, accessible to the authorized personnel having need for the information in the performance of their duties. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 6 years after termination of appointment in accordance with Records Schedule Number GRS-03-02.
Chief, Division of Contract Services, Policy and Administration, U.S. Department of Labor, ETA, 200 Constitution Avenue NW., Suite N-4643, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual requesters, official documents, agency officials, and other federal agencies.
None.
Mine Safety and Health Administration Standardized Information System (MSIS).
None.
Mine Safety and Health Administration (MSHA)—Program Evaluation and Information Resources (PEIR), U.S. Department of Labor, Denver, Colorado. Some records in paper form are located at:
MSHA—Educational Development and Policy (EPD), U.S. Department of Labor, Denver, Colorado (Health safety training and examination, qualification and certification records);
MSHA—Coal Mine Safety and Health, U.S. Department of Labor, Arlington, Virginia and district and field offices (Coal respirable dust and other enforcement records);
MSHA—Metal and Nonmetal Mine Safety and Health, U.S. Department of Labor, Arlington, Virginia and district and field offices (Exposure and other enforcement records; Radon daughter exposure records);
MSHA—Office of Assessments, Accountability, Special Enforcement and Investigations, U.S. Department of Labor, Arlington, Virginia (Discrimination investigations and civil/criminal investigations) and Wilkes-Barre, Pennsylvania (Penalty assessments).
MSHA enforcement personnel who conduct inspection or investigation activities at mines; individuals for whom personal dust samples have been submitted for analysis; individuals with evidence of the development of coal workers' pneumoconiosis (black lung disease) as defined under 30 CFR part 90; individuals who MSHA has certified or qualified to complete certain mining tasks or has approved to provide training; individuals who are indebted to the United States in the form of a civil penalty; individuals with ownership interests in mines and individuals listed as responsible for health and safety at mines; individuals involved in accidents, occupational injuries, or occupational illnesses; individuals for whom mine operators are required to calculate and record radon daughter exposure in each calendar year; individuals who have been allegedly discriminated against in violation of the Federal Mine Safety and Health Act of 1977, as amended (Mine Act); individuals who are alleged to have knowingly or willfully committed violations of the Mine Act; and individuals who are criminally prosecuted or who are assessed a monetary civil penalty for violations of the Mine Act.
Records for the mine identification number and legal identity report contain information which includes: Mine (including mill) name, company name, ownership information, Taxpayer Identification Number (TIN), mine location, operating status, and individuals listed as responsible for health and safety at mines. Records for mine inspection personnel time and activity, inspections, citations and orders issued to operators; sampling data on personal exposure of non-identified miners and MSHA personnel to radiation, dust, noise, and other contaminants; and comprehensive health surveys at mines.
Since 2008, MSHA requires certain individuals to submit their Taxpayer Identification Numbers (which includes Social Security Numbers), to receive their unique MSHA Individual Identification Numbers (MIIN). The MIIN is substituted for the Social Security Number (SSN), eliminating the need for miners and other individuals to provide their SSNs on certain documents submitted to MSHA.
Coal Respirable Dust records contain information such as the mine and company name, mine identification number, designated areas in the mine and designated occupations where samples were taken, occupations and SSNs of individuals sampled (before 1981) and of 30 CFR part 90 miners (after 1980), date sampled, concentration of respirable dust measured in the miners' work environment, tons of material produced during sampling shift, sampling time, and SSN of the certified person taking the sample. Since 2008, MIINs replaced SSNs for identifying Part 90 miners sampled and the certified person taking the samples. Consequently, SSNs are no longer collected on sample records.
Qualification and Certification records contain mine identification number, MSHA identification number, training course codes, instructor's name and SSN, date of training, name and SSN of persons who have taken training and examinations to become qualified or certified for certain mine tasks or approved instructors, and the results of any monitoring of an instructor. Since 2008, MIINs replaced SSNs for persons trained and for the instructors of the courses. Consequently, SSNs are no longer collected in Qualification and Certification records.
Penalty Assessment records contain proposed civil penalty assessments, civil penalty payment information, bankruptcy information, delinquent debt referrals to Treasury for collection, and civil penalty final orders of the Federal Mine Safety and Health Review Commission on individuals.
Accident, injury, and occupational illness records include the mine name and identification number; date, time, and place of occurrence; type and description of accident; and name and partial SSN for the individual injured or reporting an occupational illness. For 1978 and subsequent years, only the last four digits of the SSN are collected.
Radon Daughter Exposure records contain the mine identification number, mine name, section, township, range, county, and state of mine location, operator, time period, miner's name, current year's radon daughter exposure, and cumulative radon daughter exposure in working level months (WLM). Prior to 2008, SSNs were collected for miners exposed to radon daughters; MSHA no longer collects SSNs. A “Miner's Identification Number” is now used for these records.
Discrimination investigation records include the name, address, telephone number, social security number, occupation, place of employment, other identifying data, and allegation information from complainants, mine operators, miners, and other individuals. This material includes interview statements and other data gathered by the investigator.
Civil and criminal investigation records include the name, address, telephone number, social security number, occupation, place of employment, and other identifying data concerning individuals who are the focus of civil or criminal investigations along with allegation information from miners, mine operators, and other individuals. This material includes interview statements and other information gathered by the investigator.
29 U.S.C. 557a, 668; 30 U.S.C. 811, 813, 814 (Coal and Metal and Nonmetal Enforcement records including health records); 30 U.S.C. 813(a), 842 (Coal Respirable Dust records); 30 U.S.C. 825, 877(i), 952 (Qualification and Certification records); 31 U.S.C. 3701, 3711-12, 3716-19, 3720A-E, 7701 (MIIN and Legal identity records); 30 U.S.C. 815 and 820 (Penalty Assessments records); 30 U.S.C. 811 (Radon Daughter Exposure); 30 U.S.C. 815(c) (Discrimination investigation records); 30 U.S.C. 820 (Civil and criminal investigation records).
Records in MSIS are used by authorized personnel to:
a. Maintain information on individuals with ownership interests in mines and individuals listed as responsible for health and safety at mines;
b. maintain information on mine inspection personnel time and activity, inspections, citations and orders (to include terminating conditions or practices) issued to operators to determine workload, work scheduling, and performance;
c. maintain sampling data on exposure levels of individuals and MSHA personnel to radiation, dust, noise and other contaminants, and comprehensive health surveys at mines to determine compliance with standards;
d. maintain records of training and examination of individuals, who have taken MSHA-approved training courses to attain certain skills;
e. issue qualification or certification cards to individuals who MSHA has certified or qualified to complete certain mining tasks or has approved to provide training;
f. monitor approved instructors;
g. provide information on individuals who are indebted to MSHA for the purpose of assessing penalties and take appropriate actions to collect or otherwise resolve the debts;
h. provide MSHA with timely statistical information for making decisions on improving safety and health programs, improving education and training efforts, and establishing priorities in technical assistance activities in the mining industry in order to reduce accidents and occupational injuries and illnesses;
i. determine probable cause of accidents, injuries, and illnesses;
j. determine validity and gravity of discrimination allegations, the amount of any civil penalty assessment, and the nature of other appropriate remedies; and
k. determine validity and gravity of allegations under Mine Act §§ 110(c)-(h), the amount of any civil penalty assessment, and the propriety of referrals for possible criminal prosecution.
In addition to those routine universal uses listed in the General Prefatory Statement to this document, disclosure of information from this system of records may be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information was collected:
a. Disclosures of inspection and investigation and accident, injury, and occupational illness information may be made: (1) To the U.S. Department of Health and Human Service, Centers for Disease Control and Prevention, National Institute for Occupational Safety and Health (NIOSH) and the Environmental Protection Agency to determine radiation, dust, noise and other contaminant exposure levels; (2) to NIOSH for research on mine safety and health; (3) to appropriate Federal, State, local or foreign agencies for research purposes, for enforcing or implementing a statute, rule, regulation, order or license and to determine contaminant exposure levels; (4) to mine operators to determine contaminant exposure levels and to furnish accident, injury, and occupational illness as the information relates to their mines; (5) to labor, industry, and academic organizations to monitor dust concentration and compliance trends; and (6) to individuals requesting information on sampling data for contaminant exposure levels and comprehensive health surveys at mines.
b. Disclosures of Qualification and Certification records may be made: (1) To mine operators and labor organizations requesting information to verify that MSHA has certified or qualified individuals to perform certain mining tasks or approved to provide training; (2) to appropriate Federal, State, local or foreign agencies for enforcing or implementing a statute, rule, regulation, order or license; and (3) to individuals requesting information on their certifications or qualifications to perform certain mining tasks or their approval to provide training.
The Department of Treasury discloses delinquent debtor information that MSHA transmits to them to credit bureaus.
Files are stored electronically, on paper, or both.
The Coal and Metal and Nonmetal records are indexed and retrieved by mine identification number for the operator and certain mine officials; and by authorized representative or right of entry number, the MSHA organization office code, inspection event number, and citation number for MSHA enforcement personnel.
The Coal Respirable Dust records are indexed and retrieved by mine identification number and MIIN for all 30 CFR part 90 miners. Historical records are indexed and retrieved by mine identification number and SSN.
The Qualification and Certification records are indexed and retrieved by name, MIIN, MSIS document number, mine identification number and MSHA identification number. Microfilm records are retrieved on basis of cycle number, mine identification number, date, and course examination.
For MIINs, MSHA indexes records by the name and taxpayer identification number (including SSN). These taxpayer identification numbers (includes SSNs) are not accessible to the public in a secure internal location that is not viewable by the public or the MSIS user community.
The Penalty Assessment records are indexed and retrieved by mine identification number, TIN (including SSN), name, or MSHA assessment case number.
Accident, injury, and occupational illness records are indexed and retrieved by mine identification number, MSHA identification number, date of accident, date of birth, last name and last four digits of SSN for the individual injured or reporting an occupational illness.
Radon Daughter Exposure records are indexed and retrieved by year and by mine name. For paper records, the records are indexed and retrieved by year, mine name, mine operator, and individual's name.
Discrimination investigation records are indexed and retrieved by case number, complainant's name, company name, mine name, or mine identification number.
Civil and criminal investigation records are indexed and retrieved by case number; individual's name; company name; mine name, or mine identification number.
Access is by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
MSIS, which includes data repositories, are updated from source documents generally daily and weekly. The records associated with the decommissioned systems and computer systems reside in MSIS. Paper records generally are included, except for the radon daughter exposure records. Historical, migrated data is retained indefinitely on disk within MSIS and on magnetic tape.
Inspection reports and related documents included in the Coal and Metal and Nonmetal Enforcement records are permanent records and are retired to National Archives and Record Administration (NARA) in 10-year blocks; temporary reports are destroyed after 10 years. (NC1-433-81-1, Item 6) Legal identity reports are retained as long as the mine is in operation, once mine closes the reports are sent to NARA and destroyed when 10 years old. (NC1-433-81-1, Item 19) Activity reports for Coal enforcement personnel are transferred to NARA after three years and destroyed when 10 years old. (NC1-433-81-1, Item 23) Activity reports including health surveys at mines for Metal and Nonmetal enforcement personnel are permanent records which are retained for 24 months and then transferred to an historical database for transfer to NARA annually. (NC1-433-85-1, Item 10) Sampling data and results on personal exposure of non-identified miners and MSHA personnel to radiation, dust, noise, and other contaminants at mines are transferred to NARA after three years and destroyed when 10 years old. (NC1-433-81-1, Item 24) Summary monthly and annual mine inspection activity reports that breakdown inspections, violations, notices issued, and orders of withdrawal including results of dust and noise sampling are retained as necessary and then destroyed because they are copies of other source documents. (NC1-433-81-1, Item 29)
Dust data cards and results submitted by MSHA enforcement personnel are transferred to the NARA when three years old and destroyed when 10 years old. (NC1-433-81-1, Item 25) Dust data cards submitted by mine operators are retained for one year and transferred to NARA and destroyed when five years old. (NC1-433-85-1, Item 11)
Qualification and Certification (training) documents are destroyed when three years old and microfilm is destroyed when 50 years old. (NC1-433-81-1, Items 32 and 33) Penalty assessment source documents are retained until cases are closed, retired to NARA for 10 years, and then destroyed. (NC1-433-81-1, Item 12)
MSHA Form 7000-1, Mine Accident, Injury, and Illness Report on paper are source documents and are retained for six years after year of record and then destroyed. Electronic copies of these documents are retained by MSHA permanently. Records in electronic media are transferred to NARA as
Radon Daughter Exposure records are permanent records and MSHA retains them until all individuals identified in the records become 75 years old or until 10 years after their known death. (30 CFR 57.5040, American National Standard Institute, ANSI N13.8-1073 Paragraph 9.7 and 9.8) Since the beginning of 2014, all paper forms are temporary forms and will be destroyed after converted to electronic format. (NC1-433-85-1, Item 10)
Discrimination investigation records are retained for one year after the case is closed, then are transferred to a Federal Records Center where they are retained until they are 15 years old; they are then destroyed. (N1-433-94-2, Item 1)
Civil and criminal investigation records are retained for one year after the case is closed, then are transferred to a Federal Records Center where they are retained until they are 15 years old; they are then destroyed. (N1-433-94-2, Item No. 1)
Director of Office of Standards, Regulations, and Variances, Arlington, VA.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from MSHA personnel who submit inspection time utilization, violation, sampling, and other enforcement information. In addition, information is received from mine operators including independent contractors concerning contaminant and radon sampling, legal identity, and mine accidents, injuries, and occupational illnesses at their mines. Training and other information for qualifications and certifications are received from individuals, instructors, States, mining industry, and MSHA personnel. Civil penalty and special enforcement information is obtained from MSHA personnel, miners, mine operators, civil penalty assessment and special investigation case files, payment installment plans, bankruptcy case files, Treasury cross-servicing (debt-collection) files, and Treasury offset files. Discrimination investigation information is obtained from individuals alleging discrimination, mine operators, witnesses, and third-party sources. Civil and criminal investigation information is obtained from miners, mine operators, MSHA investigators and personnel, and other individuals.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d)(1), (d)(2), (d)(3), (d)(4); (e)(1); (e)(4)(G) and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of such material, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence.
The Department of Labor has claimed exemptions from several of its other systems of records under 5 U.S.C. 552a(j)(2) and (c)(3) and (c)(4); (d), (e)(1)-(3); (e)(4)(G), (H), and (I); (e)(5) and (8); (f) and (g). During the course of an investigation, exempt materials from those other systems may become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into these records, the Department has claimed the same exemptions for the records as they have in the original primary system of records of which they are a part.
Educational Policy and Development; National Mine Health and Safety Academy Permanent Record Card or Student Information System.
None.
Mine Safety and Health Administration (MSHA)—Directorate of Educational Policy and Development, National Mine Health and Safety Academy, U.S. Department of Labor, Beaver, West Virginia.
MSHA personnel and other individuals who receive training through MSHA, including training offered through the National Mine Health and Safety Academy (Academy).
This system includes records of training authorized under sections 502, 503(f), or 505 of the Federal Mine Safety and Health Act of 1977 (Mine Act), as amended by the Mine Improvement and New Emergency Response Act of 2006 (MINER Act). Records include instructor's grade sheets and student transcripts, reflecting courses and grades received. Starting in Fiscal Year 2003, MSHA started to store the records electronically.
29 U.S.C. 557a; 30 U.S.C. 952, 953(f), 954.
To maintain records on Mine Safety and Health inspectors and others to assure that proper training is received under the Mine Act. Records are used by individuals, inspectors, and supervisors to track training and grades.
In addition to those universal routine uses listed in the General Prefatory Statement, disclosures may be made to: (1) Appropriate Federal, State, local agencies when individuals transfer from one agency to another; (2) colleges that accept training received at the Academy for transferable credit hours; or (3) supervisors of individuals who request transcripts on employees to assure that proper training has been received or completed.
None.
Records are stored electronically, on paper, or both.
Records are indexed and retrieved by name of the student only.
Access is by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Instructor grade sheets are destroyed after 3 years. Academy Permanent Records Cards (Transcripts) and other documentation are retained for 50 years and then destroyed. NC1-433-81-1, Item 33.
Director of Office of Standards, Regulations, and Variances, Arlington, VA.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from Educational Policy and Development, National Mine Health and Safety instructors and individuals who receive training through MSHA.
None.
Educational Policy and Development Activity Reporting System
None.
Mine Safety and Health Administration (MSHA) Directorate of Educational Policy and Development; U.S. Department of Labor, Beaver, WV.
Educational Policy and Development (EPD), Education and Training specialists.
The records in this system include the mine identification number, mine name, name and MSHA Individual Identification Number (MIIN) of an instructor, and the education and training personnel tracking information such as training specialist's name, types of activities conducted, and time spent on activities.
29 U.S.C. 557a.
Records in this system are used by authorized personnel to: (1) Determine the workload, work scheduling, and performance of EPD personnel; and (2) assist in budgeting and staffing of education and training specialists.
None except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Records are stored electronically and/or on paper.
Records are indexed and retrieved by mine identification number, EPD employee's name, and district code.
Access is by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 3 years. (NC1-433-81-1, Item 34).
Director of Office of Standards, Regulations, and Variances, Arlington, VA.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from Educational Policy and Development's Education and Training Specialists.
None.
Office of Administrative Law Judges Case Tracking System (CTS).
None.
U.S. Department of Labor, Office of Administrative Law Judges (OALJ), 800 K St. NW., Washington, DC 20001.
Claimants, complainants, respondents, and other party litigants in cases before the OALJ for hearing and decision.
Records include information and pertinent data gathered from case files and court filings, necessary to hear and decide cases.
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571
To maintain the court docket for administrative law judge adjudications. The records and information in the case tracking system are used as the court docket system in administrative law judge hearings conducted pursuant to 5 U.S.C. 552, 553, 554, 556 and 557 and/or a variety of particular statutes and Executive Orders. The purpose of the system is to facilitate the processing of cases and determination of issues in hearings and appeals proceedings.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, information may be disclosed to contractors and other Federal agencies, as necessary, for the purpose of assisting this agency in further development and continuing maintenance of the system, or hearing-related functions.
Since the proceedings conducted by the Office of Administrative Law Judges are public, court docket records are available for public inspection.
None.
Records are stored electronically.
Files are retrievable by case number and other searchable fields such as name of the party.
Access is by authorized personnel only. Computer security safeguards are used for electronically stored data Printed extracts are destroyed when the report is no longer needed.
Records are retained for 50 years, in accordance with Records Schedule Number N1-074-09-02.
Director of Program Operations, U.S. Department of Labor, Office of Administrative Law Judges (OALJ), 800 K St. NW., Washington, DC 20001.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in the system is obtained from the Office of Administrative Law Judge case files.
None.
Office of Administrative Law Judges Case Files.
None.
Unassigned case files are maintained by the Chief Administrative Law Judge or a District Chief Administrative Law Judge. Assigned case files are maintained by the Presiding Administrative Law Judge. Files may be located in the National Office, U.S. Department of Labor, Office of
Claimants, complainants, respondents, and other party litigants in cases referred to the OALJ for hearing and decision.
Records may contain claim files; determinations and referral letters from the agency with initial claim development or investigatory responsibility; documents proffered as evidence; pleadings, motions, and other submissions by litigants; Administrative Law Judge (ALJ) orders, decisions, and orders; hearing transcripts; and other documents and information necessary to hear and decide cases.
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571
To maintain the court records for public administrative-adjudicative hearings. These records and information in these records are used as the court record in ALJ hearings conducted pursuant to 5 U.S.C. 552, 553, 554, 556, and 557 and/or a variety of particular statutes and executive orders. The purpose of the system is the adjudication of cases and determination of issues in hearings and appeals proceedings.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, the Department may disclose relevant and necessary data as follows:
Official case records, including final decisions and orders, may be disclosed to the Federal courts and boards that are charged with reviewing decisions on appeal.
Information from the official record may be disclosed to the parties or their attorneys or their non-attorney representatives in matters pending before the OALJ. Information from case files may also be disclosed pursuant to the Freedom of Information Act (FOIA), 5 U.S.C. 552.
ALJ decisions and orders and other selected orders are public agency records and are released to the public, for the purpose of creating a body of legal precedent which serves to guide the public regarding the statutes over which the OALJ exercises jurisdiction. Final decisions and orders and other selected orders are available on the agency's internet Web site at
None.
Files are stored electronically and/or on paper.
Retrieved by case number or name of party.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
In cases where the OALJ is the official custodian, inactive case files are retained for three years before being sent to a Federal Records Center. The Federal Records Center retains the files for an additional 15 years before they are authorized for destruction, except for certain cases designated as precedent setting, which become permanent records. In cases where OALJ is not the official custodian, for example matters relating to Black Lung and Longshore (and extensions) cases, the official file is transferred to the appropriate federal custodial agency. When a case is appealed, the case file is forwarded to the appropriate administrative appellate agency, such as the Benefits Review Board, or the Administrative Review Board.
Director of Program Operations, U.S. Department of Labor, Office of Administrative Law Judges, 800 K St. NW., Washington, DC 20001.
Inquiries regarding the existence of records should be in the form of a written, signed request to the System Manager at the above address.
Individuals wishing to request access to their records should send a written, signed request to the System Manager.
Individuals wishing to petition for an amendment to their records should send a written, signed request to the System Manager.
Records may include information submitted by the agency with initial claims development or investigatory responsibility, claimants, complainants, respondents, and other parties to the case, amicus curiae, ALJs involved in a case, the court reporter, and in the case of remanded cases, the administrative-appellate body or Federal court.
None.
Safety and Health Information Management System (SHIMS).
None.
a. Office of Worker Safety and Health, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210;
b. DOL regional offices;
c. A copy of the modified CA-1/CA-2 Form used by the Office of Workers' Compensation Programs (OWCP) and the Form 301 used by the Occupational Safety and Health Administration (OSHA) may be reproduced and retained in the office of the supervisor who files the form.
DOL employees, Job Corps students and Contractors involved in occupationally related accidents, injuries and illnesses. (SHIMS host other Federal agencies, and their employees would be included in coverage as well.)
Reports of on-the-job accidents, injuries, and illnesses generated as a result of filing forms CA-1, CA-2, and OSHA Form 301.
29 U.S.C. 651
This system is used (a) to provide an information source for compliance with the Occupational Safety and Health Act; (b) to provide a documented record of job related accidents, injuries, and illnesses for the purpose of measuring safety and health programs' effectiveness; (c) to provide summary data of accident, injury and illness information to Departmental agencies in a number of formats for analytical purposes in establishing programs to reduce or eliminate loss producing hazards or conditions; (d) to provide summary listings of individual cases to Departmental agencies to ensure that all work-related injury/illness cases are reported through the SHIMS; and (e) to use as a reference when adjudicating tort and employee claims.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by claimant's last name, social security number, and employee category (DOL employee or Job Corps student) and SHIMS Incident Claim Number (ICN).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
All workers' compensation records contained in SHIMS should be disposed of in accordance with applicable records schedules under General Records Schedule (GRS) 1.31. All OSHA 301 records contained in SHIMS should be disposed of in accordance with applicable records schedules under GRS 1.34.
Director, Office of Worker Safety and Health, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from:
a. The employee (or someone acting on his/her behalf);
b. Witness (if any);
c. Employing agency (supervisor or comp specialist);
d. CA-1 and CA-2, forms used by OWCP; and/or
e. Form 301 used by OSHA.
None.
Employee Assistance Program (EAP) Records.
None.
The Employee Assistance Program (EAP), headquartered in the Human Resources Center, Office of the Assistant Secretary for Administration and Management (OASAM), U.S. Department of Labor (DOL), 200 Constitution Avenue NW., Washington, DC 20210, and offices of designated EAP service providers located elsewhere in the Washington metropolitan area and Department's regions.
DOL employees or their family members, who have been assessed, referred for treatment/rehabilitation or otherwise counseled regarding alcohol or drug abuse or other emotional health issues by an EAP counselor responsible for providing services to DOL employees or their family members.
Records in this system include documentation of visits to counselors designated by the agency to provide EAP services (regardless of whether the counselors are employed by the Federal, state, or local government, or by a private sector or community organization); problem assessments; counseling; recommendations and/or referrals for treatment and/or rehabilitation; client cooperation with those recommendation and/or referrals; progress; and other notes or records of discussions held with the client made by the counselor. Additionally, records in this system may include documentation of the therapeutic or rehabilitative work performed by a private therapist or a therapist at a Federal, State, local government, or private organization. If the client was referred to the EAP by a supervisor due to work performance or conduct problems, the record may also contain information regarding such matters. When the client was referred to the EAP because of a positive drug test, required by DOL's drug-free workplace plan, the record will also contain information about substance abuse assessment, treatment, aftercare, and substance use monitoring results.
5 U.S.C. 7361, 7362, 7901, 7904; 44 U.S.C. 3101.
These records are used to document the nature and extent of the client's problem; the short-term problem solving/counseling, recommendations and/or referrals for treatment and/or rehabilitation made by the EAP; and the extent of the client s participation in, and the results of treatment or rehabilitation in community or private sector programs; and any follow-up necessary.
a. DOL may elect to enter into interagency agreements or other contractual arrangements with other Federal agencies, private organizations or individuals for the purpose of providing EAP services for DOL employees and their family members. Relevant client records will be disclosed to these providers.
b. Except where the records are covered by the Confidentiality of Alcohol and Drug Abuse Patient Records regulation, 42 CFR part 2, records and information in these records may be:
i. Disclosed to the Department of Justice when: (A) DOL or any component thereof; or (B) any employee of the agency in his or her official capacity; or (C) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation, and the use of such records by the Department of Justice is for a purpose that is compatible with the purpose for which the agency collected the records.
ii. Disclosed in a proceeding before a court or adjudicative body, when: (A) DOL or any component thereof; or (B) any employee of the agency in his or her official capacity; or (C) any employee of the agency in his or her individual capacity; or (D) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation, and that the use of such records is a purpose that is compatible with the purpose for which the agency collected the records.
c. Where the records are covered by the Confidentiality of Alcohol and Drug Abuse Patient Records regulation, 42 CFR part 2, records and information in these records may be used:
i. To disclose, in accordance with 42 CFR 2.51(a), patient identifying information to medical personnel who have a need for the information about a patient for the purpose of treating a condition which poses an immediate threat to health of any person and which requires immediate medical intervention.
ii. To disclose patient identifying information to medical personnel of the Food and Drug Administration (FDA) who assert a reason to believe that the health of any individual may be threatened by an error in the manufacture, labeling, or sale of a product under FDA jurisdiction, and that the information will be used for the exclusive purpose of notifying patients or their physicians of potential dangers. (See 42 CFR 2.51(b)).
iii. To disclose patient information when authorized by an order of a court of competent jurisdiction in accordance with 42 CFR 2.61;
iv. To disclose information to a Federal, State or local law enforcement authority that is directly related to a patient's commission of a crime
v. To disclose information to State or local law enforcement authorities on incidents of suspected child abuse or neglect. (See 42 CFR 2.12(c)(6);
vi. To disclose the fact of a minor's application for treatment to the minor's parent or guardian where State law requires parental consent. (See 42 CFR 2.14(c));
vii. To disclose to a minor's parent or guardian, facts relevant to reducing a threat to the life or physical wellbeing of any individual, if the minor lacks capacity for rational choice (See 42 CFR 2.14(d);
viii. To disclose to a Qualified Service Organization (QSO), in accordance with 42 CFR 2.12(c)(4), that information needed by the QSO to provide services to the program;
ix. To disclose patient identifying information for the purpose of conducting scientific research under the circumstances set forth in 42 CFR 2.52;
x. To disclose patient identifying information for audit and evaluation purposes under the circumstance set forth in 42 CFR 2.53.
None.
Files are stored electronically and/or on paper.
Records are retrieved by a case code number, unique to the client utilizing the program. These numbers are cross-indexed by name.
a. Authorized Users: Access to these records is limited to EAP Administrators who work directly with clients of the program and their immediate staffs (including counselors, secretaries, and contract or consortia administrators, counselors or secretaries). OASAM EAP Administrators as well as EAP Administrators and Coordinators from other Federal agencies who contract with OASAM, whether or not they directly provide clinical services, may have access to the records for the purposes of program evaluation, destroying records at the end of the period of maintenance, and transferring records from one EAP contractor to another. OASAM may also contract with either a private organization or other Federal agency to destroy these records. The personnel of these record destruction organizations or agencies may have access to the records at the end of their period of maintenance for the purpose of transferring records from the EAP location to a destruction site and subsequently destroying the records.
b. Physical Safeguards: All paper records are stored in metal filing cabinets equipped with at least combination locks and
c. Procedural Safeguards: All persons having access to these records shall already have been trained in the proper handling of records covered by the Privacy Act and 42 CFR part 2 (Confidentiality of Alcohol and Drug Abuse Patient Records). These acts restrict disclosures to unique situations, such as threats of physical harm, medical emergencies, and suspected child abuse, except where the client has consented in writing to such disclosure. Clients of the EAP will be informed in writing of the confidentiality provisions. Secondary disclosure of released information is prohibited without client consent.
Records are retained for three (3) years after the client's last contact with the EAP, or until any relevant litigation is resolved, or any periodic evaluation reports required by the U.S. Office of Personnel Management, DOL, or other authorities are completed, in accordance with
The Employee Assistance Program Administrator, Safety and Health Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system of records comes from the individual to whom it applies, the supervisor of the individual if the individual was referred to the EAP by a supervisor, the staff of the EAP, other therapists or organizations providing treatment and/or rehabilitation, and other sources whom the EAP believes may have information relevant to treatment of the individual.
None.
Employee Medical File System Records (Not Job Related).
None.
For current employees, records are located in a health unit or dispensary of the Federal Occupational Health (FOH), U.S. Public Health Service, Department of Health and Human Services, or in a health unit or dispensary of another Federal or private sector entity which provides health services, under an interagency agreement or other contractual arrangement, to DOL employees. Medical records maintained by one of the latter entities may be considered the property of the entity providing care to the DOL employee; however, records maintained by FOH are considered the property of DOL.
For former employees, most records will be located in an Employee Medical Folder (EMF) stored at the National Personnel Records Center operated by the National Archives and Records Administration (NARA). Agencies may retain some records on former employees for a limited time.
Individuals covered are those of the following who have received voluntary employee health services provided by the agency under the authority of 5 U.S.C. 7901:
a. Current and former DOL employees as defined in 5 U.S.C. 2105;
b. DOL contract employees and other visitors (including minors and employees of other Federal agencies) who may have received emergency care from the health unit or dispensary.
This system is comprised of records developed as a result of the provision of voluntary employee health services offered by the agency under the authority of 5 U.S.C. 7901. These records contain the following information:
a. Medical history and other biographical data on those employees requesting voluntary periodic health examinations;
b. Test reports and medical diagnoses based on voluntary periodic health examinations or voluntary health screening program tests (tests for single medical conditions or diseases);
c. History of complaint, diagnosis, and treatment of injuries and illnesses cared for by the health unit or dispensary;
d. Vaccination records.
a. Medical records, forms, and reports completed or obtained when an individual applies for a Federal job and is subsequently employed;
b. Medical records, forms and reports completed during employment as a condition of employment, either by the employing agency or by another State or local government entity, or a private sector entity under contract to the employing agency;
c. Records pertaining to and resulting from the testing of the employee for use of illegal drugs under Executive Order 12564. Such records may be retained by the agency (
d. Reports of on-the-job injuries and medical records, forms, and reports generated as a result of the filing of a claim for Workers Compensation, whether the claim is accepted or not. (The official compensation claim file is not covered by the OPM system; rather, it is part of DOL s Office of Workers Compensation Program (OWCP) system of records);
e. All other medical records, forms, and reports created on an employee during his/her period of employment, including any retained on a temporary basis and those designated for long-term retention (
5 U.S.C. 7901
These records document the utilization and provision of voluntary employee health services authorized by 5 U.S.C. 7901.
The records and information in this system of records may be used as follows:
a. Disclosed to the Department of Justice when: (1) DOL or any component thereof; or (2) any employee of the agency in his or her official capacity; or (3) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation, and the use of such records by the Department of Justice is for a purpose that is compatible with the purpose for which the agency collected the records.
b. Disclosed in a proceeding before a court or adjudicative body, when: (1) DOL or any component thereof; or (2) any employee of the agency in his or her official capacity; or (3) any employee of the agency in his or her individual capacity; or (4) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the agency determines that the records are both relevant and necessary to the litigation, and that the use of such records is a purpose that is compatible with the purpose for which the agency collected the records.
c. Used to refer information required by applicable law to be disclosed to a Federal, State, or local public health service agency, concerning individuals who have contracted certain communicable diseases or conditions. Such information is used to prevent further outbreak of the disease or condition.
d. Disclosed to the appropriate Federal, State, or local agency responsible for investigation of an accident, communicable disease, medical condition, or injury as required by pertinent legal authority.
e. Disclosed to the OWCP information in connection with a claim for benefits filed by an employee.
f. Disclosed to contractors providing medical or health counseling services to Department of Labor employees when such contractors have a need for the information in connection with their services. This would include medical or health personnel and employee assistance program (EAP) counselors.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the individual's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files. Records are retained for six (6) years after the date of last entry in accordance with OPM/GOVT-10.
Director, Safety and Health Center, Office of the Assistant Secretary for Administration and Management (OASAM), U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
A request for access should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from:
a. The individual to whom the information pertains;
b. Laboratory reports and test results;
c. Medical staff working in the health unit or dispensary who have examined, tested, or treated the individual;
d. The individual's co-workers or supervisors;
e. The individual's personal physician; and/or
f. Other Federal employee health units.
None.
Administrative Grievance Records.
None.
a. Human Resources Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and National and Regional Human Resources Offices;
b. Office of the Solicitor, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and regional offices of the Solicitor.
Current or former Department employees who have filed grievances under the Department's administrative grievance procedures in accordance with 5 CFR part 771 and Departmental Personnel Regulation 771.
The system contains records relating to grievances filed by Department employees under administrative grievance procedures and in accordance with 5 CFR part 771 and Departmental Personnel Regulation 771. These case files contain all documents related to interviews and hearings, fact-finder's findings and recommendations, a copy of the original decision, and related correspondence and exhibits, including settlement agreements. This system does not include files and/or records of any grievance filed under negotiated procedures with recognized labor organizations.
5 CFR part 771.
The records are used to process grievances submitted by employees for personal relief in a matter of concern or dissatisfaction which is subject to the control of agency management.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, the Department may disclose relevant and necessary data as follows:
a. To disclose information to any source from which additional information is requested in the course of processing a grievance, to the extent necessary to identify the individual, inform the source of the purpose(s) of the request, and identify the type of information requested.
b. To disclose information to officials of the Merit System Protection Board or the Office of Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of Department rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions as may be authorized by law.
c. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices or examination of affirmative employment programs.
d. To disclose information to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.
None.
Files are stored electronically and/or on paper.
Records are retrieved by the names of the individuals on whom they are maintained.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are destroyed no sooner than four (4) years but no later than 7 years after case is closed. (N1 GRS 92-1 item 30a).
Director, Office of Human Resources Policy and Accountability, Human Resources Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals submitting grievances should already be provided with a copy of the record under the grievance process. They may, however, contact the personnel office where the action was processed, regarding the existence of such records about them. Such individuals must furnish the following information for their records to be located and identified:
a. Name;
b. Approximate date of closing of the case and kind of action taken; and
c. Organizational component involved.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information in this system of records is provided by the following:
a. The individual on whom the records are maintained;
b. Testimony of witnesses;
c. Investigative and other employment records;
d. Decisions by agency officials.
None.
Equal Employment Opportunity Complaint Files.
None.
a. Civil Rights Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210;
b. Office of the Solicitor, Washington, DC; and regional offices of the Solicitor;
c. Agency Equal Employment Opportunity (EEO) Managers, Washington, DC and regional offices.
Individuals, classes of individuals, or representatives designated to act on behalf of Department employees, former employees, or applicants for employment who have consulted with an Equal Employment Opportunity (EEO) counselor and/or who have filed a formal complaint alleging discrimination on the basis of race, color, religion, sex (including gender identity and pregnancy), national origin, disability, age, genetic information, sexual orientation, parental status and/or any basis covered by Executive Order 11478, because of a determination, decision, action, or non-action administered against them by a departmental official, as well as individuals alleging reprisal for having previously participated in EEO activity.
Records include information and/or documents pertaining to pre-complaint processing, informal resolutions, formal complaints, and investigations of complaints. These records contain complainants' names; addresses; job titles and descriptions, and dates of employment; agencies involved; counselors' reports; initial and supplemental allegations; letters and notices to individuals and organizations involved in the processing of the complaint; materials placed into the record to support or refute the alleged decisions; determination or actions taken; statements of witnesses; related correspondence; investigative reports; instructions on actions to be taken in order to comply with the provisions of a decision; opinions; recommendations; settlement agreements; and proposed and final decisions.
Secretary's Order 1-2004; Title VII of the Civil Rights Act of 1964, as amended; the Equal Pay Act; the Lilly Ledbetter Fair Pay Act of 2009; the Age Discrimination in Employment Act of 1967, as amended; the Rehabilitation Act of 1973, as amended; the Americans with Disabilities Act Amendments Act of 2008; the Genetic Information Nondiscrimination Act of 2008; the Civil Service Reform Act of 1978; the Civil Rights Act of 1991; the No FEAR Act; Executive Order 11478, as amended; Executive Order 11375, as amended; Executive Order 13163; Executive Order 13164; Executive Order 13145; 29 CFR 1614; and the Equal Employment Opportunity Commission's (EEOC) Management Directives 110 (Complaint Processing) and 715 (Effective Affirmative Programs).
These records are used to process, investigate and resolve Equal Employment Opportunity complaints within the Department.
The records in the complaint file are classified into three categories: Correspondence, investigative, and transcripts. In addition to the universal routine uses listed in the General Prefatory Statement to this document, records that are relevant and necessary may be disclosed as follows:
a. To responding officials (ROs) or other witnesses consistent with the instructions in the Equal Employment Opportunity Commission's (EEOC's) Complaint Processing Manual which provides that during the investigative process witnesses may be given access to information and documents in the correspondence files and the investigative file where the investigator determines that the disclosure of information or documents is necessary to obtain information from the witness. If the Department issues a final decision on the complaint rejecting the complainant's allegations, ROs or other witnesses may not have access to the complaint file. If the Department takes or proposes adverse action against an RO or other witness, only the records upon which the decision is based, without deletions, must be made available for his or her review.
b. To Federal agencies with jurisdiction over a complaint, including the EEOC, the Office of Personnel Management, the Merit Systems Protection Board, the Office of Special Counsel, and the Federal Labor Relations Authority, for investigatory, conciliation or enforcement purposes.
c. To a physician or medical official for the purpose of evaluating medical documents in complaints of discrimination on the basis of disability.
Files are stored electronically and/or on paper.
Paper files are indexed by complainant's name and by the office case number. Electronic files are retrieved by: Office case number; complainant's name; fiscal year; current status of complaint; region code; issue code; basis code; agency code; class action; relief code; EOS identification; investigator identification.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are destroyed 4 years after resolution of case. (N1 GRS 80 9 item 1)
Director, Civil Rights Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
An individual wishing to inquire whether this system of records contains non-exempt information about him/her should contact the System Manager. Individuals must furnish in writing the following information for their records to be located and identified: As appropriate, their full name, the name of the employing agency and/or the agency in which the situation arose if different than the employing agency, approximate date of filing complaint, region of complaint, complaint case number, and the kind(s) of action(s) taken.
Individuals wishing to request access to their records should contact the System Manager as indicated in the Notification Procedure section above.
A petition for amendment shall be addressed to the System Manager and must meet the requirements of Department's Privacy Act regulations at 29 CFR 71.1 and 71.9.
An individual to whom the record pertains; official documents relating to the processing of a complaint, including the informal and formal allegations, and appeals of departmental decisions; and respondent agency officials, employees, and other witnesses.
Under the specific exemption provided by 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act: (c)(3), (d), (e)(l), (e)(4)(G), (H), and (I),
Negotiated Grievance Procedure and Unfair Labor Practice Files.
None.
a. Human Resources Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and National and Regional personnel offices.
b. Office of the Solicitor, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and Regional offices of the Solicitor.
Department employees who have filed grievances under negotiated grievance procedures, and Department employees or Union/Union representatives (AFGE Local 12, NULI and NCFLL) who have filed unfair labor practices charges against the Department.
Records include information relating to employee grievances filed under procedures established by labor-management negotiations in the collective bargaining agreements between DOL and its three (3) Unions: The NCFLL, AFGE Local 12 and NULI, and unfair labor practice charges filed under the Federal Service Labor-Management Relations Act. The records may include information such as: Employee's name, grade, job title, employment history, arbitrator's decision or report, record of appeal to the Federal Labor Relations Authority, and a variety of employment and personnel records associated with a grievance or charge.
5 U.S.C. 7121 for grievances, 5 U.S. 7116 for unfair labor practices, Federal Service Labor-Management Relations Act and related amendments of 5 U.S.C. 5596(b) for back pay.
To process an employee's grievance filed under a negotiated grievance procedure, or an unfair labor practice charge filed by an employee or union.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, records that are relevant and necessary may be disclosed to:
a. Officials of the Merit System Protection Board or the Office of Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of Department rules and regulations, investigations or alleged or possible prohibited personnel practices, and such other functions as may be authorized by law.
b. The Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices or examination of affirmative employment programs.
c. The Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.
d. The union when requested in connection with the union's representation of the Department employee who has filed the grievance or unfair labor practice.
None.
Files are stored electronically and on paper.
Records are retrieved by name and/or case file number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are destroyed 5 years after expiration of agreement. (NC1-64-77-10 item 29a1)
Director, Office of Employee and Labor Management Relations, Human Resources Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual employees who have filed grievances and charges, employee/supervisor interviews, investigative and employment records, and findings of arbitrators and other tribunals.
Under the specific exemption provided by 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act: (c)(3), (d), (e)(l), (e)(4)(G), (H), and (I), and (f). Release of information from the complaint file to the complainant may be denied in anticipation of a civil action or proceeding, in instances where premature release of documents could hamper the decision-making process, where the release of personal information may result in an invasion of personal privacy, and where release of confidential statements could lead to intimidation or harassment of witnesses and impair future investigations by making it more difficult to collect similar information.
Personnel Investigation Records
None, except items or records within the system may have national defense/foreign policy classifications up through secret.
Director, Security Center (OASAM), U.S. Department of Labor, 200 Constitution Avenue NW, Washington, DC, 20210.
a. Current and former employees or applicants for employment in the Department.
b. Individuals considered for access to classified information or restricted areas
Investigative files and investigative index card files which pertain to clearance investigations for Federal employment. These records contain investigative information regarding an individual's character, conduct, and behavior in the community where he or she lives or lived; arrests and convictions for violations against the law; reports of interviews with present and former supervisors, coworkers, associates, educators, etc; reports about the qualifications of an individual for a specific position and files and index cards relating to adjudication matters; reports of inquiries with law enforcement agencies, employers, educational institutions attended; reports or action after OPM or FBI Section 8(d) Full Field Investigation; Notices of Security Investigation; and other information developed from above.
This system does not apply to records of a personnel investigative nature that are part of the Office of Personnel Management's (OPM) Privacy Act System OPM/CENTRAL-9, Personnel Investigation Records. Access to or amendment of such records must be obtained from OPM.
Executive Order 10450.
The purposes of this system are:
a. To provide investigatory information for determination concerning compliance with Federal personnel regulations and for individual personnel determinations including suitability and fitness for Federal employment, access and security clearances, evaluations of qualifications, loyalty to the U.S. and evaluations of qualifications and suitability for performance of contractual services for the U. S. Government.
b. To document such determinations;
c. To provide information necessary for the scheduling and conduct of the required investigations;
d. To otherwise comply with mandates and Executive Order; and
These records may also be used to locate individuals for personnel research.
These records and information in these records may be used in disclosing relevant and necessary information:
a. To designated officers and employees of agencies, offices, and other establishments in the executive, legislative, and judicial branches of the Federal Government, and the District of Columbia Government, when such agency, office, or establishment conducts an investigation of the individual for the purpose of granting a security clearance, or for the purpose of making a determination of qualifications, suitability, or loyalty to the United States Government, or access to classified information or restricted areas.
b. To designated officers and employees of agencies, offices, and other establishments in the executive, legislative, and judicial branches of the Federal Government, and the District of Columbia Government, having the responsibility to grant clearances to make a determination regarding access to classified information or restricted areas, or to evaluate qualifications, suitability, or loyalty to the United States Government, in connection with performance of a service to the Federal Government under a contract or other agreement.
c. To the intelligence agencies of the Department of Defense, the National Security Agency, the Central Intelligence Agency, the Department of Homeland Security, and the Federal Bureau of Investigation for use in intelligence activities.
d. To Federal agencies as a data source for management information through the production of summary descriptive statistics and analytical studies in support of the functions for maintained or for related studies.
e. To disclose information to officials of the Merit Systems Protection Board, including the Office of the Special Counsel, when requested in connection with appeals, special studies of the civil service and other merit systems, review of office rules and regulations, investigations of alleged or possible prohibited personnel practices, and such other functions,
f. To disclose information to the Equal Employment Opportunity Commission when requested in connection with investigations into alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative employment programs, compliance by Federal agencies with the Uniform Guideline Employee Selection Procedures, or other functions vested in the Commission by the President's Reorganization Plan No. 1 of 1978.
g. To disclose information to the Federal Labor Relations Authority or its General Counsel when requested in connection with investigations of allegations of unfair labor practices or matters before the Federal Service Impasses Panel.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the individual's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained as follows:
a. Reports of action after OPM or FBI section 8(d) background investigation are retained for the life of the investigative file.
b. Notices of Security Investigations are retained for 20 years.
Director, Security Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system was obtained from the following categories of sources:
a. Applications and other personnel and security forms furnished by the individual;
b. Investigative and other record material furnished by Federal agencies;
c. Notices of personnel actions furnished by Federal agencies;
d. By personal investigation or written inquiry from sources such as employers, educational institutions, references, neighbors, associates, police
This system may contain the following types of information:
a. Investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment. The Privacy Act, at 5 U.S.C. 552a(k)(5), permits an agency to exempt such material from certain provisions of the Act. Materials may be exempted to the extent that release of the material to the individual whom the information is about would:
i. Reveal the identity of a source who furnished information to the Government under an express promise (granted on or after September 27, 1975) that the identity of the source would be in confidence; or
ii. Reveal the identity of a source who, prior to September 27, 1975, furnished information to the Government under an implied promise that the identity of the source would be held in confidence.
b. For all the above reasons the Department hereby exempts this system from the following provisions of the Privacy Act: 5 U.S.C. 552a (c)(3),(d), (e)(1),(e)(4)(G), (H) and (I) and (f).
Civil Rights Center Discrimination Complaint Case Files.
None.
a. Civil Rights Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
b. Office of the Solicitor, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and regional offices of the Solicitor.
Individuals, classes of individuals, or representatives designated to act on behalf of individuals, who file complaints against recipients of financial assistance under Title I of either the Workforce Investment Act (WIA) or the Workforce Innovation and Opportunity Act (WIOA); One-Stop Center partners listed in Section 121(b) of either WIA or WIOA that offer programs or activities through the American Job Center system; any other recipients of financial assistance from the Department itself; Department conducted programs; or components of State or local governments that exercise responsibilities, regulate, or administer services, programs, or activities (including regulatory activities) relating to labor and the workforce.
Complainants' statements of alleged discrimination; respondents' statements; witnesses' statements; names and addresses of complainants and respondents; personal, employment, or program participation information; medical records; conciliation and settlement agreements; related correspondence; initial and final determinations; other records related to investigations of discrimination complaints.
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. 2000d to 2000d-4; Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. 1681-1688; the Age Discrimination Act of 1975, as amended, 42 U.S.C. 6101
These records are used to process, investigate and resolve discrimination complaints filed with the Department against (a) recipients of financial assistance from the Department, and, in the circumstances described in “CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM” above, from other Federal departments and agencies; (b) Department conducted programs or activities; and (c) components of State and local governments that exercise responsibilities, regulate, or administer services, programs, or activities in all programs, services, and regulatory activities relating to labor and the workforce.
None.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, records that are relevant and necessary may be disclosed as follows:
a. To the Equal Employment Opportunity Commission, Department of Justice, Federal Mediation and Conciliation Service, and other Federal departments and agencies, when relevant to matters within the jurisdiction of those agencies over a complaint, for investigatory, conciliation, enforcement, or litigation purposes.
b. To organizations (and their employees) which are subject to CRC jurisdiction under the circumstances described above, and against whom complaints in an administrative or judicial proceeding are filed to the extent necessary to effectively represent themselves, provided that the privacy of persons not a party to the dispute is protected.
c. To relevant witnesses so that they may be given access to information and documents in the correspondence files and the investigative file where the investigator determines that the disclosure of information or documents is necessary to obtain information from the witness.
d. To the Equal Employment Opportunity Commission, the Department of Justice, the Department of Health and Human Services, and other Federal entities having responsibility for coordinating civil rights activities and/or preparing reports to Congress under authorities indicated in this particular notice.
Files are stored electronically and/or on paper.
These records are retrieved by various combinations of office case numbers, complainant's name, fiscal year, current status of complaint, State, basis code, and program code.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records in this system are destroyed after one to four years. (N1 GRS 92 3 item 25c2).
Director, Civil Rights Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Individual complainants; respondent officials, employees, and witnesses; interrogatories; recipient files and records; and physicians' and other medical service providers' records.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(l); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided, however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government with an express promise that the identity of the source would be held in confidence.
Intergovernmental Personnel Act (IPA) Assignment Records.
None.
a. In Washington, DC: OASAM, Human Resources Center
b. OASAM Regional Personnel Offices.
Current or former State or local government agency or educational institution employees, employees of Indian tribal governments or employees of other organizations who have completed or are presently on an assignment in a DOL agency under the provisions of IPA.
These records consist of a copy of the individual's IPA agreement between a DOL agency and a State or local government, educational institution, Indian tribal government, or other organization; biographical and background information about the assignees.
The Intergovernmental Personnel Act of 1970. (5 U.S.C. 3371 through 3376).
These records are maintained to document and track mobility assignments under IPA.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the individual.
Accessed by authorized personnel only. Computer security safeguards are used for electronically stored data and locked for paper files.
Records are retained for a period of three years following the completion of the assignment in accordance with the applicable Records Schedule.
Director, Human Resource Services Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the assignee and officials in DOL agencies, State and local governments, educational institutions, Indian tribal governments and other organizations where the assignee is employed.
None.
Frances Perkins Building Parking Management System.
None.
Office of Facilities Management, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
All individuals assigned or applying for assignment of parking privileges in the Frances Perkins Building, Washington, DC.
This system includes: name, office building and room number, office telephone number, employing agency, home address, federal service computation date, handicap certification, automobile license number, make and year of car, permit numbers (if assigned parking privileges), category of assignment, and office location in/out of zone of special consideration.
5 U.S.C. 301.
To maintain records on individuals who are assigned or applying for assignment of parking privileges in the Frances Perkins Building.
Disclosure of information may be made to other government agencies to compare names of car pool members. [For verification, the names of car pool members, their office telephone number and permit numbers will be displayed within the Frances Perkins Building.] Applications for disabled parking shall be disclosed to the PHS for medical review and approval. The names of car pool members, permit number, agency
None.
Files are stored electronically and/or on paper.
Files are retrieved by name or permit number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained while the assignments are current and are destroyed after the completion of each parking reallocation cycle.
Director, Office of Facilities Management, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the individuals to whom the information pertains and other government agencies that provide information to the Department.
None.
Employee/Contractor/Visitor Identification System
None.
U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management (OASAM), Security Center (SC), 200 Constitution Avenue NW., Washington, DC 20210.
DOL employees and employees of contractors doing business with DOL and individuals requiring access to the DOL.
Records include individual identifiers plus a photographic image of DOL employees, DOL contractors and individuals requiring access to the department.
5 U.S.C. 301
To maintain records on the identification of persons to be rightfully admitted to DOL facilities.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the employee's or contractor's last name or social security number and agency.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained indefinitely, in accordance with Records Schedule 174 (
Director, Security Center, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this System is obtained from DOL employees, employees of contractors doing business with DOL and individuals requiring access to the DOL.
None.
Incident Report/Restriction Notice.
None.
U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management (OASAM), Security Center, 200 Constitution Avenue NW., Washington, DC 20210.
Complainants, and Suspects (Subjects of the investigations?).
Records which contain information on incidents that occurred in the Frances Perkins Building. Information includes name, agency and date of incident.
5 U.S.C. 301.
To provide a means of identifying security problems thereby making it possible to better utilize security resources.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by names.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for two years, in accordance with General Schedule Number 18.
Director, Security Center, U.S. Department of Labor, OASAM/SC, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals, DOL records, Federal investigatory agencies,
None.
OASAM Employee Administrative Investigation File.
None.
Offices within the Office of the Assistant Secretary for Administration and Management (OASAM) at the National Office and in each of the Regional Offices in addition to all OASAM client agencies in the National Office and in the regions.
OASAM employees and OASAM client agency personnel against whom allegations of misconduct have been made.
Investigative report(s), sworn affidavits, written statements, time and attendance records, earnings and leave statements, applications for leave, notifications of personnel actions, travel vouchers, SF-171's, certificates of eligible, performance appraisals, interviews and other data gathered from involved parties and organizations which are associated with the case.
5 U.S.C. 301.
To maintain records on investigations of allegations of misconduct.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name or case file number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for four (4) years following the date either case is: (a) Referred to the Office of Inspector General (OIG); (b) transferred to the Office of Personnel (OPM/GOVT-3) Records of Adverse Actions and Actions Based on Unacceptable Performance; or (c) it is determined that the allegation was without sufficient merit to warrant further action.
Director, Human Resources Center, 200 Constitution Avenue NW., Washington, DC 20210, and appropriate Regional Human Resources Officers.
Inquiries should be mailed to the System Manager.
A request for access shall be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from hotline complaints received through the OIG or General Accounting Office; incident reports submitted by employees or members of the general public; statements by subject and fellow employees; and other investigative reports.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and 5 U.S.C. 552a (f), provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Injury Compensation System (ICS).
None.
a. Offices in Washington, DC: Office of Worker Safety and Health, OASAM, and
b. OASAM Regional Personnel Offices.
Current/former employees of the Department of Labor and current/former Job Corps Center students who file, or who have filed on their behalf, workers' compensation claims for traumatic injury, occupational disease, recurrence of disability, and death.
This system contains information relating to a DOL employee's/Job Corps Center student's claim for compensation filed under procedures established by the Office of Worker's Compensation Programs.
Federal Employees' Compensation Act, as amended (codified in 5 U.S.C. 8101
The records are used as a reference, by agency officials, to track and monitor DOL employees and/or Job Corps Center students who receive continuation of pay and/or FECA compensation benefits.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Paper files are indexed by agency/region. Electronic files are retrieved by: agency/region code, case number, claimant's name, fiscal year.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
All records contained in the Injury Compensation System should be disposed of in accordance with applicable records schedules under General Records Schedule (GRS) 1.31.
Director, Office of Worker Safety and Health, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System manager.
A petition for amendment should be mailed to the System Manager.
Records in this system contain information extracted from OWCP/payroll data files/tapes and the Safety and Health Information Management System (SHIMS).
None.
DOL Flexible Workplace Programs Evaluation and Files.
None.
DOL/OASAM/Office of Human Resources, Office of Human Resource Systems and with each employee's supervisor.
DOL participants in Flexible Workplace Programs.
Records in the system include program participants, position title and grade, office location, and address of alternate work site. Records also include survey information obtained during the individual's participation.
5 U.S.C. 301.
These records are used for statistical reporting and evaluation of the DOL Flexible Workplace Program, and are not used in any way for making any determination about an identifiable individual.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual(s) name(s).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for no longer than one year after the end of the employee's participation in the program. (N1 GRS 92-1 item 42.)
U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Office of Human Resources, Office of Human Resource Systems, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual participants and their supervisors.
None.
Transit Subsidy Management System.
None.
U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management (OASAM), Human Resources Center (HRC), Office of HR Works Systems (OHRWS), 200 Constitution Avenue NW., Room S-3308, Washington, DC 20210.
All DOL employees who apply for Transit Subsidy benefits.
Records include information on DOL employees, such as name, grade, organization (code), office location, and home/work addresses.
5 U.S. C. 301.
To maintain records on the Transit Subsidy Program.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Records are retrieved by employee's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for three years and then destroyed in accordance with OASAM Record Schedule.
Director, Office of HR Works Systems, HRC, OASAM, U.S. Department of Labor, 200 Constitution Avenue NW., Room S-3308, Washington DC, 20210
Inquiries should be mailed to the System Manager.
A request for access should be mailed to System Manager.
A petition for amendments should be mailed to the System Manager.
The information contained in this system is obtained from the applicant and manually verified against DOL's Human Resources System.
None.
DOL Fitness Association (DOLFA) Membership Files.
None.
Fitness Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
DOLFA members.
Records contain information on members, such as name, medical information required with a membership application, and attendance records.
5 U.S.C. 301.
Records are used to determine eligibility for membership, emergency contact numbers, and statistical utilization of the Fitness Center.
Non-medical information collected from applicants for DOLFA membership shall be subject to those universal routine uses listed in the General Prefatory Statement to this document. In addition, relevant and necessary non-medical information may be disclosed to the current members of the DOLFA Board of Directors, and to the professional fitness specialists employed by DOLFA in the performance of their responsibilities. Medical information collected from applicants for DOLFA membership may be disclosed to the professional fitness specialists employed by DOLFA in the performance of their responsibilities.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years after a member terminates membership in DOLFA in accordance with the applicable Records Schedule.
Team Leader, Health and Fitness Team, Safety and Health Center, U.S. Department of Labor, 200 Constitution Avenue NW., Washington DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from members.
None.
DOL Child Care Subsidy Program Records.
None.
DOL/OASAM/Worklife Center.
Employees of the Department of Labor who apply for child care subsidies.
Records include application forms for the child care subsidy containing personal information, including employee (parent) name, grade, home and work addresses, telephone numbers, total family income, sources and amounts of State/County/Local subsidies, names of children on whose behalf the parent is applying for the child care subsidy, children's Social Security Numbers, children's dates of birth; information on child care providers used, including name, address, provider license number and State where issued, tuition cost, and provider tax identification number; and copies of earnings and leave statements and IRS Form 1040 and 1040A for verification purposes.
Public Law 106-58, section 643 and E.O. 9397.
To establish and verify DOL employees' eligibility for child care subsidies in order for DOL to provide monetary assistance to its employees.
None, except for those universal routine uses set forth in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual's name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for three years in accordance with OASAM Records Schedule.
U.S. Department of Labor, Office of the Assistant Secretary for Administration and Management, Human Resources Center, Office of Worklife, Leave, and Benefits Policy and Programs, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in the system is obtained from DOL employees who apply for the child care subsidy program.
None.
Personal Identity Verification Credential
Most personnel identity verification records are not classified, however, in some cases, records of certain individuals, or portions of some records, may be classified in the interest of national security.
At national and regional offices of the Department of Labor.
Individuals who require regular, ongoing access to Federal facilities, information technology systems, or information classified in the interest of national security, including applicants for employment or contracts, Federal employees, contractors, students, interns, volunteers, affiliates, individuals authorized to perform or use services provided in Department facilities (
a. Name, former names, birth date, birth place, Social Security Number, signature, home address, email address, phone numbers, residential history, citizenship, fingerprints, results of suitability decisions, date of issuance of security clearance.
b. Copies of personal identity verification (PIV) Application forms as supplied by individuals covered by the system.
c. Records maintained on individuals issued credentials by the Department include the following data fields: full name; Social Security Number; date of birth; image (photograph); fingerprints; hair color; eye color; height; weight; home address; work address; email address; agency affiliation (
5 U.S.C. § 301; E.O. 10450, 10865, 12333, and 12356; §§ 3301 and 9101 of title 5, U.S. Code; §§ 2165 and 2201 of title 42, U.S.C.; §§ 781-887 of title 50, U.S.C.; parts 5, 732, and 736 of title 5, Code of Federal Regulation; and Homeland Security Presidential Directive (HSPD) 12, Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004.
The records are used to document and verify the identity of personnel requiring routine access to a DOL facility or network.
The universal routine uses listed at paragraphs 1, 2, 3 (except as noted on forms SF 85, 85-P, and 86), 4, 5, 6, 8, 9, 10, and 12 in the General Prefatory Statement to this document apply to this system of records.
None.
Records are stored electronically and/or on paper.
Records are retrieved by name of employee, Social Security Number, other ID number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are destroyed upon notification of death or not later than five years after separation or transfer of employee to another agency or department, whichever is applicable in accordance with GRS 18 item 22a.
Additionally, in accordance with HSPD-12, PIV Cards are deactivated within 18 hours of notification regarding cardholder separation, loss of card, or expiration. The information on PIV Cards is maintained in accordance with General Records Schedule 11, Item 4. PIV Cards are destroyed by cross-cut shredding no later than 90 days after deactivation.
The relevant agency head for the applicable component agency within the U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
New Core Financial Management System (NCFMS).
None.
The information is accessed from the following locations:
a. All Departmental component offices in Washington DC;
b. All Departmental component offices in the Regions and the Areas.
All persons who receive a payment(s) from an agency/regional finance office, as well as persons who are indebted to DOL. Persons receiving payments include but are not limited to employees, vendors, travelers on official business, grantees, contractors, and consultants. Persons indebted to DOL include but are not limited to persons who have been overpaid, erroneously and/or improperly paid, as well as persons who have received from DOL goods or services for which there is a charge or fee (
Name, identification number (Taxpayer Identification Number or other identifying number), address, phone number, email address, financial account information, purpose of payment, accounting classification, amount to be paid, date and amount paid.
5 U.S.C. 301.
The records are an integral part of the accounting system at the principal operating location, agency regional offices, and specific area locations. The system uses these records to keep track of all commitments, obligations, and payments to individuals, exclusive of salaries and wages. When an individual is to repay funds advanced, the records could be used to establish a receivable record and to track repayment status. In the event of an overpayment to an individual, the record is used to establish a receivable record for recovery of the amount claimed. The records are also used internally to develop reports to the U. S. Department of Treasury and applicable state and local taxing officials of taxable income. This is a Department-wide notice of payment and collection activities at all locations listed under System Locations above.
a. Transmittal of the records to the U.S. Treasury to effect issuance of payments to payees.
b. Pursuant to section 13 of the Debt Collection Act of 1982, the name, address(es), telephone number(s), identification number (Taxpayer Identification Number or other identifying number), as well as nature, amount and history of debts of an individual may be disclosed to private debt collection agencies for the purpose of collecting or compromising a debt existing in this system.
c. Information may be forwarded to the Department of Justice as prescribed in the Joint Federal Claims Collection Standards (4 CFR Chapter II) for the purpose of determining the feasibility of enforced collection, by referring the cases to the Department of Justice for litigation.
d. Pursuant to sections 5 and 10 of the Debt Collection Act of 1982, information relating to the implementation of the Debt Collection Act of 1982 may be disclosed to other Federal Agencies to effect salary or administrative offsets.
e. Information contained in the system of records may be disclosed to the Internal Revenue Service to obtain taxpayer mailing addresses for the purpose of locating such taxpayer to collect, compromise, or write off a Federal claim against the taxpayer.
f. Information may be disclosed to the Internal Revenue Service concerning the discharge of an indebtedness owed by an individual.
g. Information will be disclosed:
i. To credit card companies for billing purposes;
ii. To other Federal agencies for travel management purposes;
iii. To airlines, hotels, car rental companies and other travel related companies for the purpose of serving the traveler. This information will generally include the name, phone number, address, charge card information and itineraries; and/or
iv. To state and local taxing officials informing them of taxable income.
The amount, status, and history of overdue debts; the name and address, identification number (Taxpayer Identification Number or other identifying number), and other information necessary to establish the identity of a debtor; and the agency and program under which the claim arose are disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f) (Check cite)), in accordance with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 3711(f) (check cite)) for the purpose of encouraging the repayment of an overdue debt.
Debts incurred by use of the official travel charge card are personal and the charge card company may report account information to credit collection and reporting agencies.
Files are stored electronically and/or on paper.
Retrievability varies according to the particular operating accounting system within the Operating Division, Agency, and Regional Office. Computer records may be retrieved by accounting classification, identification number, voucher number, or on any field in the record.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
All records in NCFMS are stored and retained for the life of the system and a minimum of six years and three months.
Associate Deputy CFO of Financial Systems, Office of the Chief Financial Officer, Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed or presented to the System Manager.
A request for access shall be addressed to the System Manager.
A petition for amendment shall be addressed to the System Manager.
Individuals, employees, other DOL systems, other Federal agencies, credit card companies, government contractors.
None.
Travel and Transportation System
None.
a. All component offices in Washington, DC;
b. Regional and area offices of the components.
All individuals who travel in an official capacity for the Department of Labor.
Various records are created and maintained in support of official travel. The forms or succeeding forms may include the following:
Telephone charge cards.
As a result of travel, individuals may become indebted to the Government. Records used to cure these claims include: Consumer credit reports, information or records relating to the debtor's current whereabouts, assets, liabilities, income and expenses, debtor's personal financial statements, and other information such as the nature, amount and history of the debt, and other records and reports relating to the implementation of the Debt Collection Act of 1982, including any investigative reports or administrative review matters.
Individuals expecting to travel at least two times per year are required to have charge cards provided by Government contract. Besides the application for such cards, records created include transaction, payment and account status data.
Travel arrangement services are also available by Government contract. Records include traveler's profile containing name of individual, social security number, home and office telephones, agency's name, address, and telephone number, air travel preference, rental car identification number and preference of car, hotel preference, current passport and/or visa number, personal credit card numbers, and additional information; travel authorization; and monthly reports from travel agent(s) showing charges to individuals, balances, and other types of account analyses. Permanent change of station travel arrangements may include information about real estate and movement of household goods. To provide more efficient processing of travel documents, travel document processing software will be used by employees to record travel planning information, expenses incurred, traveler/employer identification information (SSN, and other identifying information used in conjunction with the purposes of the software), user ID's, passwords, electronic signatures, routing lists and other information used by the system to track and process travel documentation.
Vendors and contractors provide to the Department itemized statements of invoices, and reports of transactions including refunds and adjustments to enable audits of charges to the Government.
41 CFR part 101-7 (check cite) (Federal Travel Regulations); interpret or apply 31 U.S.C. 3511, 3512, and 3523; 31 U.S.C. 3711
To facilitate performance of official Government travel by documenting the authorization of travel; payment of advances; payment of claims, invoices, vouchers, judgments; debts created by advance payments and overpayments; provision and use of government contractor-issued charge cards; and to make travel arrangements.
Data received from a charge card company under government contract will be used to perform responsibilities under section 206 of Executive Order 11222 (May 8, 1965) and 5 CFR 735.207 (Check the cite) (Office of Personnel Management Regulations) concerning requirements for employees to pay their just financial obligations in a proper and timely manner. Reports will also be monitored to ensure that the charge cards are used only in the course of official travel as required by the contract. Data will also be analyzed to permit more efficient and cost effective travel planning and management, including negotiated costs of transportation, lodging, subsistence and related services.
a. Transmittal of data to the U.S. Treasury to effect issuance of checks and Electronic Funds Transfer (EFT) payments to payees.
b. Information may be forwarded to the Department of Justice as prescribed in the Joint Federal Claims Collection Standards (4 CFR Chapter II). When debtors fail to make payment through normal collection routines, the files are analyzed to determine the feasibility of enforced collection by referring the cases to the Department of Justice for litigation.
c. Pursuant to sections 5 and 10 of the Debt Collection Act of 1982, information relating to the implementation of the Debt Collection Act of 1982 may be disclosed to other Federal Agencies to effect salary or administrative offsets, or for other purposes connected with the
d. Information contained in the system of records may be disclosed to the Internal Revenue Service to obtain taxpayer mailing addresses for the purpose of locating such taxpayer to collect, compromise, or write off a Federal claim against the taxpayer.
e. Information may be disclosed to the Internal Revenue Service concerning the discharge of an indebtedness owed by an individual, or other taxable benefits received by the employee.
f. Information will be disclosed:
i. To credit card companies for billing purposes;
ii. To Departmental and other Federal agencies such as GSA for travel management purposes;
iii. To airlines, hotels, car rental companies, travel management centers and other travel related companies for the purpose of serving the traveler. This information will generally include the name, phone number, addresses, charge card information and itineraries.
The amount, status, and history of overdue debts; the name and address, taxpayer identification number (SSN), and other information necessary to establish the identity of a debtor, the agency and program under which the claim arose, are disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)), in accordance with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966, as amended (31 U.S.C. 3711(f)) for the purpose of encouraging the repayment of an overdue debt.
Files are stored electronically and/or on paper.
Files are retrieved by name and/or social security number of traveler or by travel document number at each location.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 6 years or 3 months.
Office of the Chief Financial Officer, Travel Management Division, Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Individuals, employees, other Federal agencies, consumer reporting agencies, credit card companies, government contractors, state and local law enforcement.
None.
Job Accommodation Network (JAN) Files.
None.
Job Accommodation Network, West Virginia University, P.O. Box 6080, Morgantown, West Virginia, 26505-6080.
Individuals with disabilities, employers and the general public who request information through the JAN system.
Caller's name, address, telephone number, type of disability, functional limitations caused by the disability, accommodations discussed, type of firm or organization for whom the caller works, and anecdotal information recorded by the human factors consultant.
5 U.S.C. 301.
The Job Accommodation Network (JAN) provides free expert and confidential one-on-one technical assistance to the general public via phone, email and Web chat. JAN also provides online resources and publications, as well as in-person and Web-based trainings to private and federal sector employers; people with disabilities, including disabled veterans; employment service providers; and educational institutions regarding individualized job accommodations and workplace strategies for job applicants and employees with disabilities. JAN offers guidance on the Americans with Disabilities Act (ADA) and other disability-related legislation and self-employment and entrepreneurship options for people with disabilities.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, relevant information may be disclosed to employers for the purpose of hiring individuals with disabilities and/or for enabling the employers to accommodate employees with disabilities.
None.
Files are stored electronically.
Files are retrieved by caller's name, state, date, and case file identifying number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Records are retained permanently on the file server with access by program personnel only.
The Systems Manager is the Project Director of the Job Accommodation Network, West Virginia University, P.O. Box 6080, Morgantown, WV 26506-6080.
Inquiries should be mailed to the Office of Disability Employment Policy, 200 Constitution Ave. NW., Washington, DC 20210 or to the Freedom of Information Act/Privacy Act Coordinator, at U.S. Department of
A request for access should be mailed to Assistant Secretary for Disability Employment Policy at the above addresses.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual participants in the JAN system.
None.
Workforce Recruitment Program for College Students with Disabilities (WRP) Database.
None.
Office of Disability Employment Policy, U.S. Department of Labor, 200 Constitution Ave. NW., Room S-1303, Washington, DC 20210.
College students and recent graduates with disabilities who have interviewed with a WRP recruiter on or through a college campus.
Student's name, address, telephone number, email address, college, major, minor, credits earned, degree sought, graduation date, Grade Point Average, job preference categories, appointment type, job location preference, type of disability, job accommodation information, resume, transcripts, recruiter's summary of student's interview and ratings, veteran status, Schedule A eligibility, security clearance status and type, age, gender, and race/ethnicity.
5 U.S.C. 301.
To provide federal and private sector employers a database resource of college students and recent graduates with disabilities from which to identify qualified temporary and permanent employees in a variety of fields.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, relevant information concerning student interviewees may be disclosed to interested federal and private sector employers. Accommodation information concerning interviewees is disclosed to interested federal employers but not to private sector employers.
None.
Files are stored electronically and/or on paper.
Records are retrieved by candidate's name, system generated unique identification number, school attended, academic major keyword, graduation date, veteran status, interview notes and resume keyword, location preference, appointment type, degree program, and job preference category.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
The application materials are retained in a secure, online database for one year from date of the interview through December of the next year.
The System Manager is the WRP Project Manager, Office of Disability Employment Policy, U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC 20210.
Inquiries should be mailed or presented in writing to the System Manager at the address listed above.
Individuals wishing to gain access shall write to the Office of Disability Employment Policy at the above address or to request access to the database can register at
A petition for amendment shall be addressed to the System Manager.
College students and recent graduates with disabilities who have participated in an interview with a WRP recruiter.
None.
Office of Federal Contract Compliance Programs, Executive Management Information System (OFCCP/EIS) which includes the Case Management System (CMS), and Time Reporting Information System (TRIS).
None.
OFCCP, Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; Six Regional Offices, see the Appendix to this document for addresses.
Individuals filing complaints with OFCCP of employment discrimination by Federal Contractors and Compliance Officers.
Listing of hours utilized to perform OFCCP program responsibilities. Listing of complaints filed by individuals alleging employment and listing of hours utilized to perform OFCCP program responsibilities.
Executive Order 11246, as amended; the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212; section 503 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 793.
The Case Management System is the data entry portion of OFCCP's core case management and management information system. OFCCP Executive Information System (OFEIS) makes up the reporting side of the total system. The Office of Contract Compliance Programs Case Management System (OFCMS) provides the umbrella under which numerous applications can be accessed. The purposes of the systems are: To track and monitor, by means of an automated database, complaint investigations of employment
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the complainant, OFCCP control number, contractor establishment name and number. By identification numbers assigned to each compliance officer.
Computer security safeguards are used for electronically stored data and locked locations for paper files.
All data in the OFCCP Information System is a permanent record. In accordance with the agency records schedule, data is to be transferred to NARA every five calendar years in a format acceptable to NARA at the time of transfer [OFCCP Records Schedule N1-448-01-02, Item 9(a)].
Director, OFCCP, Room C-3325, 200 Constitution Avenue NW., Washington, DC 20210; Regional Directors for OFCCP, see Appendix I to this document for Addresses.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from OFCCP personnel working in district and regional offices.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of the source would be held in confidence.
Office of Federal Contract Compliance Programs Complaint Case Files.
None.
Office of Federal Contract Compliance Programs (OFFCP), 200 Constitution Avenue NW., Washington, DC 20210, and OFCCP Regional and District Offices (see the Appendix to this document for addresses).
Individuals, classes of individuals or representatives authorized to act on behalf of individuals or classes of individuals who have filed complaints of discrimination.
Medical records, investigative reports and materials, complaints, contract coverage information, employment applications, time and attendance records.
Executive Order 11246, as amended; the Vietnam Era Veterans' Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212, section 503 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 793.
To maintain information that is used to investigate and to resolve complaints of discrimination filed by individuals under Executive Order 11246, as amended; the Veteran Era Veterans' Readjustment Assistance Act of 1974, amended, 38 U.S.C. 4212; and section 503 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 793.
Files may be disclosed to:
a. The Equal Employment Opportunity Commission, Department of Justice, or other Federal, State or local agencies with jurisdiction over a complaint, when relevant and necessary for investigatory, conciliation or enforcement purposes;
b. Federal contractors and subcontractors against whom a complaint is filed, including providing a copy of the complaint or a summary for purposes of notice;
c. A physician or medical provider records or information for the purpose of evaluating the complaint or medical records in cases involving complaints of discrimination on the basis of disability.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name or OFCCP control number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
a. Copies of complaints referred to EEOC and other agencies for disposition under Title VII of the Civil Rights Act of 1964—Maintain in the office and destroy one calendar year after referral [OFCCP Records Schedule N1-448-01-02, Item 32(b)].
b. Records of complaints determined to be within the jurisdiction of OFCCP and investigated of OFCCP—Retain in active files until case is resolved. Retire to inactive files for a period of four calendar years in case of an appeal of findings in the case. Maintain in the office and destroy four calendar years after case is resolved [OFCCP Records Schedule N1-448-01-02, Item 32(c)].
c. All cases that are recommended for administrative enforcement under the jurisdiction of Executive Order 11246, as amended, the Rehabilitation Act of 1973, as amended, and Vietnam Era Veterans' Readjustment Assistance Act of 1974 or the Civil Rights Act of 1964—Retain in active files until case is resolved. Retire to inactive files for a
Director for Federal Contract Compliance, 200 Constitution Avenue NW., Washington, DC 20210; Regional Directors for OFCCP, see The Appendix to this document for addresses.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual and class action complainants, employers, co-workers, witnesses, State rehabilitation agencies, physicians, and other health care providers.
This system contains complaints and investigative files compiled during the course of complaint investigations and compliance reviews. In accordance with paragraph (k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), these files have been exempted from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of the Act. The disclosure of information contained in these files may in some circumstances discourage non-management persons who have knowledge of facts and circumstances pertinent to charges from giving statements or cooperating in investigations.
Freedom of Information Act/Privacy Act Records.
None but sensitive information used for law enforcement purposes.
Freedom of Information Act/Privacy Act Disclosure Office, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Persons who request access to, and copies of, records pursuant to the Freedom of Information Act (FOIA); persons who request access to, copies of, or correction of records pertaining to themselves pursuant to the Privacy Act; where applicable, persons about whom records have been requested or about whom information is contained in requested records; and persons representing those individuals identified above.
The system contains (a) copies of all correspondence, memoranda, and other documents related to FOIA and Privacy Act requests, and related records necessary to the processing of such requests; (b) copies of all documents relevant to appeals and other litigation under the FOIA and the Privacy Act.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3; Freedom of Information Act, 5 U.S.C. 552; Privacy Act, 5 U.S.C. 552a, and; 29 CFR parts 70 and 71.
This system of records is maintained in order to reflect the identity of requesters, the substance of each request, the responses made by the Office of Inspector General (OIG), and compliance with the disclosure and reporting requirements of the FOIA and the Privacy Act. Materials within this system also reflect the reasons for the disclosure and/or denial of requests, or portions of requests, and any further action on requests which may be appealed and/or litigated.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to a contractor, grantee, or other direct or indirect recipient of federal funds. A record from a system of records may be disclosed, as a routine use, to any direct or indirect recipient of federal funds where such record reflects inadequacies with respect to a recipient's activities, organization, or personnel, and disclosure of the record is made to permit the recipient to take corrective action beneficial to the Government.
e. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
f. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
g. Disclosure to an entity hearing a contract protest or dispute. A record from a system of records may be disclosed, as a routine use, to the United States Government Accountability Office, a Board of Contract Appeals, the
h. Disclosure to Office of Management and Budget (OMB) or Department of Justice (DOJ) regarding Freedom of Information Act and Privacy Act advice. Information from a system of records may be disclosed, as a routine use, to OMB or DOJ in order to obtain advice regarding statutory and other requirements under the FOIA or Privacy Act.
i. Disclosure to the Department of the Treasury (Treasury) and DOJ in pursuance of an
j. Disclosure to a consumer reporting agency in order to obtain relevant investigatory information. A record from a system of records may be disclosed, as a routine use, to a “consumer reporting agency” as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) and the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining information in the course of an investigation, or other matters related to the responsibilities of the OIG.
k. Disclosure in accordance with computer matching laws, regulations, and/or guidelines. A record may be disclosed to a federal, state, or local agency for use in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by those agencies, to support civil and criminal law enforcement activities of those agencies and their components, and to collect debts and overpayments owed to the agencies and their components. This routine use does not provide unrestricted access to records for such law enforcement and related anti-fraud activities; each request for disclosure will be considered in light of the applicable legal and administrative requirements of a computer matching program or procedure.
l. Disclosure to any law enforcement agency for inclusion in a database, system, or process. A record from a system of records may be disclosed, as a routine use, to any law enforcement agency for inclusion in a database, system, or process designed to generate investigative leads and information to be used for law enforcement purposes. This routine use also permits the disclosure of such records to any law enforcement agency with responsibility for investigating any investigative leads or information generated by the database, system, or other process in which the records were included.
m. Disclosure to any inspector general, receiver, trustee, or other overseer of any entity with respect to matters within the investigative jurisdiction of the United States Department of Labor (DOL) or the DOL OIG. A record from this system of records may be disclosed to any individual or entity with responsibility for oversight or management of any entity with respect to matters within the investigative jurisdiction of the DOL or the DOL OIG. This would include, but not be limited to, any receiver, trustee, or established inspector general, whether court appointed or otherwise, that has been duly granted authority for oversight of an entity with respect to matters within the investigative authority of the DOL or the DOL OIG.
n. Information may be disclosed to complainants and victims to the extent necessary to provide them with information concerning the process or results of the investigation or case arising from the matter about which they complained or were the victim.
o. Information may be disclosed to other Federal Offices of Inspector General and/or to the Council of the Inspectors General on Integrity and Efficiency for purposes of conducting the external review process required by the Homeland Security Act.
p. Disclosure to appropriate agencies, entities and persons when: (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DOL or another agency or entity) that rely upon the compromised information, and; (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DOL's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
Records from this system are not disclosed to consumer reporting agencies for credit rating or related purposes.
Files are stored electronically and/or on paper. The records in this system are maintained in an electronic system and paper file system in a locked office.
Files are retrieved by the name of the individual or by the case file numbers.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA).
Disclosure Officer, Office of Inspector General, U.S. Department of Labor, Room S1303, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the persons or entities making requests, from the systems of records searched to respond to requests, and from other agencies referring requests for access or correction of records originating in the Office of Inspector General.
Records obtained and stored in this system may originate from other systems of records which have been exempted under the provisions of FOIA and the Privacy Act, and these records are exempt under this system to the same extent as the systems of records from which they were obtained.
Audit Information Reporting Team Tech TEX Tracking System, within the Workpaper Tracking System.
None.
Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington DC 20210; OIG regional and field offices.
Office of Inspector General (OIG) Office of Audit staff.
Records or information contained in the system include: Employee name, position, projects assigned to employee, work and leave hours, workflow, case tracking data, and statistical data.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
This system is maintained in order to track and monitor the audit projects and other matters assigned to OIG audit staff, to document auditors' work and leave hours and travel expenses, and to run statistical reports.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to a contractor, grantee, or other direct or indirect recipient of federal funds. A record from a system of records may be disclosed, as a routine use, to any direct or indirect recipient of federal funds where such record reflects inadequacies with respect to a recipient's activities, organization, or personnel, and disclosure of the record is made to permit the recipient to take corrective action beneficial to the Government.
e. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
f. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
g. Disclosure to an entity hearing a contract protest or dispute. A record from a system of records may be disclosed, as a routine use, to the United States Government Accountability Office, a Board of Contract Appeals, the Court of Federal Claims, or other court or tribunal, in connection with bid protest cases or contract dispute cases.
h. Information may be disclosed to other Federal Offices of Inspector General and/or the Council of Inspectors General on Integrity and Efficiency (CIGIE) for purposes of conducting the external review process required by the Homeland Security Act.
j. Disclosure to appropriate agencies, entities and persons when: (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information, and; (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
Records from this system are not disclosed to consumer reporting agencies for credit rating or related purposes.
Files are stored electronically and/or on paper.
Files are retrieved by individual name(s) or project/case name/case number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA).
Assistant Inspector General for Audit, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this System is obtained from activity supervisors, and audit personnel assigned to directly
None.
Hotline and Complaints Analysis Files.
Unclassified but sensitive information used for law enforcement purposes.
Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Complainants, federal and other public employees, contractors and subcontractors, grantees and sub-grantees, benefits claimants, alleged violators of federal, state, and local laws, regulations and policies, union officers, trustees of benefit plans, and employers.
The system contains records of complaints and allegations of waste, fraud, abuse, and violations of laws, regulations, and policies; complaint letters; referrals to federal, state, and local agencies; tracking information regarding referrals; summary information for indexing and cross referencing; reports and associated materials filed with the Department of Labor (DOL) or other government agencies from medical providers, grantees, contractors, employers, insurance companies, and other sources; other evidence and background material relating to complaints existing in any form.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
This system is established and maintained to fulfill the purposes of the Inspector General Act of 1978, as amended, and to fulfill the responsibilities assigned by that Act concerning receipt of complaints and other information from which audits, investigations, inspections, and evaluations may develop. The OIG initiates investigations, audits, inspections, and evaluations of individuals, entities and programs. This system is the repository of complaint information documented and reviewed for investigative merit, referral for investigation, referral for auditing, referral to DOL program agencies or other public agencies, or no action.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either to a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to a contractor, grantee, or other direct or indirect recipient of federal funds. A record from a system of records may be disclosed, as a routine use, to any direct or indirect recipient of federal funds where such record reflects inadequacies with respect to a recipient's activities, organization, or personnel, and disclosure of the record is made to permit the recipient to take corrective action beneficial to the Government.
e. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the Office of Inspector General (OIG). A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
f. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
g. Disclosure to an entity hearing a contract protest or dispute. A record from a system of records may be disclosed, as a routine use, to the United States Government Accountability Office, a Board of Contract Appeals, the Court of Federal Claims, or other court or tribunal, in connection with bid protest cases or contract dispute cases.
h. Disclosure to the Office of Management and Budget (OMB) or Department of Justice (DOJ) regarding Freedom of Information Act (FOIA) and Privacy Act advice. Information from a system of records may be disclosed, as a routine use, to OMB or DOJ in order to obtain advice regarding statutory and other requirements under the FOIA or Privacy Act.
i. Disclosure to the Department of the Treasury (Treasury) and DOJ in pursuance of an
j. Disclosure to a consumer reporting agency in order to obtain relevant investigatory information. A record from a system of records may be disclosed, as a routine use, to a “consumer reporting agency” as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) and the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining information in the course of an investigation, or other matters related to the responsibilities of the OIG.
k. Disclosure in accordance with computer matching laws, regulations, and/or guidelines. A record may be disclosed to a federal, state, or local
l. Disclosure to any law enforcement agency for inclusion in a database, system, or process. A record from a system of records may be disclosed, as a routine use, to any law enforcement agency for inclusion in a database, system, or process designed to generate investigative leads and information to be used for law enforcement purposes. This routine use also permits the disclosure of such records to any law enforcement agency with responsibility for investigating any investigative leads or information generated by the database, system, or other process in which the records were included.
m. Disclosure to any inspector general, receiver, trustee, or other overseer of any entity with respect to matters within the investigative jurisdiction of DOL or the DOL OIG. A record from this system of records may be disclosed to any individual or entity with responsibility for oversight or management of any entity with respect to matters within the investigative jurisdiction of DOL or the DOL OIG. This would include, but not be limited to, any receiver, trustee, or established inspector general, whether court appointed or otherwise, that has been duly granted authority for oversight of an entity with respect to matters within the investigative authority of DOL or the DOL OIG.
n. Information may be disclosed to complainants and victims to the extent necessary to provide them with information concerning the process or results of the investigation or case arising from the matter about which they complained or were the victim.
o. Information may be disclosed to other Federal Offices of Inspector General and/or to the President's Council of the Inspectors General on Integrity and Efficiency for purposes of conducting the external review process required by the Homeland Security Act.
p. Disclosure to appropriate agencies, entities and persons when: (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information, and; (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DOL's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
Records from this system are not disclosed to consumer reporting agencies for credit rating or related purposes.
Files are stored electronically and/or on paper.
Paper files are retrieved by case number. Electronic files are retrieved by case number, case name, subject, cross referenced item, or batch retrieval applications.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA).
Counsel to the Inspector General, Office of Legal Services, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual complainants and other individuals possessing relevant information, Federal, state and local government records, individual and company records, court records, publicly available articles, Web sites, financial data, corporate information, and other sources that may arise.
The Secretary of Labor has promulgated regulations which exempt information contained in this system of records from various provisions of the Privacy Act depending upon the purpose for which the information was gathered and for which it will be used. The various law enforcement purposes and the reasons for the exemptions are as follows:
a. Criminal Law Enforcement: In accordance with 5 U.S.C. 552a(j)(2), information compiled for this purpose is exempt from all of the provisions of the Privacy Act except the following sections: (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). This material is exempt because the disclosure and other requirements of the Privacy Act would substantially compromise the efficacy and integrity of OIG operations in a number of ways. The disclosure of even the existence of these files would be problematic. Disclosure could enable suspects to take action to prevent detection of criminal activities, conceal evidence, or escape prosecution. Required disclosure of information contained in this system could lead to the intimidation of, or harm to, informants, witnesses and their respective families or OIG personnel and their families. Disclosure could invade the privacy of individuals other than subjects and disclose their identity when confidentially was promised or impliedly promised to them. Disclosure could interfere with the integrity of information which would otherwise be privileged (see,
The requirement that only relevant and necessary information be included in a criminal investigative file is contrary to investigative practice which requires a full and complete inquiry and exhaustion of all potential sources of information. See, 5 U.S.C. 552a(e)(1).
Similarly, maintaining only those records which are accurate, relevant, timely and complete and which assure fairness in a determination is contrary to
b. Other law enforcement: In accordance with 5 U.S.C. 552a(k)(2), investigatory material compiled for law enforcement purposes (to the extent it is not already exempted by 5 U.S.C. 552a(j)(2)), is exempted from the following provisions of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). This material is exempt because the disclosure and other requirements of the Act could substantially compromise the efficacy and integrity of OIG operations. Disclosure could invade the privacy of other individuals and disclose their identity when they were expressly promised confidentiality. Disclosure could interfere with the integrity of information which would otherwise be subject to privileges, see
c. Contract Investigations: In accordance with 5 U.S.C. 552a(k)(5), investigatory material compiled solely for the purpose of determining integrity, suitability, eligibility, qualifications, or employment under a DOL contract is exempt from the following sections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H), (I) and (f). This exemption was obtained in order to protect from disclosure the identity of confidential sources when an express promise of confidentiality has been given in order to obtain information from sources that would otherwise be unwilling to provide necessary information.
Correspondence Tracking System.
None.
Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Members of Congress and Congressional staff members; individuals who correspond with, or otherwise contact, the Office of Inspector General (OIG), and OIG staff assigned to process and handle such correspondence.
The system contains records of correspondence to and from the OIG, via letter, email, fax, or other media, and any associated records or attachments provided by the correspondent or included with the response provided by the OIG.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
This system is established and maintained to fulfill the purposes of the Inspector General Act of 1978, as amended, regarding audits, investigations, inspections, evaluations, and other oversight of Department of Labor (DOL) programs and operations, and to report to and be responsive to inquiries and other input from the public and from Congressional Committees and Members. This system is the repository of correspondence to and from the OIG, the public, and Congressional Committees and Members, and includes complaints and referrals reviewed for response by the OIG, which may include full investigation, referral for auditing, referral for DOL program agency action, or no action. The system files maintain information from the time the correspondence has been received until the correspondence file has been closed.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either to a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to a contractor, grantee, or other direct or indirect recipient of federal funds. A record from a system of records may be disclosed, as a routine use, to any direct or indirect recipient of federal funds where such record reflects inadequacies with respect to a recipient's activities, organization, or personnel, and disclosure of the record is made to permit the recipient to take corrective action beneficial to the Government.
e. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
f. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
g. Disclosure to an entity hearing a contract protest or dispute. A record from a system of records may be disclosed, as a routine use, to the United States Government Accountability Office, a Board of Contract Appeals, the Court of Federal Claims, or other court or tribunal, in connection with bid protest cases or contract dispute cases.
h. Disclosure to the Office of Management and Budget (OMB) or Department of Justice (DOJ) regarding Freedom of Information Act (FOIA) and Privacy Act advice. Information from a system of records may be disclosed, as a routine use, to the OMB or DOJ in order to obtain advice regarding statutory and other requirements under the FOIA or Privacy Act.
i. Disclosure to a consumer reporting agency in order to obtain relevant investigatory information. A record from a system of records may be disclosed, as a routine use, to a “consumer reporting agency” as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) and the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining information in the course of an investigation, or other matters related to the responsibilities of the OIG.
j. Disclosure in accordance with computer matching laws, regulations, and/or guidelines. A record may be disclosed to a federal, state, or local agency for use in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by those agencies, to support civil and criminal law enforcement activities of those agencies and their components, and to collect debts and overpayments owed to the agencies and their components. This routine use does not provide unrestricted access to records for such law enforcement and related anti-fraud activities; each request for disclosure will be considered in light of the applicable legal and administrative requirements of a computer matching program or procedure.
k. Disclosure to any inspector general, receiver, trustee, or other overseer of any entity with respect to matters within the investigative jurisdiction of the DOL or the DOL OIG. A record from this system of records may be disclosed to any individual or entity with responsibility for oversight or management of any entity with respect to matters within the investigative jurisdiction of DOL or the DOL OIG. This would include, but not be limited to, any receiver, trustee, or established inspector general, whether court appointed or otherwise, that has been duly granted authority for oversight of an entity with respect to matters within the investigative authority of DOL or the DOL OIG.
l. Information may be disclosed to complainants and victims to the extent necessary to provide them with information concerning the process or results of the investigation or case arising from the matter about which they complained or were the victim.
m. Disclosure to appropriate agencies, entities and persons when (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by DOL or another agency or entity) that rely upon the compromised information, and; (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with DOL's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
Records from this system are not disclosed to consumer reporting agencies for credit rating or related purposes.
Files are stored electronically and/or on paper.
Files are retrieved by name and case number, and are retrieved by case number, correspondent's name, subject, or cross referenced item.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA).
Assistant Inspector General for Management and Policy, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from correspondence received from Congressional offices.
The Secretary of Labor has promulgated regulations which exempt information contained in this system of records from various provisions of the Privacy Act depending upon the purpose for which the information was gathered and for which it will be used. The various law enforcement purposes and the reasons for the exemptions are as follows:
a. Criminal Law Enforcement: In accordance with 5 U.S.C. 552a(j)(2), information compiled for this purpose is exempt from all of the provisions of the Privacy Act except the following sections: (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). This material is exempt because the disclosure and other requirements of the Privacy Act would substantially compromise the efficacy and integrity of OIG operations in a number of ways. The disclosure of even the existence of these files would be problematic. Disclosure could enable suspects to take action to prevent detection of criminal activities, conceal evidence, or escape prosecution. Required disclosure of information contained in this system could lead to the intimidation of, or harm to, informants, witnesses and their respective families or OIG personnel and their families. Disclosure could invade the privacy of individuals other than subjects and disclose their identity when confidentially was promised or impliedly promised to them. Disclosure could interfere with the integrity of information which would otherwise be privileged (see,
The requirement that only relevant and necessary information be included in a criminal investigative file is contrary to investigative practice which requires a full and complete inquiry and exhaustion of all potential sources of information. See, 5 U.S.C. 552a(e)(1).
Similarly, maintaining only those records which are accurate, relevant, timely and complete and which assure fairness in a determination is contrary to established investigative techniques. See, 5 U.S.C. 552a(e)(5). Requiring investigators to obtain information to the greatest extent practicable directly from the subject individual also would be counter-productive to the thorough performance of clandestine criminal investigations. See, 5 U.S.C. 552a(e)(2). Finally, providing notice to an individual interviewed of the authority of the interviewer, the purpose which the information provided may be used, the routine uses of that information, and the effect upon the individual should he/she choose not to provide the information sought, could discourage the free flow of information in a criminal law enforcement inquiry. 5 U.S.C. 552a(e)(3).
b. Other law enforcement: In accordance with 5 U.S.C. 552a(k)(2), investigatory material compiled for law enforcement purposes (to the extent it is not already exempted by 5 U.S.C. 552a(j)(2)), is exempted from the following provisions of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). This material is exempt because the disclosure and other requirements of the Act could substantially compromise the efficacy and integrity of OIG operations. Disclosure could invade the privacy of other individuals and disclose their identity when they were expressly promised confidentiality. Disclosure could interfere with the integrity of information which would otherwise be subject to privileges, see
c. Contract Investigations: In accordance with 5 U.S.C. 552a(k)(5), investigatory material compiled solely for the purpose of determining integrity, suitability, eligibility, qualifications, or employment under a DOL contract is exempt from the following sections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H), (I) and (f). This exemption was obtained in order to protect from disclosure the identity of confidential sources when an express promise of confidentiality has been given in order to obtain information from sources that would otherwise be unwilling to provide necessary information.
Office of Inspector General (OIG) Employee Credential System
None.
Human Resources Division, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Current and former employees of the Office of Inspector General.
Records contained in a personnel database system established to control issuance of credentials to United States Department of Labor (DOL) Office of Inspector General (OIG) personnel. The system contains photographs of all employees and other materials reflecting employees' names, titles, duty locations, credential numbers, and dates of issuance.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
The credentials file system assists in the issuance and control of official credentials issued to OIG personnel for identification purposes to establish official identification and authority when interacting with the general public, or with other agencies in the performance of official duties.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either to a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
e. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
f. Disclosure to appropriate agencies, entities and persons when (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information, and; (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
None.
Files are stored electronically and/or on paper.
Files are retrieved by employee name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA)
Assistant Inspector General for Management and Policy, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from OIG employees who are issued official credentials.
None.
OIG Property Tracking Systems.
None.
Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals that are assigned custody of the Office of Inspector General (OIG) owned or leased property such as computers, cell phones, vehicles, radios, investigative equiment, firearms, and ammunition.
The systems contain records related to OIG owned or leased property, and related to the employees that are assigned such property.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3; Title 41, Federal Management Regulations.
To identify, monitor, and track all OIG owned or leased property and equipment, its assigned location, the individual assigned custody of the property, and to account for the acquisition and disposal of such property and equipment.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either to a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
e. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
f. Information may be disclosed to other Federal Offices of Inspector General and/or to the President's Council of the Inspectors General on Integrity and Efficiency for purposes of conducting the external review process required by the Homeland Security Act.
g. Disclosure to appropriate agencies, entities and persons when: (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the DOL or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
Records from this system are not disclosed to consumer reporting agencies for credit rating or related purposes.
Files are stored electronically and/or on paper.
Files are retrieved by employee name and/or assigned property number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA).
Assistant Inspector General for Management and Policy, and Assistant Inspector General for Labor Racketeering and Fraud Investigations, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from OIG program managers and employees possessing OIG owned and leased property, or employees who are responsible for monitoring such property.
None.
Office of Inspector General (OIG) Pre-employment Checks and Inquiries (PECI) System.
None.
Human Resources Division, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Current and former employees of the U.S. Department of Labor, Office of Inspector General; applicants for employment in the U.S. Department of Labor (DOL), Office of Inspector General (OIG); and individuals considered for access to restricted areas and information, such as contractors hired by the OIG, and contractor employees.
Pre-employment clearance forms and reports filed by individuals, and documents related to federal and other law enforcement checks, prior employer checks/references, credit checks, and any other records gathered during the course of the pre-employment process. A paper file is maintained for PECIs that are filed under each individual's name.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.; Executive Order 10450.
The PECI file system is a repository for documentation related to individual personnel determinations for suitability and fitness for Federal employment. The system also documents findings of law enforcement, employment, and credit inquiries, and personnel suitability determinations made by the OIG as a result of official pre-employment inquiries.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be disclosed, as a routine use, to a grand jury agent pursuant to either to a federal or state grand jury subpoena or to a prosecution request that such record be released for the purpose of its introduction to a grand jury.
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
e. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
f. Disclosure to a consumer reporting agency in order to obtain relevant investigatory information. A record from a system of records may be disclosed, as a routine use, to a “consumer reporting agency” as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) and the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining information in the course of an investigation, or other matters related to the responsibilities of the OIG.
g. Disclosure to any law enforcement agency for inclusion in a database, system, or process. A record from a system of records may be disclosed, as a routine use, to any law enforcement agency for inclusion in a database, system, or process designed to generate investigative leads and information to be used for law enforcement purposes. This routine use also permits the disclosure of such records to any law enforcement agency with responsibility for investigating any investigative leads or information generated by the database, system, or other process in which the records were included.
h. Information may be disclosed to other Federal Offices of Inspector General and/or to the President's
i. Disclosure to appropriate agencies, entities and persons when: (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA)
Assistant Inspector General for Management and Policy, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from: applications and other personnel and security forms furnished by individuals; investigative and other information furnished by Federal agencies, and; from sources such as employers, educational institutions, and credit bureaus.
None.
Investigative Case Files and Tracking System, Case Development and Intelligence Records, USDOL/OIG.
Unclassified but sensitive information used for law enforcement purposes.
Office of Inspector General (OIG), U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; OIG regional and field offices.
Individuals associated with OIG investigative operations and activities, including but not limited to: OIG employees, DOL employees, applicants for employment, contractors, subcontractors, grantees, sub-grantees, complainants, individuals threatening the Secretary of Labor or other DOL employees, alleged or suspected violators of federal laws and regulations, union officers, trustees of employee benefit plans, employers, witnesses, individuals filing claims for entitlements or benefits under laws administered by the Department of Labor, and individuals providing medical and other services for the Office of Workers Compensation Programs (OWCP) or for OWCP claimants.
The system contains records related to administrative, civil, and criminal investigations, complaints, and case workflow information, including but not limited to: Statements and other information from subjects, targets, witnesses, and complainants; materials obtained from federal, state, local, or international law enforcement or other organizations; intelligence information obtained from various sources; information relating to criminal, civil, or administrative referrals and/or results of investigations or audits; investigative notes and investigative reports; summary information for indexing and cross referencing; reports and associated materials filed with DOL or other government agencies from medical providers, grantees, contractors, employers, insurance companies, or other entities; documents obtained by subpoena, search warrant, or any other means; other evidence and background material.
Inspector General Act of 1978, as amended, 5 U.S.C. App. 3.
This system is established and maintained to fulfill the purposes of the Inspector General Act of 1978, as amended, and to fulfill the responsibilities assigned by that Act concerning investigative operations and activities. The OIG initiates investigations of individuals, entities, and programs, and this system is the repository of all investigative information developed prior to and during the course of such investigations. This system includes: (1) Records created as a result of external and internal investigations conducted by the OIG; (2) documents relating to targeting, surveys, and other projects related to the development of cases; (3) intelligence information concerning individuals identified as potential violators of federal laws and regulations, and other individuals associated with them; (4) records of complaints which are reviewed for investigative merit; and (5) case agent assignment and work allocation data.
a. Referral to federal, state, local and foreign investigative and/or prosecutive authorities. A record from a system of records, which indicates either by itself or in combination with other information within the agency's possession, a violation or potential violation of law, whether civil, criminal or administrative, and whether arising from general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, may be disclosed as a routine use, to the appropriate federal, foreign, state, or local agency or professional organization, charged with responsibility for investigating or prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order.
b. Introduction to a grand jury. A record from a system of records may be
c. Referral to federal, state, local or professional licensing boards. A record from a system of records may be disclosed, as a routine use, to any governmental, professional, or licensing authority when such record relates to qualifications, including moral, educational or vocational qualifications, of an individual seeking to be licensed or to maintain a license.
d. Disclosure to a contractor, grantee, or other direct or indirect recipient of federal funds. A record from a system of records may be disclosed, as a routine use, to any direct or indirect recipient of federal funds where such record reflects inadequacies with respect to a recipient's activities, organization, or personnel, and disclosure of the record is made to permit the recipient to take corrective action beneficial to the Government.
e. Disclosure to any source, either private or governmental, to the extent necessary to solicit information relevant to any investigation or other matters related to the responsibilities of the OIG. A record from a system of records may be disclosed, as a routine use, to any source, either private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of an investigation or other matters related to the responsibilities of the OIG.
f. Disclosure for personnel or other action. A record from a system of records may be disclosed, as a routine use, to a federal, state, local, foreign, or international agency, for their use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit, to the extent that the information is relevant and necessary to such agency's decision on the matter, or to solicit information from the federal, state, local, foreign, or international agency, for the OIG's use in connection with the assignment, hiring, or retention of an individual, issuance of a security clearance, letting of a contract, or issuance of a license, grant or other benefit.
g. Disclosure to an entity hearing a contract protest or dispute. A record from a system of records may be disclosed, as a routine use, to the United States Government Accountability Office, a Board of Contract Appeals, the Court of Federal Claims, or other court or tribunal, in connection with bid protest cases or contract dispute cases.
h. Disclosure to OMB or DOJ regarding Freedom of Information Act and Privacy Act advice. Information from a system of records may be disclosed, as a routine use, to the Office of Management and Budget, or the Department of Justice, in order to obtain advice regarding statutory and other requirements under the Freedom of Information Act or Privacy Act.
i. Disclosure to Treasury and DOJ in pursuance of an
j. Disclosure to a consumer reporting agency in order to obtain relevant investigatory information. A record from a system of records may be disclosed, as a routine use, to a “consumer reporting agency” as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) and the Federal Claims Collection Act of 1966 (31 U.S.C. 3701(a)(3)), for the purposes of obtaining information in the course of an investigation, or other matters related to the responsibilities of the OIG.
k. Disclosure in accordance with computer matching laws, regulations, and/or guidelines. A record may be disclosed to a federal, state, or local agency for use in computer matching programs to prevent and detect fraud and abuse in benefit programs administered by those agencies, to support civil and criminal law enforcement activities of those agencies and their components, and to collect debts and overpayments owed to the agencies and their components. This routine use does not provide unrestricted access to records for such law enforcement and related anti-fraud activities; each request for disclosure will be considered in light of the applicable legal and administrative requirements of a computer matching program or procedure.
l. Disclosure to any law enforcement agency for inclusion in a database, system, or process. A record from a system of records may be disclosed, as a routine use, to any law enforcement agency for inclusion in a database, system, or process designed to generate investigative leads and information to be used for law enforcement purposes. This routine use also permits the disclosure of such records to any law enforcement agency with responsibility for investigating any investigative leads or information generated by the database, system, or other process in which the records were included.
m. Disclosure to any inspector general, receiver, trustee, or other overseer of any entity with respect to matters within the investigative jurisdiction of the United States Department of Labor (DOL) or the DOL OIG. A record from this system of records may be disclosed to any individual or entity with responsibility for oversight or management of any entity with respect to matters within the investigative jurisdiction of the United States Department of Labor or the DOL OIG. This would include, but not be limited to, any receiver, trustee, or established inspector general, whether court appointed or otherwise, that has been duly granted authority for oversight of an entity with respect to matters within the investigative authority of the United States Department of Labor or the DOL OIG.
n. Information may be disclosed to complainants and victims to the extent necessary to provide them with information concerning the process or results of the investigation or case arising from the matter about which they complained or were the victim.
o. Information may be disclosed to other Federal Offices of Inspector General and/or to the President's Council of the Inspectors General on Integrity and Efficiency for purposes of conducting the external review process required by the Homeland Security Act.
p. Disclosure to appropriate agencies, entities and persons when: (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) it has been determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy any harm.
Records from this system are not disclosed to consumer reporting agencies for credit rating or related purposes.
Files are stored electronically and/or on paper.
The written case records are retrieved by case number. Electronic records are retrieved by case number, case name, subject, cross referenced item or, batch retrieval applications. Case agent work assignment information is retrieved by agent name, case name number, or OIG office.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained and disposed of in accordance with the schedules approved by the National Archives and Records Administration (NARA).
Assistant Inspector General for Labor Racketeering and Fraud Investigations, and Assistant Inspector General for Inspections and Special Investigations, Office of Inspector General, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to: Disclosure Officer, Office of Inspector General, U.S. Department of Labor, 200 Constitution Ave NW., Washington, DC 20210.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual complaints and complainants, witnesses, interviews conducted during investigations, Federal, state and local government records, individual and company records, claim and payment files, employer medical records, insurance records, court records, articles from publications, published financial data, corporate information, bank information, telephone data, service providers, other law enforcement organizations, grantees and sub-grantees, contractors and subcontractors, and other sources that may arise during the course of an investigation.
The Secretary of Labor has promulgated regulations which exempt information contained in this system of records from various provisions of the Privacy Act depending upon the purpose for which the information was gathered and for which it will be used. The various law enforcement purposes and the reasons for the exemptions are as follows:
a. Criminal Law Enforcement: In accordance with 5 U.S.C. 552a(j)(2), information compiled for this purpose is exempt from all of the provisions of the Privacy Act except the following sections: (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). This material is exempt because the disclosure and other requirements of the Privacy Act would substantially compromise the efficacy and integrity of OIG operations in a number of ways. The disclosure of even the existence of these files would be problematic. Disclosure could enable suspects to take action to prevent detection of criminal activities, conceal evidence, or escape prosecution. Required disclosure of information contained in this system could lead to the intimidation of, or harm to, informants, witnesses and their respective families or OIG personnel and their families. Disclosure could invade the privacy of individuals other than subjects and disclose their identity when confidentially was promised or impliedly promised to them. Disclosure could interfere with the integrity of information which would otherwise be privileged (see,
The requirement that only relevant and necessary information be included in a criminal investigative file is contrary to investigative practice which requires a full and complete inquiry and exhaustion of all potential sources of information. See, 5 U.S.C. 552 a(e)(1).
Similarly, maintaining only those records which are accurate, relevant, timely and complete and which assure fairness in a determination is contrary to established investigative techniques. See, 5 U.S.C. 552a(e)(5). Requiring investigators to obtain information to the greatest extent practicable directly from the subject individual also would be counter-productive to the thorough performance of clandestine criminal investigations. See, 5 U.S.C. 552a(e)(2). Finally, providing notice to an individual interviewed of the authority of the interviewer, the purpose which the information provided may be used, the routine uses of that information, and the effect upon the individual should he/she choose not to provide the information sought, could discourage the free flow of information in a criminal law enforcement inquiry. 5 U.S.C. 552a(e)(3).
b. Other law enforcement: In accordance with 5 U.S.C. 552a(k)(2), investigatory material compiled for law enforcement purposes (to the extent it is not already exempted by 5 U.S.C. 552a(j)(2)), is exempted from the following provisions of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f). This material is exempt because the disclosure and other requirements of the Act could substantially compromise the efficacy and integrity of OIG operations. Disclosure could invade the privacy of other individuals and disclose their identity when they were expressly promised confidentiality. Disclosure could interfere with the integrity of information which would otherwise be subject to privileges, see
c. Contract Investigations: In accordance with 5 U.S.C. 552a(k)(5), investigatory material compiled solely for the purpose of determining integrity, suitability, eligibility, qualifications, or employment under a DOL contract is exempt from the following sections of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H), (I) and (f). This exemption was obtained in order to protect from disclosure the identity of confidential sources when an express promise of confidentiality has been given in order to obtain information from sources who would otherwise be unwilling to provide necessary information.
Investigative Files of the Office of Labor-Management Standards.
None.
The field offices of the Office of Labor-Management Standards.
Union officials and other individuals investigated or interviewed in
Records compiled in connection with investigations conducted under the Labor-Management Reporting and Disclosure Act of 1959, as amended (LMRDA), and under the standards of conduct provisions of the Civil Service Reform Act of 1978 (CSRA) and Foreign Service Act of 1980 (FSA), and the Congressional Accountability Act of 1995 (CAA) and the implementing regulations at 29 CFR part 458.
29 U.S.C. 401
Records are compiled in connection with enforcement of the LMRDA and the standards of conduct provisions of the CSRA and FSA and CAA and the implementing regulations at 29 CFR part 458.
In addition to the routine uses listed in the General Prefatory Statement to this document, records may be disclosed to interested persons or officials as provided for in section 601(a) of the Labor-Management Reporting and Disclosure Act, 29 U.S.C. 521(a).
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of union, union officials, individuals investigated, business organizations, labor relations consultants, and other individuals and organizations deemed significant.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records pertaining to open investigations are retained in the OLMS field offices. Closed files are retained two years after which they are retired to Federal Records Centers. FRC will destroy files after eight calendar years of storage (ten years after closure of case) in accordance with OLMS Records Schedule Number N1-317-02-03/5B.
Director, Office of Field Operations, Office of Labor-Management Standards, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from labor unions, union members, union officials and employees, employers, labor relations consultants, and other individuals.
To the extent this system of records is maintained for criminal law enforcement purposes, it is exempt pursuant to 5 U.S.C. 552a(j)(2) from all provisions of the Privacy Act except the following: 5 U.S.C. 552a(b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), and (11), and (i). In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for civil law enforcement purposes is exempt for subsections (c)(3), (d), (e)(1), (e)(4), (G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individuals, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence. Exemption under 5 U.S.C. 552a(j)(2) and (k)(2) of information within this system of records is necessary to undertake the investigative and enforcement responsibilities of OLMS, to prevent individuals from frustrating the investigatory process, to prevent subjects of investigation from escaping prosecution or avoiding civil enforcement, to prevent disclosure of investigative techniques, to protect the confidentiality of witnesses and informants, and to protect the safety and well-being of witnesses, informants, and law enforcement personnel, and their families.
OLMS Public Disclosure Request Tracking System.
None.
U.S. Department of Labor, Office of Labor-Management Standards Division of Reports, Disclosure and Audits U.S. Department of Labor, Washington, DC 20210.
Individuals who request documents.
Data regarding the request for copies of annual financial reports, information reports, trusteeship reports, and constitution and bylaws filed with the Department of Labor by labor unions, as well as any other reports filed by labor union officers and employees, employers, labor relations consultants, and surety companies, in accordance with the public disclosure provisions of the Labor-Management Reporting and Disclosure Act of 1959, as amended (LMRDA). Data includes individual requester's name, title (optional), organization (optional), street address, city, state, zip code, telephone number (optional), fax number (optional), email address (optional), user name, and password; type of request (walk-in, telephone, mail, Internet, or fax); date of request; copying and certification charges; name and amount on requester's check; the name and LM Number of the labor union for which information has been requested; and the documents requested.
29 U.S.C. 435.
These records are used by authorized OLMS disclosure personnel to process requests made to the OLMS Public Disclosure Room, prepare requests for payments, and process payments.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by individual name, organization name, address, control number, or request date.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for one year or until no longer needed, in accordance with General Records Schedule Number 23, N1-GRS-23-8.
Chief, Division of Reports, Disclosure and Audits Office of Labor-Management Standards, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals requesting documents from the OLMS Public Disclosure Room, and OLMS employees processing the request.
None.
Retaliation Complaint File.
None.
At offices of the Occupational Safety and Health Administration (OSHA) including National, regional, and area offices.
Individuals who have filed complaints alleging retaliation against them by their employers, or by others, for engaging in activities protected under the various statutes set forth below, popularly referenced as whistleblower protection statutes. Complainants may file such claims with OSHA pursuant to 22 statutes: The Occupational Safety and Health Act (29 U.S.C. 660(c)); the Surface Transportation Assistance Act (49 U.S.C. 31105); the Asbestos Hazard Emergency Response Act (15 U.S.C. 2651); the International Safe Container Act (46 U.S.C. 80507); the Safe Drinking Water Act (42 U.S.C. 300j-9(i)); the Federal Water Pollution Control Act (33 U.S.C. 1367); the Toxic Substances Control Act (15 U.S.C. 2622); the Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (49 U.S.C. 42121); the Solid Waste Disposal Act (42 U.S.C. 6971); the Clean Air Act (42 U.S.C. 7622); the Comprehensive Environmental Response, Compensation and Liability Act of 1980 (42 U.S.C. 9610); the Energy Reorganization Act of 1978 (42 U.S.C. 5851); the Pipeline Safety Improvement Act of 2002 (49 U.S.C. 60129); the Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1514A); the Federal Railroad Safety Act (49 U.S.C. 20109); the National Transit Systems Security Act (6 U.S.C. 1142); the Consumer Product Safety Improvement Act (15 U.S.C. 2087); the Affordable Care Act (29 U.S.C. 218C) the Consumer Financial Protection Act of 2010 (12 U.S.C. 5567); the Seaman's Protection Act (46 U.S.C. 2114); the FDA Food Safety Modernization Act (21 U.S.C. 399d); and the Moving Ahead for Progress in the 21st Century Act (49 U.S.C. 30171).
Complainant's name, address, telephone numbers, occupation, place of employment, and other identifying data along with the allegation, OSHA forms, and evidence offered in the allegation's proof. Respondent's name, address, telephone numbers, response to notification of the complaint, statements, and any other evidence or background material submitted as evidence. This material includes records of interviews and other data gathered by the investigator.
a. The Occupational Safety and Health Act (29 U.S.C. 660(c));
b. The Surface Transportation Assistance Act (49 U.S.C. 31105);
c. The Asbestos Hazard Emergency Response Act (15 U.S.C. 2651);
d. The International Safe Container Act (46 U.S.C. 1506);
e. The Safe Drinking Water Act (42 U.S.C. 300j-9(i));
f. The Federal Water Pollution Control Act (33 U.S.C. 1367);
g. The Toxic Substances Control Act (15 U.S.C. 2622);
h. The Wendell H. Ford Aviation Investment and Reform Act for the 21st Century (49 U.S.C. 42121);
i. The Solid Waste Disposal Act (42 U.S.C. 6971);
j. The Clean Air Act (42 U.S.C. 7622);
k. The Comprehensive Environmental Response, Compensation and Liability Act of 1980 (42 U.S.C. 9610);
l. The Energy Reorganization Act of 1978 (42 U.S.C. 5851);
m. The Pipeline Safety Improvement Act of 2002 (49 U.S.C. 60129);
n. The Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1514A);
o. The Federal Rail Safety Act (49 U.S.C. 20109);
p. The National Transit Security Systems Act (6 U.S.C. 1142);
q. The Consumer Product Safety Improvement Act (15 U.S.C. 2087);
r. The Affordable Care Act (29 U.S.C. 218C));
s. The Consumer Financial Protection Act of 2010 (12 U.S.C. 5567);
t. The Seaman's Protection Act (46 U.S.C. 2114);
u. The FDA Food Safety Modernization Act (21 U.S.C. 399); and
v. The Moving Ahead for Progress in the 21st Century Act (49 U.S.C. 30171).
The records are used to support a determination by OSHA on the merits of a complaint alleging violation of the employee protection provisions of one or more of the statutes listed under “Authority.” The records also are used as the basis of statistical reports on such activity by the system manager, national office administrators, regional administrators, investigators, and their supervisors in OSHA, which reports may be released to the public.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, a record from this system of records may be disclosed as follows:
a. With respect to the statutes listed under the “Authority” category, disclosure of the complaint, as well as the identity of the complainant, and any interviews, statements, or other information provided by the complainant, or information about the complainant given to OSHA, may be made to the respondent, so that the complaint can proceed to a resolution.
b. With respect to the statutes listed under the “Authority” category, disclosure of the respondent's responses to the complaint and any other evidence it submits may be shared with the complainant so that the complaint can proceed to a resolution.
c. With respect to the statutes listed under the “Authority” category, disclosure of appropriate, relevant, necessary, and compatible investigative records may be made to other Federal agencies responsible for investigating, prosecuting, enforcing, or implementing the underlying provisions of those statutes where OSHA deems such disclosure is compatible with the purpose for which the records were collected.
d. With respect to the statutes listed under the “Authority” category, disclosure of appropriate, relevant, necessary, and compatible investigative records may be made to another agency or instrumentality of any governmental jurisdiction within or under the control of the United States, for a civil or criminal law enforcement activity, if the activity is authorized by law, and if that agency or instrumentality has made a written request to OSHA, specifying the particular portion desired and the law enforcement activity for which the record is sought.
e. With respect to the statutes listed under the “Authority” category, disclosure may be made to the media, researchers, or other interested parties of statistical reports containing aggregated results of program activities and outcomes. Disclosure may be in response to requests made by telephone, email, fax, or letter, by a mutually convenient method. Statistical data may also be posted by the system manager on the OSHA Web page.
None.
Files are stored electronically and/or on paper.
Files are retrieved by complainant's name, respondent's name, case identification number, or other identifying information.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are destroyed five years after case is closed, in accordance with Records Schedule NC 174-76-1.
Director of the Directorate of Whistleblower Protection Programs in the National Office, OSHA. 200 Constitution Avenue NW., Room N-4618, Washington, DC 20210.
Individuals wishing to inquire whether this system of records contains information about them should contact the System Manager.
Inquiries should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individual complainants who filed allegation(s) of retaliation by employer(s) against employee(s) or persons who have engaged in protected activities, also employers, employees and witnesses.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Program Activity File.
None.
Electronic files are kept at National Information Technology Center. Paper files are kept at the Occupational Safety and Health Administration's (OSHA's) regional offices.
Compliance Safety and Health Officers, State Program, Cooperative Program and Compliance Assistance Staff, and Safety and Health Consultants of the Occupational Safety and Health Administration and its grantees.
Covering current and future program activities and program support activities conducted by safety and health compliance officers, consultants, and state program, cooperative program and compliance assistance staff. Examples of program activities include inspections, complaint investigations, time tracking, compliance assistance activities, consultations, state program tracking, Voluntary Protection Programs (VPP), Partnership and Alliance activities. Program support activities includes training, administrative duties, and general program work that is not associated with a discrete program activity.
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
These records are maintained to manage, process and document OSHA program actions and program related activities that support the programs (inspection, complaint investigation, time tracking, compliance assistance, consultation, state program tracking, voluntary protection, partnership and alliance). The data compiled from these records are used to manage day-to-day program operations and to analyze program effectiveness, efficiency and resource utilization in the various program areas and on activities within those program areas. The data are used by agency officials for performance management, planning and policy purposes.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Individual records are retrievable by employee identifying number or by activity number for information related to a discrete activity. A system of permissions by job title and organization level will control access to individual records. Aggregate or summary data are retrievable based on a variety of selection criteria, including office, program area, activity type, employee category, etc.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Data files are maintained in accordance with National Archives and Records Administration Records Disposition Schedule.
Director, Office of Management Data Systems, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals wishing to inquire whether this system of records contains information about them should contact the System Manager at the address listed above.
Individuals wishing to gain access to records should contact the System Manager at the address listed above.
Individuals wishing to request amendment of any record should contact the System Manager at the address listed above.
Data records for program areas including inspection, complaint investigation, time tracking, compliance assistance, consultation, state program tracking, voluntary protection, partnership and alliance, completed by safety and health compliance officers, consultants, and state program, cooperative program and compliance assistance staff.
None.
OSHA Compliance Safety and Health Officer Training Record.
None.
Regional offices of the Occupational Safety and Health Administration; see the Appendix for addresses.
Compliance Safety and Health Officers of the Occupational Safety and Health Administration.
Records reflecting training courses and programs completed by Compliance Safety and Health Officers of the Occupational Safety and Health Administration.
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
To determine which Compliance Safety and Health Officers have completed required training and which need added training. They are used to analyze individual training needs and to assess overall needs for training in upcoming periods; used by Regional Administrators for planning and budgetary purposes.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of individual Compliance Safety and Health Officer.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 20 years in accordance with the applicable Records Schedule.
Director of the Directorate of Training and Education, 2020 South Arlington Heights Road, Arlington Heights, IL 60005.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from official personnel folders, training rosters, sign-in sheets, and bio sheets/profile.
None.
OSHA Outreach Training Program.
None.
Directorate of Training and Education, Occupational Safety and Health Administration.
Authorized OSHA Outreach Training Program trainers.
Records contain the following information: Trainer's name, ID number, most recent trainer course dates, trainer expiration date, authorizing training organization, trainer address, company name, address, telephone number, and email. Files also contain the course conducted, course emphasis, training site address, type of training site, course duration, course dates, and sponsoring organization, topics covered, the names of the students taught, and a copy of the letter sent to the trainer for that class.
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678); 5 U.S.C. 501.
To maintain, efficiently and accurately, information on OSHA authorized outreach trainers.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored on paper.
Files are retrieved by the date that the training class was held and by the name of the authorized OSHA outreach trainer.
Access by authorized personnel only. Locked locations for paper files.
Records are retained for five years in accordance with Record Schedule NC 174-76-1, Item 16.
Director, Office of Training and Educational Programs, Directorate of Training and Education, Occupational Safety and Health Administration.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from OSHA Outreach Training Program trainers.
None.
Directorate of Training and Education Computer-Based Acquisition/Financial Records System.
None.
Directorate of Training and Education, Occupational Safety and Health Administration, U.S. Department of Labor.
Staff of the Directorate of Training and Education, including the Training Institute. Individuals doing business with the Directorate of Training and Education that involve the payment or receipt of funds.
Records include necessary data to prepare a procurement requisition including: The requisition number; the name of the bureau making the procurement request; the specific page number of the requisition; the date of the requisition; the accounting code; the delivery requirement address; the official's name, title, and phone number for information concerning the procurement; an identification if the procurement is for instructional services, or for other supplies/services, if for instructional services-the course number and location of the course; a specific ordering item number and/or stock number; a narrative description of the item or service; the quantity requested; the unit price; the unit issue; the total dollar amount; the narrative justification for making the request; the name, address, and phone number of the suggested vendor; the Office division making the request; and the initials of the staff person(s) making the request. This system of records also contains the necessary data for maintaining a general ledger of accounts. Information will be taken from obligating documents. Records also include necessary data to track the receipt of all receivables.
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
To provide an acquisition and financial management system which will improve the acquisition process; and provide an efficient means for the accurate recording, tracking, reporting, and control of Directorate funds and receivables.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of vendor, by name of staff person making a procurement request, by individual travel authorization number, by individual last name, and by any of the data elements identified in the Categories of Records in the System category.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 6 years 3 months, in accordance with N1-GRS-95-4, Item 3a1a.
Director, Office of Administration and Training Information, Directorate of Training and Education, Occupational Safety and Health Administration.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from administrative and procurement files.
None.
Directorate of Training and Education Resource Center Loan Program.
None.
Directorate of Training and Education, Occupational Safety and Health Administration.
Individual borrowers who have become qualified to borrow from the Resource Center Collection of occupational safety and health materials.
Records contain borrower name, company name and address, company telephone numbers, fax number, company email address, application form number, application date, borrower category, audiovisual program title and accession number, audiovisual copyright date, transaction identification number, and transaction date.
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678) and 5 U.S.C. 301.
These records are maintained to facilitate the performance of the Resource Center Loan Program which loans occupational safety and health materials to qualified borrowers, for verification of borrower status and authorization to borrow, to track borrower requests for materials through processing and disposition, to maintain material ability and usage information, to track status and history of overdue materials, to maintain records on lost and damaged materials.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of borrower for signed borrower agreement forms (manual), by any of the data elements in Categories of Records in the System section (ADP).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 5 years in accordance with NC 174-76-1, Item 16.
Director, Office of Training and Educational Programs, Directorate of Training and Education, Occupational Safety and Health Administration.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from individuals and information pertaining to Resource Center materials is taken from Resource Center files.
None.
Office of Workers' Compensation Programs, Black Lung Antidiscrimination Files.
None.
Office of Workers' Compensation Programs, Division of Coal Mine Workers' Compensation, Department of Labor. Building, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals filing complaints against employers on account of discharge or other acts of discrimination by reason of pneumoconiosis.
Individual correspondence, investigative records, employment records, payroll records, medical reports, any other documents or reports pertaining to an individual's work history, education, medical condition or hiring practices of the employer.
30 U.S.C. 938.
To maintain records that are used to process complaints against employers who discharge or otherwise discriminate against individuals because they suffer from pneumoconiosis.
Disclosure of file content may be made to any party in interest to the complaint, including the coal company, the coal company's insurer, the claimant, medical providers, and legal representatives of any party for purposes related to the complaint.
None.
Files are stored electronically and/or on paper.
Files are retrieved by coal miner's name and social security number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 10 years after case is closed in accordance with the applicable Records Schedule.
Director, Division of Coal Mine Workers' Compensation, Department of Labor Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this System is obtained from individuals, employers, medical providers and investigators.
None.
Office of Workers' Compensation, Black Lung Benefits Claim File.
None.
Office of Workers' Compensation Programs, Division of Coal Mine Workers' Compensation, Department of Labor Building, 200 Constitution Avenue NW., Washington, DC 20210, and district offices (see addresses in the Appendix to this document).
Individuals filing claims for black lung (pneumoconiosis) benefits under the provisions of Black Lung Benefits Act, as amended, including miners, and their surviving spouses, children, dependent parents and siblings.
Personal (name, date of birth, social security number, claim type, miner's date of death), medical, and financial. Information gathered in connection with investigations concerning possible violations of Federal law, whether civil or criminal, under the authorizing legislation and related Acts. This record also contains investigative records and the work product of the Department of Labor and other governmental personnel and consultants involved in the investigations. If the individual has received benefits to which he or she is not entitled, the system may contain consumer credit reports correspondence to and from the debtor, information or records relating to the debtor's current whereabouts, assets, liabilities, income and expenses, debtor's personal financial statements, and other information such as the nature, amount and history of a claim filed by an individual covered by this system, and other records and reports relating to the implementation of the Debt Collection Act of 1982 including any investigative records or administrative review matters. The individual records listed herein are included only as pertinent to the individual claimant.
30 U.S.C. 901
To maintain records that are used to process all aspects of claims for black lung (pneumoconiosis) benefits under the provisions of the Black Lung Benefits Act, as amended, including claims filed by miners and their surviving spouses, children, dependent parents and siblings. These records are also used to process the recoupment of overpayments under the Act.
In addition to those universal routine uses listed in the General Prefatory Statement of this document, disclosure of relevant and necessary information may be made to the following:
a. Mine operators (and/or any party providing the operator with benefits insurance) who have been determined potentially liable for the claim at any time after the filing of a claim for Black Lung Benefits for the purpose of determining liability for payment.
b. State workers' compensation agencies and the Social Security Administration for the purpose of determining offsets as specified under the Act.
c. Doctors and medical services providers for the purpose of obtaining medical evaluations, physical rehabilitation or other services.
d. Other Federal agencies conducting scientific research concerning the incidence and prevention of black lung disease.
e. Representatives of the claimant for the purpose of processing the claim, responsible operator and program representation on contested issues.
f. Labor unions and other voluntary employee associations of which the claimant is a member for the purpose of assisting the member.
g. Contractors providing automated data processing services to the Department of Labor, or to any agency or entity to which release is authorized, where the contractor is providing a service relating to the purpose for which the information can be released.
h. Federal, state or local agencies if necessary to obtain information relevant to a Departmental determination of initial or continuing eligibility for program benefits, including whether benefits have been or are being paid improperly; whether dual benefits prohibited under any federal or state law are being paid; and including salary offset and debt collection procedures, including any action required by the Debt Collection Act of 1982.
i. Debt collection agency that DOL has contracted for collection services to recover indebtedness owed to the United States.
j. Internal Revenue Service for the purpose of obtaining taxpayer mailing addresses in order to locate such taxpayers to collect, compromise, or write-off a Federal claim against the taxpayer; discharging an indebtedness owed by an individual.
k. Credit Bureaus for the purpose of receiving consumer credit reports identifying the assets, liabilities, income and expenses of a debtor to ascertain the debtor's ability to pay a debt and to establish a payment schedule.
The amount, status and history of overdue debts; the name and address, taxpayer identification (SSAN), and other information necessary to establish the identity of a debtor, the agency and
Files are stored electronically and/or on paper.
Files are retrieved by coal miner's name, social security number, and claimant's social security number different from miner's.
Accessed by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for 10 years after death of last beneficiary. Denied claims are retained for 30 years after final denial in accordance with the appropriate Records Schedule.
Director, Division of Coal Mine Workers' Compensation, Department of Labor Building, Room C-3520, 200 Constitution Avenue NW., Washington, DC 20210, and district office directors (
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from individuals, organizations, and investigators.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Office of Workers' Compensation Programs, Longshore and Harbor Workers' Compensation Act Case Files.
None.
Division of Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, Washington, DC 20210, and district offices of the Office of Workers' Compensation Programs set forth in the Appendix to this document.
Employees injured or killed while working in private industry who are covered by the provisions of the Longshore and Harbor Workers' Compensation Act, the Non-Appropriated Fund Instrumentalities Act, the Defense Base Act, the War Hazards Act, the Outer Continental Shelf Lands Act, and the DC Workers' Compensation Act, referred to collectively herein as the Longshore and Harbor Workers' Compensation Act (LHWCA).
This system may contain the following kinds of records: Reports of injury by the employee and/or employer; claim forms filed by or on behalf of injured employees covered under the LHWCA or their survivors seeking benefits under the LHWCA; forms authorizing medical care and treatment; other medical records and reports; bills and other payments records; compensation payments records (including section 8(f) payment records); section 8(f) applications filed by the employer; compensation orders for or against the payment of benefits; transcripts of hearings and depositions conducted; and any other medical employer or personal information submitted or gathered in connection with the claim. The system may also contain information relating to dates of birth, marriage, divorce, and death, notes of telephone conversations conducted in connection with the claim; emails; information relating to vocational and/or medical rehabilitation plans and progress reports including communication with rehabilitation counselors, potential employers, physicians and others who have been contacted as part of the rehabilitation process, notes created by the rehabilitation specialist and the rehabilitation counselor concerning the rehabilitation process, vocational testing, and other records pertaining to the vocational rehabilitation process; records relating to court proceedings, insurance, banking, and employment; articles from newspapers and other publications; information relating to other benefits (financial and otherwise) the claimant or employer may be entitled to; and information received from various investigative agencies concerning possible violations of Federal civil or criminal law.
33 U.S.C. 901
To maintain records on the actions of insurance carriers, employers, and injured workers with respect to injuries reported under the Longshore and Harbor Workers' Compensation Act and related Acts, to ensure that eligible claimants receive appropriate benefits as provided by the Act.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of information from this system of records may also be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information was collected:
a. The employer or its representatives, including third-party administrators, and/or any party providing the employer with workers' compensation
b. Doctors, pharmacies, and other health care providers for the purpose of treating the claimant, conducting medical examinations, physical rehabilitation or other services or obtaining medical evaluations.
c. Public or private rehabilitation agencies to which the injured worker has been referred for vocational rehabilitation services so that they may properly evaluate the injured worker's experience, physical limitations and future employment capabilities.
d. Federal, state and local agencies conducting similar or related investigations to verify whether prohibited dual benefits were provided, whether benefits have been or are being paid properly, including whether dual benefits prohibited by federal law are being paid; salary offset and debt collection procedures including those actions required by the Debt Collection Act of 1982.
e. Labor unions and other voluntary associations from which the claimant has requested assistance in connection with the processing of the LHWCA claim.
f. Attorneys or other persons authorized to represent the interests of the LHWCA claimant in connection with a claim for benefits under the LHWCA, and/or a LHWCA beneficiary in connection with a claim for damages filed against a third party.
g. Internal Revenue Service for the purpose of obtaining taxpayer mailing addresses in order to locate a taxpayer to collect, compromise, or write-off a Federal claim against such taxpayer; discharging an indebtedness owed by an individual.
h. Trust funds that have demonstrated to the OWCP a right to a lien under 33 U.S.C. 917, for the purpose of permitting the trust funds to identify potential entitlement to payments upon which the trust funds may execute the lien.
None.
Files are stored electronically and/or on paper.
Files are retrieved after identification by coded file number, which is cross-referenced to injured worker by name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
The length of time that records are retained varies by type of case. Lost-time disability cases are retained for 20 years after the case is closed. Other cases where the last possible beneficiary has died are retained for 6 years and 3 months after the death of such beneficiary. “No Lost Time” cases are retained for three years after the end of the fiscal year during which the related report was received.
Director for Longshore and Harbor Workers' Compensation, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and District Directors at the district offices set forth in the Appendix.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from injured employees, their qualified dependents, employers, insurance carriers, physicians, medical facilities, educational institutions, attorneys, and State, Federal, and private vocational rehabilitation agencies.
None.
Office of Workers' Compensation Programs, Longshore and Harbor Workers' Compensation Act Special Fund System.
None.
Division of Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210.
Persons receiving compensation and related benefits under the Longshore and Harbor Workers' Compensation Act, the Non-Appropriated Fund Instrumentalities Act, the Defense Base Act, the War Hazards Act, the Outer Continental Shelf Lands Act, and the DC Workers' Compensation Act, referred to collectively herein as the Longshore and Harbor Workers' Compensation Act (LHWCA).
Medical and vocational rehabilitation reports, bills, vouchers and records of payment for compensation and related benefits, statements of employment status, and orders for payment of compensation, and U.S. Treasury Records.
33 U.S.C. 901
This system provides a record of payments to claimants, their qualified dependents, or providers of services to claimants from the Special Fund established pursuant to Section 44 of the Act.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of information from this system of records may also be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information was collected:
a. The employer or employer's representatives, including third-party administrators, and/or any party providing the employer with workers' compensation insurance coverage since the employer and insurance carrier are parties-in-interest to all actions on a case, for the purpose of assisting in the litigation of the claim, at any time after report of the injury or report of the onset of the occupational illness, or the filing of a notice of injury or claim related to such injury or occupational illness.
b. Doctors, pharmacies, and other health care providers for the purpose of treating the claimant, conducting medical examinations, physical rehabilitation or other services or obtaining medical evaluations.
c. Public or private rehabilitation agencies to which the injured worker has been referred for vocational rehabilitation services so that they may properly evaluate the injured worker's experience, physical limitations and future employment capabilities.
d. Federal, state and local agencies conducting similar or related investigations to verify whether prohibited dual benefits were provided, whether benefits have been or are being paid properly, including whether dual benefits prohibited by federal law are being paid; salary offset and debt collection procedures including those actions required by the Debt Collection Act of 1982.
e. Labor unions and other voluntary associations from which the claimant has requested assistance with the processing of the LHWCA claim.
f. Internal Revenue Service for the purpose of obtaining taxpayer mailing addresses in order to locate such taxpayer to collect, compromise, or write-off a Federal claim against the taxpayer; discharging an indebtedness owed by an individual.
g. Trust funds that have demonstrated to the OWCP a right to a lien under 33 U.S.C. 917, for the purpose of permitting the trust funds to identify potential entitlement to payments upon which the trust funds may execute the lien.
h. To individuals, and their attorneys and other representatives, and government agencies, seeking to enforce a legal obligation on behalf of such individual, to pay alimony and/or child support, for the purpose of enforcing such an obligation, pursuant to an order of a state or local court of competent jurisdiction, including Indian tribal courts, within any State, territory or possession of the United States, or the District of Columbia or to an order of a State agency authorized to issue income withholding notices pursuant to State or local law or pursuant to the requirements of section 666(b) of title 42, United States Code, or for the purpose of denying the existence of funds subject to such legal obligation.
None.
Files are stored electronically and/or on paper.
Files are retrieved by social security number, which is cross-referenced to injured worker by name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for seven years after last payment is made.
Director for Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from injured employees, their qualified dependents, employers, insurance carriers, physicians, medical facilities, educational institutions, attorneys, and State, Federal, and private vocational rehabilitation agencies.
None.
Office of Workers' Compensation Programs, Longshore and Harbor Workers' Compensation Act Investigation Files.
None.
Division of Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, Washington, DC 20210, and district offices of the Office of Workers' Compensation Programs set forth in the Appendix to this document.
Individuals filing claims for workers' compensation benefits under the Longshore and Harbor Workers' Compensation Act, the Non-Appropriated Fund Instrumentalities Act, the Defense Base Act, the War Hazards Act, the Outer Continental Shelf Lands Act, and the DC Workers' Compensation Act, referred to collectively herein as the Longshore and Harbor Workers' Compensation Act (LHWCA); individuals providing medical and other services to the Division; employees of insurance companies and of medical and other services providers to claimants; and other persons suspected of violations of law under the Act, including related civil and criminal provisions.
Records which contain information gathered in connection with investigations concerning possible violations of Federal law, whether civil or criminal, under the LHWCA. This system also contains the work product of the Department of Labor and other government personnel and consultants involved in the investigations.
33 U.S.C. 901
To maintain records for the purpose of assisting in determinations of possible violations of Federal law, whether civil or criminal, in connection with reported injuries under the LHWCA.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of relevant and necessary information from this system of records may also be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information was collected: Internal Revenue Service, for the purpose of obtaining taxpayer mailing addresses in order to locate a taxpayer to collect, compromise, or write-off a Federal claim against such taxpayer; discharging an indebtedness owed by an individual.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of individual being investigated.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Retention time varies by type of compensation case and/or investigative file. For example, if the investigative file is about a lost-time case, it is transferred to the Federal Records Center two years after the related compensation case is closed, and destroyed twenty years after the case is closed. If the investigative file is about a death case, it is retained in the office as long as there are qualified dependents, and destroyed six years, three months after final closing. “No Lost Time” cases are destroyed three years after the end of the fiscal year during which the related report was received.
Director for Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210, and District Directors in the district offices of the Office of Workers' Compensation Programs set forth in the Appendix to this document.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from Division claim and payment files and from employees, insurers, service providers; and information received from parties leading to the opening of an investigation, or from interviews held during the course of an investigation.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Office of Workers' Compensation Programs, Longshore and Harbor Workers' Compensation Act Claimant Representatives.
None.
Division of Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, Washington, DC 20210, and district offices of the Office of Workers' Compensation Programs set forth in the Appendix to this document.
Individuals alleged to have violated the provisions of the Longshore and Harbor Workers' Compensation Act, the Non-Appropriated Fund Instrumentalities Act, the Defense Base Act, the War Hazards Act, the Outer Continental Shelf Lands Act, and the DC Workers' Compensation Act, referred to collectively herein as the Longshore and Harbor Workers' Compensation Act (LHWCA) and the LHWCA's implementing regulations relating to representation of claimants/beneficiaries before the Department of Labor, including the Office of Administrative Law Judges and the Benefits Review Board, those found to have committed such violations and who have been disqualified, and those who are investigated but not disqualified. This system would also cover those persons who have been reinstated as qualified claimant representatives.
Records in the system will consist of information such as the representative's name and address, the names and addresses of affected claimants/beneficiaries, copies of relevant
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 931(b)(2)(B).
These records contain information on activities—including billing—relating to representation of claimants/beneficiaries, including documents relating to the debarment of representatives under other Federal or state programs.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of relevant and necessary information from this system of records may also be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information was collected:
a. A claimant/beneficiary for the purpose of informing him/her that his/her representative has been disqualified from further representation under the Longshore Act.
b. Employers, insurance carriers, state bar disciplinary authorities, and the general public, for the purpose of providing information concerning the qualification of person(s) to act as a claimant representative under the Act.
c. Federal, state or local agency maintaining pertinent records, if necessary to obtain information relevant to a Departmental decision relating to debarment actions.
Pursuant to 5 U.S.C. 552a(b)(1), information from this system of records is disclosed to members and staff of the Office of Administrative Law Judges, the Benefits Review Board, the Office of the Solicitor and other components of the Department who have a need for the record in the performance of their duties.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the representative.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained in the office for three years after the debarment action is final and then transferred to the Federal Records Center, and destroyed thirty years after the debarment action is final. Where the period of exclusion is defined as a set period of time, the file will be retained two years after the period of exclusion expires (or the individual is otherwise reinstated), then transferred to the Federal Records Center, and destroyed thirty years after the debarment action is final.
Director for Longshore and Harbor Workers' Compensation Act, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210, and District Directors in district offices set forth in the Appendix.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from employees, employers, insurance carriers, members of the public, agency investigative reports, and from other DOL systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Office of Workers' Compensation Programs, Physicians and Health Care Providers Excluded under the Longshore Act.
None.
Division of Longshore and Harbor Workers' Compensation, Office of Workers' Compensation Programs, Washington, DC 20210, and district offices of the Office of Workers' Compensation Programs set forth in the Appendix to this document.
Providers of medical goods and services, including physicians, hospitals, and providers of medical support services or supplies excluded or considered for exclusion from payment under the Longshore Act and Harbor Workers' Compensation Act, the Non-Appropriated Fund Instrumentalities Act, the Defense Base Act, the War Hazards Act, the Outer Continental Shelf Lands Act, and the DC Workers' Compensation Act, referred to collectively herein as the Longshore and Harbor Workers' Compensation Act (LHWCA).
Copies of letters, lists, and documents from Federal and state agencies concerning the administrative debarment of providers from participation in programs providing benefits similar to those of the Longshore and Harbor Workers' Compensation Act and their reinstatement; materials concerning possible fraud or abuse which could lead to exclusion of a provider; documents relative to reinstatement of providers; materials concerning the conviction of providers for fraudulent activities in connection with any Federal or state program for which payments are made to providers for similar medical services; all letters, memoranda, and other documents regarding the consideration of a provider's exclusion, the actual exclusion, or reinstatement under the provisions of 20 CFR 702.431
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 907(c).
To maintain records to determine the propriety of instituting debarment actions under the Longshore Act. These records also provide information on treatment, billing and other aspects of a medical provider's actions, and/or documentation relating to the debarment of the medical care provider under another Federal or state program.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of information from this system of records may be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information is collected:
a. Federal, state or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, and any other entities or individuals, for the purpose of identifying an excluded or reinstated provider, to ensure that authorization is not issued nor payment made to an excluded provider, and for the purpose of providing notice that a formerly excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, and any other entities or individuals, for the purpose of obtaining information necessary to ensure that the list of excluded providers is correct, useful, and updated, as appropriate, and for the purpose of obtaining information relevant to a Departmental decision regarding a debarment action. This routine use encompasses the disclosure of such information which will enable the Department to properly verify the identity of a provider, to identify the nature of a violation, and the penalty imposed for such violation.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the provider.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Files are retained for three years after the debarment action is final and then transferred to the Federal Records Center, and destroyed thirty years after the debarment action is final. Where the period of exclusion is defined as a set period of time, the file will be retained two years after the period of exclusion expires (or the individual is otherwise reinstated), then transferred to the Federal Records Center, and destroyed thirty years after the debarment action is final.
Director for Longshore and Harbor Workers' Compensation Act, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210, and District Directors in the district offices set forth in the Appendix to this document.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from Federal, state or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, any other entities or individuals, public documents, and newspapers, as well as from other Department of Labor systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal
Office of Workers' Compensation Programs, Physicians and Health Care Providers Excluded under the Federal Employees' Compensation Act.
None.
The Division of Federal Employees' Compensation, Office of Workers' Compensation Programs, Washington, DC 20210, and district offices of the Office of Workers' Compensation Programs set forth in the Appendix to this document.
Providers of medical goods and services, including physicians, hospitals, and providers of medical support services or supplies excluded or considered for exclusion from payment under the Federal Employees' Compensation Act for fraud or abuse (20 CFR 10.815-826).
Copies of letters, lists and documents from Federal and state agencies concerning the administrative debarment of providers from participation in programs providing benefits similar to those of the Federal Employees' Compensation Act and their reinstatement; materials concerning possible fraud or abuse which could lead to exclusion of a provider; documents relative to reinstatement of providers, materials concerning the conviction of providers for fraudulent activities in connection with any Federal or state program for which payments are made to providers for similar medical services; all letters, memoranda, and other documents regarding the consideration of a provider's exclusion, the actual exclusion, or reinstatement under the provisions of 20 CFR 10.815-826; copies of all documents in a claim file relating to medical care and/or treatment including bills for such services, as well as letters, memoranda, and other documents obtained during investigations, hearings and other administrative proceedings concerning exclusion for fraud or abuse, as well as reinstatement, along with recommendations and decisions; lists of excluded providers released by the OWCP.
Federal Employees' Compensation Act (5 U.S.C. 8101
To maintain records to determine the propriety of instituting debarment actions under the Federal Employees' Compensation Act. These records also provide information on treatment, billing and other aspects of a medical provider's actions, and/or documentation relating to the debarment of the medical care provider under another Federal or state program.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of information from this system of records may be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information is collected:
a. Federal, state or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, and any other entities or individuals, for the purpose of identifying an excluded or reinstated provider, to ensure that authorization is not issued nor payment made to an excluded provider, and for the purpose of providing notice that a formerly excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, and any other entities or individuals, for the purpose of obtaining information necessary to ensure that the list of excluded providers is correct, useful, and updated, as appropriate, and for the purpose of obtaining information relevant to a Departmental decision regarding a debarment action. This routine use encompasses the disclosure of such information that will enable the Department to properly verify the identity of a provider, to identify the nature of a violation, and the penalty imposed for such violation.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the provider, a case citation, or date of release.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Files are retained for three years after the debarment action is final and then transferred to the Federal Records Center, and destroyed thirty years after the debarment action is final. Where the period of exclusion is defined as a set period of time, the file will be retained two years after the period of exclusion expires (or the individual is otherwise reinstated), then transferred to the Federal Records Center, and destroyed thirty years after the debarment action is final.
Director for Federal Employees' Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210, and the District Directors of the district offices set forth in the Appendix to this document.
Inquiries should be mailed to the System Manager. In order for the record to be located, the individual must provide his or her full name, date of birth, and signature.
A request for access should be mailed to the System Manager. In order for the record to be located, the individual must provide his or her full name, date of birth, and signature.
Specific materials in this system have been exempted from certain Privacy Act provisions regarding the amendment of records. The section of this notice Entitled “Systems Exempted from Certain Provisions of the Act” indicates the kind of materials exempted, and the reasons for exempting them. Any individual requesting amendment of non-exempt records should contact the appropriate the system manager. Individuals requesting amendment of records must comply with the Department's Privacy Act regulations at 29 CFR 71.1 and 71.9.
Information contained in this system is obtained from Federal, state or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, any other entities or individuals, public documents, and newspapers, as well as from other Department of Labor systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material compiled for law enforcement purposes which is maintained in the investigation files of the Office of Workers' Compensation Programs, is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a. The disclosure of information contained in civil investigative files, including the names of persons and agencies to which the information has been transmitted, would substantially compromise the effectiveness of the investigation. Knowledge of such investigations would enable subjects to take such action as is necessary to prevent detection of illegal activities, conceal evidence or otherwise escape civil enforcement action. Disclosure of this information could lead to the intimidation of, or harm to, informants and witnesses, and their respective families, and the wellbeing of investigative personnel and their families.
Office of Workers' Compensation Programs, Black Lung Automated Support Package.
None.
Office of Workers' Compensation Programs, Division of Coal Mine Workers' Compensation, U.S. Department of Labor Building, 200 Constitution Ave. NW., Washington, DC 20210, and district offices (see addresses in the Appendix to this document).
Individuals filing claims for black lung benefits; claimants receiving benefits; dependents of claimants and beneficiaries; medical providers; attorneys representing claimants; coal mine operators; workers' compensation insurance carriers.
Records included are personal (name, date of birth, SSN, claim type, miner's date of death); demographic (state, county, city, congressional district, zip code); mine employment history; medical records; initial determination; conference results; hearing results; medical and disability payment history; accounting information including data on debts owed to the United States; Social Security Administration black lung benefits data; state workers' compensation claim and benefits data; coal mine operator names, addresses, states of operation and histories of insurance coverage; and medical service providers' names, addresses, license numbers, medical specialties, tax identifications and payment histories.
30 U.S.C. 901
To maintain data on claimants, beneficiaries and their dependents; attorneys representing claimants; medical service providers; coal mine operators and insurance carriers. Provide means of automated payment of medical and disability benefits. Maintain a history of medical bills submitted by beneficiaries and medical service providers. Maintain a history of disability benefit payments made to beneficiaries and medical benefit payments made to beneficiaries and medical service providers. Maintain program accounting information including information on debts owed to the United States. Provide a means for the automatic recoupment of overpayments made to beneficiaries and medical service providers.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of relevant and necessary information may be made to the following:
a. Mine operators (and/or any party providing the operator with workers' compensation insurance) who have been determined potentially liable for the claim at any time after the filing of a notice of injury or claim related to such injury or occupational illness, for the purpose of determining liability for payment.
b. State workers' compensation agencies and the Social Security Administration for the purpose of determining offsets as specified under the Act.
c. Doctors and medical services providers for the purpose of obtaining medical evaluations, physical rehabilitation or other services.
d. Other Federal agencies conducting scientific research concerning the incidence and prevention of black lung disease.
e. Legal representatives, or person authorized to act on behalf of the claimant, responsible operator and program representation on contested issues.
f. Labor unions and other voluntary employee associations of which the claimant is a member for the purpose of exercising an interest in claims of members as part of their service to the members.
g. Contractors providing automated data processing services to the Department of Labor, or to any agency or entity to whom release is authorized, where the contractor is providing a service relating to the purpose for which the information can be released.
h. Federal, state or local agencies if necessary to obtain information relevant to a determination of initial or continuing eligibility for program benefits, whether benefits have been or are being paid improperly, including whether dual benefits prohibited under any federal or state law are being paid; and salary offset and debt collection procedures, including any action required by the Debt Collection Act of 1982, 31 U.S.C. 3711.
i. Debt collection agency that DOL has contracted for collection services to recover indebtedness owed to the United States.
j. Internal Revenue Service for the purpose of obtaining taxpayer mailing addresses in order to locate taxpayers to collect, compromise, or write-off a Federal claim against the taxpayer;
k. Credit Bureaus for the purpose of receiving consumer credit reports identifying the assets, liabilities, income and expenses of a debtor to ascertain the debtor's ability to pay a debt and to establish a payment schedule.
The amount, status and history of overdue debts; the name and address, taxpayer identification (SSAN), and other information necessary to establish the identity of a debtor, the agency and program under which the claim arose, are disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f); or in accordance with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f) for the purpose of encouraging the repayment of an overdue debt.
Files are stored electronically and/or on paper.
Files are retrieved by coal miner's name and social security number; medical provider number; coal mine operator number; insurance carrier number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Electronic file data has permanent retention. Claimant and benefit master file data will be transferred to magnetic tape and transmitted to NARA every ten years. This data (which includes both open and closed cases) will not be made available to the public until ninty years after transfer to NARA due to Privacy Act restrictions.
Director, Division of Coal Mine Workers' Compensation, U.S. Department of Labor, Room C-3520, 200 Constitution Ave. NW., Washington, DC 20210, and district office director (see addresses in The Appendix to this document).
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from individuals and organizations.
Investigatory portion of system exempted from certain provisions of the Act: In accordance with paragraph 3(k)(2) of the Privacy Act, investigatory material compiled for civil law enforcement purposes, which is maintained in this system's files of the Office of Workers' Compensation Programs of the Employment Standards Administration, is exempt from paragraphs (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and paragraph (f) of 5 U.S.C. 552a. The disclosure of civil investigatory information, if any, contained in this system's files, including the names of persons and agencies to whom the information has been transmitted, would substantially compromise the effectiveness of investigations. Knowledge of such investigations would enable subjects to take such action as is necessary to prevent detection of illegal activities, conceal evidence, or otherwise escape civil enforcement action. Disclosure of this information could lead to the intimidation of, or harm to informants, witnesses, and their respective families, and in addition, could jeopardize the safety and well-being of investigative personnel and their families.
Office of Workers' Compensation Programs, Federal Employees' Compensation Act (FEC) and Longshore and Harbor Workers' Compensation Act Rehabilitation Counselor Case Assignment, Contract Management and Performance Files and FEC Field Nurses.
None.
Files concerning rehabilitation counselors are located in the Federal Employees' Compensation (FEC) and Longshore and Harbor Workers' Compensation (Longshore) District Offices where the counselor is certified. Files for FEC field nurses are found in FEC district offices. See the Appendix to this document for District Office addresses.
The rehabilitation counselor/nurse files cover individuals who have entered into a contract with the Office of Workers' Compensation Programs to provide rehabilitation counselor or nursing services under the Federal Employees' Compensation Act (FECA) and/or the Longshore and Harbor Workers' Compensation Act (LHWCA).
Names, addresses and information on qualifications of rehabilitation counselors/nurses certified by and under contract with OWCP to provide rehabilitation services to injured workers under the FECA and LHWCA or field nurse services under FECA. In addition there are records compiled and maintained by the rehabilitation specialist or the OWCP staff nurse, concerning the assignment of rehabilitation/field nurse cases to the counselor/nurse and the performance of the counselor/nurse in fulfilling the duties under the contract with OWCP.
33 U.S.C. 939(c)(2); 5 U.S.C. 8101
These records are maintained to provide information about the rehabilitation counselor or field nurse, including the name, address, telephone number, counselor/nurse status, skill codes, number of referrals, status of referrals and notes. These notes can include evaluation of performance and other matters concerning performance of the contract.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the counselor/nurse through the database and/or files maintained in the appropriate OWCP district office.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for two years after the rehabilitation counselor or field nurse have stopped providing services to OWCP.
Director for Longshore and Harbor Workers' Compensation, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210; and District Directors at the FECA district offices set forth in the Appendix.
Inquiries should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A request for access should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
A petition for amendment should be mailed to the System Manager or submitted in such other manner as directed by OWCP.
Information contained in this system is obtained from rehabilitation counselors, field nurses, other individuals, correspondence, investigative reports, Federal and state agency records, any other record or document pertaining to a contract.
None.
Office of Workers' Compensation Programs, Energy Employees Occupational Illness Compensation Program Act File.
Most files and data are unclassified. Files and data in certain cases have Top Secret classification, but the rules concerning their maintenance and disclosure are determined by the agency that has classified the information.
At component agency national, district, and contractor offices.
Individuals or their survivors who claim benefits under the Energy Employees Occupational Illness Compensation Program Act (EEOICPA). These individuals include, but are not limited to, Federal employees or survivors of Federal employees; and employees or survivors of employees of the United States Department of Energy, its predecessor agencies, and their contractors and subcontractors.
This system may contain the following kinds of records: Claim forms filed by or on behalf of individuals with illnesses or their survivors seeking benefits under the EEOICPA; reports by the employee and/or the United States Department of Energy; employment records; exposure records; safety records or other incident reports; dose reconstruction records; workers' or family members' contemporaneous diaries, journals, or other notes; forms authorizing medical care and treatment; other medical records and reports; bills and other payment records; compensation payment records; formal orders for or against the payment of benefits; transcripts of hearings conducted; and any other medical, employment, or personal information submitted or gathered in connection with a claim. The system may also contain information relating to dates of birth, marriage, divorce, and death; notes of telephone conversations conducted in connection with a claim; information relating to medical rehabilitation plans and progress reports; records relating to court proceedings, insurance, banking and employment; articles from newspapers and other publications; information relating to other benefits (financial and otherwise) that an employee and/or survivor may be entitled to, including previously filed claims; and information received from various investigative agencies concerning possible violations of Federal civil or criminal law.
The system may also contain consumer credit reports on individuals indebted to the United States, information relating to the debtor's assets, liabilities, income and expenses, personal financial statements, correspondence to and from the debtor, information relating to the location of the debtor, and other records an reports relating to the implementation of the Federal Claims Collection Act (as amended), including investigative reports or administrative review matters. Individual records listed here are included in a claim file only insofar as they may be pertinent or applicable to the individual claiming benefits.
Energy Employees Occupational Illness Compensation Program Act of 2000, Title XXXVI of Public Law 106-398, October 30, 2000, 114 Stat. 1654, and as amended.
To maintain records on individuals who file claims with the Department under EEOICPA, which establishes a program for compensating certain individuals for covered illnesses related to exposure to beryllium, radiation, silica, and other toxic substances. These records provide information and verification about individual claimants' covered illnesses that may be used to
In addition to those universal routine uses listed in the General Prefatory Statement to this document, disclosure of information from this system of records may be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is both relevant and necessary and is compatible with the purpose for which the information was collected:
a. To any attorney or other representative of an EEOICPA beneficiary for the purpose of assisting in a claim or litigation against a third party or parties potentially liable to pay damages as a result of the beneficiary's compensable condition, and for the purpose of administering the provisions of §§ 3641-3642 of the EEOICPA. Any such third party, or a representative acting on that third party's behalf, may be provided with information or documents concerning the existence of a record and the amount and nature of compensation paid to or on behalf of the beneficiary for the purpose of assisting in the resolution of the claim or litigation against that party or administering the provisions of §§ 3641-3642 of the EEOICPA.
b. To the United States Department of Energy, its contractors and subcontractors, and the Federal agency that employed the employee at the time of the alleged exposure, as well as to other entities that may possess relevant information, to assist in administering the EEOICPA, to answer questions about the status of the claim, to consider other actions the agency or entity may be required to take with regard to the claim, or to permit the agency or entity to evaluate its safety and health program. Disclosure to other Federal agencies, including the Department of Justice, may be made when OWCP determines that such disclosure is relevant and necessary for the purpose of providing assistance in regard to asserting a defense based upon the EEOICPA's exclusive remedy provision to an administrative claim or to litigation filed under the Federal Tort Claims Act.
c. To the personnel, contractors, grantees, and cooperative agreement holders of the Department of Energy, the Department of Health and Human Services, the Department of Justice, and other Federal agencies designated by the President to implement the Federal compensation program established by the EEOICPA, for the purpose of assisting in the adjudication or processing of a claim under that Act.
d. To physicians, pharmacies, and other health care providers for their use in treating the claimant, conducting an examination, preparing an evaluation on behalf of OWCP, and for other purposes relating to the medical management of the claim including evaluation of a payment for charges of medical and related services and supplies.
e. To medical insurance or health and welfare plans (or their designees) that cover the claimant in instances where OWCP had paid for treatment of a medical condition that is not compensable under the EEOICPA, or where a medical insurance plan or health and welfare plan has paid for treatment of a medical condition that may be compensable under the EEOICPA, for the purpose of resolving the appropriate source of payment in such circumstances.
f. To a Federal, State or local agency for the purpose of obtaining information relevant to a determination concerning initial or continuing eligibility for EEOICPA benefits, and for a determination concerning whether benefits have been or are being properly paid, including whether dual benefits that are prohibited under any applicable Federal or State statute are being paid. In addition, for the purpose of utilizing salary offset and debt collection procedures, including those actions required by the Debt Collection Act of 1982, to collect debts arising as a result of overpayments of EEOICPA compensation and debts otherwise related to the payment of EEOICPA benefits.
g. To the Internal Revenue Service (IRS) in order to obtain taxpayer mailing addresses for the purposes of locating a taxpayer to collect, compromise, or write-off a Federal claim against such taxpayer; and informing the IRS of the discharge of a debt owed by an individual. Records from this system of records may also be disclosed to the IRS for the purpose of offsetting a Federal claim from any income tax refund that may be due to the debtor.
h. Where an investigation, settlement of claims, or the preparation and conduct of litigation is undertaken, a record may be disclosed to (1.) a person representing the United States or the Department in the investigation, settlement or litigation, and to individuals assisting in such representation; (2.) others involved in the investigation, settlement, and litigation, and their representatives and assistants; and (3.) a witness, potential witness, or their representatives and assistants, and to any other person who possesses information pertaining to the matter, when such disclosure is necessary for the conduct of the investigation, settlement, or litigation, or is necessary to obtain information or testimony relevant to the matter.
i. To the Defense Manpower Data Center—Department of Defense and the United States Postal Service to conduct computer matching programs for the purpose of identifying and locating individuals who are receiving Federal salaries or benefit payments and are delinquent in their repayment of debts owed to the United States under programs administered by the Department in order to collect the debts under the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365) by voluntary repayment, or by salary or administrative offset procedures.
j. To a credit bureau for the purpose of obtaining consumer credit reports identifying the assets, liabilities, expenses, and income of a debtor in order to ascertain the debtor's ability to repay a debt incurred under EEOICPA, to collect the debt, or to establish a payment schedule.
k. The amount, status and history of overdue debts, the name and address, taxpayer identification (SSN), and other information necessary to establish the identity of a debtor, the agency and program under which the claim arose, may be disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose of encouraging the repayment of an overdue debt.
l. To individuals, and their attorneys and other representatives, and government agencies, seeking to enforce a legal obligation on behalf of such individual or agency, to pay alimony and/or child support for the purpose of enforcing such an obligation, pursuant to an order of a state or local court of competent jurisdiction, including Indian tribal courts, within any State, territory, or possession of the United States, or the District of Columbia or to an order of a State agency authorized to issue income withholding notices pursuant to State or local law or pursuant to the requirements of § 666(b) of title 42, U.S.C., or for the purpose of denying the existence of funds subject to such legal obligation.
m. To the spouse, children, parents, grandchildren, or grandparents of deceased employees who may be
n. To a Member of Congress or to a Congressional Staff Member in response to an inquiry made by an individual seeking assistance who is the subject of the record being disclosed for the purpose of providing such assistance.
The amount, status and history of overdue debts, the name and address, taxpayer identification (SSN), and other information necessary to establish the identity of a debtor, the agency and program under which the claim arose, may be disclosed pursuant to 5 U.S.C. 552a(b)(12) to consumer reporting agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose of encouraging the repayment of an overdue debt.
Records are stored in electronic and/or paper form.
Files, electronic records, and automated data are retrieved after identification by coded file number and/or Social Security Number which is cross-referenced to employee by name, employer and/or contractor, and nature of the illness.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Case files are considered closed when no activity has taken place for two years (after date of final action). The closed files are to be held in the district offices for three years, then transferred to Federal Records Center and destroyed twenty years after the date of the final decision. Electronic records and reports are to be destroyed when the information is no longer needed. Output, master file and documentation pertaining to the master file are replaced or destroyed when no longer needed.
Director for Energy Employees Occupational Illness Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210.
An individual wishing to inquire whether this system of records contains information about him/her may write or telephone the OWCP district office that services the State in which the individual resided or worked at the time he or she believes a claim was filed. In order for the record to be located, the individual must provide his or her full name, OWCP claim number (if known), and date of birth.
Any individual seeking access to non-exempt information about a case in which he/she is a party in interest may write or telephone the OWCP district office where the case is located, or may contact the systems manager.
Any individual requesting amendment of non-exempt records should contact the appropriate OWCP district office, or the system manager. Individuals requesting amendment of records must comply with the Department's Privacy Act regulations at 29 CFR 71.1 and 71.9.
Employees who are the subject of the record and their family members; employing Federal agencies; current and former Federal contractors and subcontractors and their family members; State governments, State agencies, and other Federal agencies; State and Federal workers' compensation offices; physicians and other medical professionals; hospitals; clinics; medical laboratories; suppliers of health care products and services and their agents and representatives; educational institutions; attorneys; Members of Congress; OWCP field investigations; consumer credit reports; investigative reports; correspondence with the debtor including personal financial statements; records relating to hearings on the debt; and other Department systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigative material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a, provided, however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of those records, such material shall be provided to the individual, except to the extent that the disclosure of the material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Office of Workers' Compensation Programs, Physicians and Health Care Providers Excluded under the Energy Employees Occupational Illness Compensation Program Act.
None.
At component agency national, district, and contractor offices.
Providers of medical goods and services, including physicians, hospitals, and providers of medical support services or supplies excluded or considered for exclusion from payment under the Energy Employees Occupational Illness Compensation Program Act (EEOICPA) for fraud or abuse (20 CFR 30.715-30.726, or as updated).
Copies of letters, lists and documents from Federal and State agencies concerning the administrative debarment of providers from participation in programs providing benefits similar to those of the EEOICPA and their reinstatement; material concerning possible fraud or abuse
Energy Employees Occupational Illness Compensation Program Act of 2000, Title XXXVI of Public Law 106-398, October 30, 2000, 114 Stat. 1654, and as amended.
To maintain records in order to determine the propriety of instituting debarment actions under EEOICPA. These records also provide information regarding treatment, billing and other aspects of a medical provider's actions, and/or documentation relating to the debarment of the medical care provider under another Federal or State program.
In addition to the universal routine uses listed in the General Prefatory Statement to this document, the disclosure of information from this system of records may be made to the following individuals and entities for the purposes noted when the purpose of the disclosure is compatible with the purpose for which the information is collected:
a. Federal, State or local government agencies, State licensing boards, professional organizations, claimants, patients, employers, insurance companies, and any other entities or individuals, for the purpose of identifying an excluded or reinstated provider to ensure that authorization is not issued nor payment made to an excluded provider, and for the purpose of providing notice that a formerly excluded provider has been reinstated.
b. Federal, State or local government agencies, State licensing boards, professional organizations, claimants, patients, employers, insurance companies, and any other entities or individuals, for the purpose of obtaining information necessary to ensure that the list of excluded providers is correct, useful, and updated, as appropriate, and for the purpose of obtaining information relevant to a Departmental decision regarding a debarment action. This routine use encompasses the disclosure of such information that will enable the Department to properly verify the identity of a provider, to identify the nature of a violation, and the penalty imposed for such violation.
None.
Files are stored electronically and/or in paper form.
Files are retrieved either by the name of the provider, case citation, or date of release.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Specific electronic data tables received from the Department of Health and Human Services (HHS) should be deleted from the server when HHS advises that the period of exclusion has expired due to reinstatement. The Master file is maintained in a separate file on the National Office server and they are to be destroyed when they are no longer needed. Hard copies of reports are to be destroyed when new reports are generated. In-house exclusions and correspondence files are retained until debarment action is finalized and then transferred to the Federal Records Center at the end of the fiscal/annual year, and destroyed 30 years after the date of final debarment action. Documentation relating to a master file, database and other electronic records are destroyed or deleted upon authorized deletion of the related electronic records or upon the destruction of the output of the system if the output is needed to protect legal rights, whichever is later.
Director for Energy Employees Occupational Illness Compensation, Office of Workers' Compensation Programs, 200 Constitution Avenue NW., Washington, DC 20210.
An individual wishing to inquire whether this system of records contains information about him/her may write to the system manager at the address above. In order for the record to be located, the individual must provide his or her full name, date of birth, and signature.
Any individual seeking access to non-exempt information about a record within this system of records may write the system manager, and arrangements will be made to provide review of the file. In order for the record to be located, the individual must provide his or her full name, date of birth, and signature.
A petition for amendment should be mailed to the System Manager.
Information in this system is obtained from Federal, State or local government agencies, state licensing boards, professional organizations, claimants, patients, employers, insurance companies, any other entities or individuals, public documents, and newspapers, as well as from other Department systems of records.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material compiled for law enforcement purposes which is maintained in the investigation files of OWCP, is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a. The disclosure of information contained in civil investigative files, including the names of persons and agencies to which the information has been transmitted, would substantially compromise the effectiveness of the investigation. Knowledge of such investigations would enable subjects to take such action as is necessary to prevent detection of illegal
Tort Claim Files.
None.
Office of the Solicitor, Division of Federal Employees' and Energy Workers' Compensation, 200 Constitution Avenue NW., Washington, DC 20210-0002; Offices of the Regional Solicitors and Associate Regional Solicitors at various field locations set forth in the Appendix.
Individuals filing claims for damages under the Federal Tort Claims Act.
Federal Tort Claim Act files, including claims forms and supporting documents filed by claimants, agency records, administrative reports and supporting documents prepared by the agency involved, internal memoranda, legal pleadings, decisions, and other documents received in connection with Federal Tort Claims Act administrative claims and litigation.
28 U.S.C. 2671
To maintain records necessary for adjudication of claims and defense of litigation filed under the Federal Tort Claims Act.
In addition to those universal routine uses contained in the General Prefatory Statement to this document, where an administrative claim or litigation under the Federal Tort Claims Act is filed with or involves allegations concerning more than one federal agency, relevant information in this system of records, including documents submitted in support of the administrative claim, may be disclosed to the relevant agency or agencies for their input and independent adjudication of the claim.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of claimant.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for as long as a case file remains open. Upon conclusion of the matter, files are retained for two years then transferred to the Federal Records Center for two years and, thereafter, destroyed, in accordance with DOL/SOL Records Schedule Number DAA-0174-0006.
Associate Solicitor for Federal Employees' and Energy Workers' Compensation in Washington, DC, and Regional Solicitors and Associate Regional Solicitors in various locations in the field.
Inquiries should be mailed to the appropriate System Managers.
A request for access should be mailed to the appropriate System Manager.
A petition for amendment should be mailed to the appropriate System Manager.
Information contained in this system is obtained from claimants, current and former employers, witnesses, physicians and/or medical providers, insurance companies, attorneys, police, hospitals, and other persons.
None.
Workforce Investment Act Tort Claim Files.
None.
Offices of the Regional Solicitors, U.S. Department of Labor.
Claimants.
Tort claims, including negligence, medical, personnel and legal reports, summaries, correspondence, and memoranda.
29 U.S.C. 1501
To allow adjudication of claims filed under the Workforce Investment Act and Workforce Innovation and Opportunity Act.
None, except for those universal routine uses contained in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of claimant.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained until completion of a case. Thereafter, the files are retained in the Office of the Solicitor for two years, then retired to the appropriate Federal Records Center for three years and then destroyed in accordance with DOL/SOL Records Schedule Number DAA-0174-0006.
Regional Solicitors and Associate Regional Solicitors, U.S. Department of Labor. See the Appendix of this document for the regional addresses.
Inquiries should be mailed to the appropriate System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from claimants, current and former employers, witnesses, physicians, insurance companies, attorneys, police, hospitals, and other individuals.
None.
Military Personnel and Civilian Employees' Claims.
None.
Office of the Solicitor, Division of Federal Employees' and Energy Workers' Compensation, 200 Constitution Avenue NW., Washington, DC 20210-0002; Offices of the Regional Solicitors and Associate Regional Solicitors at various regional locations set forth in the Appendix to this document.
Current or former employees of the Department of Labor filing claims under the Military Personnel and Civilian Employees' Claims Act to recover for the loss of or damage to personal property incident to their service.
Claim files, including claim forms, accident, investigative, medical or personnel reports, witness statements, summaries, correspondence and memoranda.
31 U.S.C. 3721; 29 CFR part 15.
To maintain records necessary for adjudication of claims filed under the Military Personnel and Civilian Employees' Claims Act.
None, except for those universal routine uses contained in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of claimant.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for as long as the case is open in the office handling the claim. Upon conclusion of the matter, files are retained for two years and then transferred to the Federal Records Center for three years and then destroyed in accordance with DOL/SOL Records Schedule Number DAA-0174-0006.
Associate Solicitor for Federal Employees' and Energy Workers' Compensation in Washington, DC, and Regional Solicitors and Associate Regional Solicitors at various regional locations set forth in the Appendix to this document.
Inquiries should be mailed to the appropriate System Manager.
A request for access should be mailed to the appropriate System Manager.
A petition for amendment should be mailed to the appropriate System Manger.
Information contained in this system is obtained from claimants, current and former employers, witnesses, physicians and/or medical providers, insurance companies, attorneys, police, hospitals, and other persons.
None.
Freedom of Information Act and Privacy Act Appeal Files.
None.
Office of the Solicitor, Division of Legislation and Legal Counsel, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210.
This system encompasses all individuals who submit administrative appeals under the Freedom of Information and Privacy Acts.
Each file generally contains the appeal letter, the initial request, the initial agency determination, and other records necessary to make a determination on the appeal, including copies of unsanitized records responsive to the request. When a determination is made on the appeal, the determination letter is added to the file.
The Freedom of Information Act (5 U.S.C. 552); the Privacy Act of 1974 (5 U.S.C. 552a); and 5 U.S.C. 301.
These records are maintained to process an individual's administrative appeal made under the provisions of the Freedom of Information and the Privacy Acts. The records are also used to prepare the Department's annual reports to OMB and Congress required by the Privacy and the Freedom of Information Acts.
These records, and information in these records, that is relevant and necessary may be used:
a. To disclose information to Federal agencies (
b. To disclose information to any source from which additional information is requested (to the extent necessary to identify the individual, inform the source of the purpose of the
c. To disclose, in response to a request for discovery or for appearance of a witness, information that is relevant to the subject matter involved in a pending judicial or administrative proceeding.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the individual making the appeal. Electronic records are retrieved by the name of the appellant, the appellant's law firm, the original requester, the subject, the denying officer, the disposition date, and the case number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for six years until after final agency determination or three years after final court adjudication, whichever is later.
Solicitor of Labor, U.S. Department of Labor, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from:
a. The individual who is the subject of the records;
b. Official personnel documents of the agency, including records from any other agency system or records included in this notice;
c. Agency officials who responded initially to the Freedom of Information and Privacy Act requests;
d. Other sources whom the agency believes have information pertinent to an agency decision on a Freedom of Information or Privacy Act appeal.
The Department of Labor has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a(k)(1), (2), (3), (5), and (6). During the course of processing a Freedom of Information or Privacy Act appeal, exempt materials from those other systems may become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into these Freedom of Information and Privacy Act appeals files, the Department has claimed the same exemptions for the records as they have in the original primary system or records of which they are a part.
Solicitor's Office Litigation Files.
None.
National and regional locations of the Office of the Solicitor; and offices of the Department of Labor's Human Resources Center and personnel offices in Washington, DC, and regional locations.
Plaintiffs, defendants, respondents, witnesses and other individuals who may have provided information relating to, or who may have been involved in matters that are part of litigation in which the Department is involved.
The system contains records, including settlement agreements, gathered by the various Offices of the Solicitor. The records may be derived from materials filed with the Department, court records, pleadings, statements of witnesses, information received from Federal, State, local and foreign regulatory organizations and from other sources. The system also contains records that incorporate the work product of the various Solicitor offices and other privileged documents.
5 U.S.C. 301.
These records are maintained for the purpose of prosecuting violations of labor laws, for defending lawsuits and claims brought against the Department, and for otherwise representing the Department in litigation matters.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
Files are stored electronically and/or on paper.
By name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Retention and disposal of the records will be governed in accordance with the applicable disposition instruction in the DOL/SOL Records Schedule DAA-0174-0006.
The appropriate Associate Solicitor, Regional Solicitor, or Associate Regional Solicitor, Office of the Solicitor, U.S. Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210 and regional offices.
Inquiries should be mailed or presented to the appropriate System Manager at the address listed above.
A request for access shall be addressed to the System Manager at the address listed above.
A petition for amendments shall be addressed to the appropriate System Manager and must meet the requirements of 29 CFR 71.9.
Component agency investigative files; investigators; other law enforcement personnel; attorneys; witnesses; informants; other individuals; Federal, State and local agencies; opinion files; miscellaneous files.
Under the specific exemption authority provided by 5 U.S.C.
Matter Management System (MMS).
None.
Silver Spring Data Center, 12401 Prosperity Drive, Silver Spring, MD 20904.
Attorneys and paralegal specialists, individuals and/or parties involved in pending and active litigation, opinion and advice, and regulation review legal services.
Records which identify pending and active litigation, opinion and advice, and regulation review legal services provided to support DOL and its component agencies and the time spent by attorneys providing legal services.
5 U.S.C. 301; 5 U.S.C. 552; and 5 U.S.C. 552a.
To provide information to manage resources, monitor operational performance and support budget activities.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of the attorney, paralegal specialist, and matter name which includes the name of individuals and/or parties involved in cases and other legal matters.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Retention and disposal of the records will be governed in accordance with the applicable disposition instruction in the DOL/SOL Records Schedule DAA-0174-0006.
Department of Labor, Associate Solicitor, Office of Management and Administrative Legal Services, Office of the Solicitor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from litigation case files, opinion and advice files, and regulation review files.
The Department of Labor has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a(k)(1), (2), (3), (5), and (6). During the course of processing a Freedom of Information or Privacy Act appeal, exempt materials from those other systems may become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into the Freedom of Information and Privacy Act appeals files, the Department has claimed the same exemptions for the records as they have in the original primary system or records of which they are a part.
Evidence Management System (EMS).
None.
Contractor-based Data Centers, including one presently located at 13640 Briarwick Drive, Austin, Texas 78729, and the Data Center maintained by the U.S. Department of Labor, 200 Constitution Ave. NW., Washington, DC.
Attorneys and paralegal specialists; contractors and other staff employed or retained by SOL; individuals, entities and/or parties involved in pending and active litigation, investigation or facilitated resolution matters.
The system contains documents and records received from individuals and private parties as well as federal, state, local and foreign governments and organizations, as well as additional analysis derived from these documents. These materials also include documents filed with or obtained by the Department of Labor, such as court records, pleadings, and witness statements. The system also contains records that incorporate the work product of the various SOL offices and other privileged documents.
5 U.S.C. 301, 5 U.S.C. 552, and 5 U.S.C. 552a.
These records are maintained for the purpose of investigating and/or initiating enforcement actions involving alleged violations of federal labor laws, developing administrative regulations, and defending law suits and claims brought against the Department of Labor.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically; source materials from which electronic files are derived may originate in hardcopy form.
Files are retrieved by plaintiff's name, defendant's name, case identification number, or other identifying information of individuals, entities and/or parties involved in pending and active litigation, investigation or facilitated resolution matters.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for associated paper files.
Retention and disposal of the records will be governed in accordance with the applicable disposition instruction in the DOL/SOL Records Schedule DAA-0174-0006.
Department of Labor, Associate Solicitor, Office of Management and Administrative Legal Services, Office of the Solicitor, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to System Manager.
Information contained in this system is obtained from DOL employees, individuals, entities and other private parties as well as federal, state, local and foreign governments and organizations involved in pending and active litigation, investigation, oversight, or facilitated resolution matters.
The Department of Labor has claimed exemptions for several of its other systems of records under 5 U.S.C. 552a(k)(1), (2), (3), (5), and (6). During the course of processing a Freedom of Information or Privacy Act appeal, exempt materials from those other systems may become part of the case record in this system. To the extent that copies of exempt records from those other systems are entered into the Freedom of Information and Privacy Act appeals files, the Department has claimed the same exemptions for the records as they have in the original primary system or records of which they are a part.
Under the specific exemption authority provided by 5 U.S.C. 552a(k)(2), this system is exempt from the following provisions of the Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of the Act. Disclosure of information could enable the subject of the record to take action to escape prosecution and could avail the subject greater access to information than that already provided under rules of discovery. In addition, disclosure of information might lead to intimidation of witnesses, informants, or their families, and impair future investigations by making it more difficult to collect similar information.
Uniformed Services Employment and Reemployment Rights Act (USERRA) Complaint File.
None.
Veterans' Employment and Training Service (VETS') State Offices, Regional Offices, and National Office.
Complainants who are veterans, enlistees, examinees, reservists or members of the National Guard of the U.S. Armed Forces on active or reserve service or training duty, and other complainants.
The system of records contains data related to civil investigations which include: Initial investigative complaint form, background, investigators' fact finding records, witness statements, supporting documents provided by claimants and employers, other information relevant to a determination of veterans reemployment rights.
38 U.S.C. 4301
Records are maintained for enforcement of federal laws pertaining to rights of veterans, reservists and members of the National Guard upon their return to pre-military civilian employment following periods of active and inactive military duty and related to non-discrimination based on such service or periods of duty.
In addition to those universal routine uses listed in the General Prefatory Statement, relevant records and information may be disclosed to the employer against whom a complaint has been made so that the complaint can proceed to a resolution. Disclosure may also be made when relevant and necessary to the Department of Veterans Affairs, to the Department of Defense, to the Department of Justice, and to the Office of Special Counsel when complaints have proceeded to an advanced stage.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of complainant, name of employer, or assigned case number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained until litigation is completed, then transferred to Federal Records Center two years after cutoff. Records are destroyed when they are ten years old, except in case files involving pensions in which the claimant was not in retired status from his/her civilian employer at the time of cutoff; these will be retained for fifty years after cutoff (N1-174-88-1) and Veterans' Employment and Training Service Director's Memorandum 1-01 (Change-1). Limited electronic information is retained indefinitely.
Chief of Investigations and Compliance, United States Department of Labor, Veterans' Employment and Training Service, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the Systems Manager.
A petition for amendment should be mailed to the System Manager.
Veterans, Reserve and National Guard members, employees, employers, former employees, Departments of Defense, Department of Veterans Affairs, physicians, union officers and maybe the public.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Veterans' Preference Complaint File under the Veterans Equal Opportunities Act of 1998 (VEOA).
None.
Veterans' Employment and Training Service (VETS') State Offices, Regional Offices, and National Office.
Veterans of the U.S. Armed Forces who believe that they have been denied veterans preference or other special considerations provided by law(s).
The system of records contains materials related to civil investigations which include: Initial investigative complaint form, background, investigators' fact finding records, witness statements, supporting documents provided by claimants and employers, other information relevant to a determination of veterans preference consideration related to employment with Federal agencies.
5 U.S.C. 3330a.
Records are maintained for investigation of possible violations of federal laws pertaining to veterans' preference and other special consideration related to employment with Federal agencies.
In addition to those universal routine uses listed in the General Prefatory Statement, records and information may be disclosed to the Federal employing agency against whom a complaint has been made so that the complaint can proceed to a conclusion. Disclosure of information that is relevant and necessary may also be made to the Office of Personnel Management and to the Merit Systems Protection Board.
None.
Files are stored electronically and/or on paper.
Files are retrieved by name of complainant or name of Federal agency.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained until the litigation is completed. The files are then transferred to Federal Records Center two years after cutoff. Records are destroyed when they are ten years old. [N1-174-88-1]. Limited electronic information is retained indefinitely.
Chief of Investigations and Compliance, United States Department of Labor, Veterans' Employment and Training Service, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the Systems Manager.
A petition for amendment should be mailed to the System Manager.
Veterans, Federal employment applicants or employing Federal agencies, former agency employees, Department of Defense, Department of Veterans Affairs, Office of Personnel Management, union officers and members of the public.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity of the source would be held in confidence.
Veterans' Data Exchange Initiative (VDEI)
None.
The VDEI servers are located at the ByteGrid Data Center 12401 Prosperity Drive, Silver Spring Maryland, 20904.
Exiting Service Members (ESMs) participating in the United States Department of Defense (DOD) Pre-separation Counseling of the Transition Assistance Program (TAP) who complete documentation.
The records in the system are for ESMs who participated in this program. Records contain the following personally identifiable information (PII) data for ESMs:
DMDC 01, Defense Manpower Data Center Data Base, November 23, 2011, 76 FR 72391; 38 U.S.C. 4102, Job Counseling, Training, and Placement Service for Veterans; and 10 U.S.C. 1142, Pre-separation Counselling; E.O. 9397.
To provide services to ESMs in areas of employment and training.
The record is utilized by Department of Labor (DOL). DOL Veterans' Employment and Training Services (VETS) will be establishing an electronic connection to the TAP Data Retrieval Web Service (TDRWS) for the purposes of analyzing and evaluating veterans' data for gaining greater insight to facilitate a more comprehensive understanding of the veteran population; analyze and evaluate veterans' data (both aggregate and individual veterans' data) to enhance decision making within DOL on veteran programs and initiatives while also enhancing DOL's recommendations on veteran related issues; and to provide information that can support future DOL initiatives related to veterans, including enhanced outreach.
None.
Files are stored electronically.
Files are retrieved by:
a. Branch, Race, Level of Education, Length of Service, Military Occupational Specialty (MOS), Length of Service (Basic Active Service Date and Expiration Service Date), Marital Status, Gender, Medical Discharge, Number of Dependents Under 18 and Type of Discharge; or
b. EDIPI, Rank, Mailing Address Street Address, Mailing Address City, Mailing Address State Code, Mailing Address Zip Code, Mailing Address, Home of Record State Code, Home of Record Country Code, Length of TAP (Date Begun DOL EW TAP and Date End DOL EW TAP), Location of the DOL EW during TAP, Citizenship, Guard/Reserve status, and ASVAB score/AFQT score.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
Records are retained indefinitely.
Director, Office of Agency Management and Budget United States Department of Labor Veterans' Employment and Training Service 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained within this system is obtained from the DOD/DMDC.
None.
Veterans' Case Management System (VCMS)
None.
The VCMS servers will be located at the ByteGrid Data Center 12401 Prosperity Drive, Silver Spring Maryland, 20904.
Public users initiating a USERRA or Veterans' Preference claim, VETS grantees, Federal staff.
Will maintain USERRA and Veterans' Preference investigations, Transition Assistant Program—Employment Workshop contract information and course participation and evaluation information.
Records are maintained for investigation of possible violations of federal laws pertaining to veterans' preference, USERRA, and other special consideration related to employment with Federal agencies. Records are also maintained for analysis and reporting of the TAP Employment Workshop.
In addition to those universal routine uses listed in the General Prefatory Statement, records and information may be disclosed to the Federal or private employing agency against whom a complaint has been made so that the complaint can proceed to a conclusion. Disclosure of information that is relevant and necessary may also be made to the Office of Personnel Management and to the Merit Systems Protection Board. The TAP Employment Workshop records will be used for analysis and reporting.
None.
Files are stored electronically.
Files are retrieved by name of complainant or name of private or Federal agency. For TAP Employment Workshop documents, the files will be retrieved via workshop site.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data.
“Time Report” Component of the Wage and Hour Investigative Support and Reporting Database (WHISARD).
None.
Wage and Hour National Office (NO), Regional Offices (RO), and District Offices (DO). See the Appendix to this document for the addresses.
Wage and Hour Division Investigators, Assistants, and Supervisors.
Records include listing of hours worked distributed among the various programs Activities; leave records.
5 U.S.C. 301.
To provide Wage and Hour District Directors a method of monitoring the activities of Investigators by providing a daily record of Investigator activities including expenditure of hours by case, Act, non-case activity, and a record of leave taken.
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Records are retrieved by name of the investigator, assistant, and supervisor.
Accessed by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Printed forms generated by the WHISARD system will be retained by Wage and Hour in accordance with records disposal schedule N1-155-11-0003, Item 3. Database information will be deleted 12 years after final action.
Administrator, Wage and Hour Division, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210; Regional Administrators Wage and Hour Division.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be addressed to the System Manager.
Records contained in this system include investigators, assistants and supervisors working in District Offices.
None.
MSPA Civil Money Penalties in the Wage Hour Investigative Support and Reporting Database (WHISARD).
None.
Wage and Hour National Office (NO), Regional Offices (RO) and District Offices (DO), see The Appendix of this document for addresses.
All persons investigated and assessed civil money penalties (CMPs) under the Migrant and Seasonal Agricultural Worker Protection Act (MSPA).
Records contained in this system include names, addresses, Social Security numbers, complaint information, employer information, employer/employee interviews, payroll information, housing and/or vehicle inspection reports, outcome of investigation, notification of determination to assess a CMP, hearing requests and/or subsequent legal documents.
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To maintain records on persons assessed MSPA CMPs and all actions connected therewith.
None, except for those routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Records are retrieved by employer name, Employer Identification Number, case file number or Act violated.
Accessed by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records in this system are retained for 12 years, and then disposed of in accordance with Records Schedule N1-155-11-003, Item 3.
Administrator, Wage and Hour Division, Room S-3502, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Records in this system include information regarding the subject of the
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence.
MSPA Public Central Registry Records File.
None.
Wage and Hour National Office (NO), Regional Offices (RO) and District Offices (DO), see the Appendix for addresses. This system is also available online at
Holders of Farm Labor Contractor and Farm Labor Contractor Employee Certificates of Registration.
Records which contain the name, address, certificate of registration number, authorization to transport, house, or drive (if any), and effective and expiration dates of holders of Farm Labor Contractor and Farm Labor Contractor Employee Certificates of Registration.
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To maintain a record of holders of Farm Labor Contractor and Farm Labor Contractor Employee Certificates of Registration.
In addition to the routine uses listed in the General Prefatory Statement to this document, a public central registry of all persons issued certificates of registration is maintained by name and address which is available to anyone, upon request, as required by the Migrant and Seasonal Agricultural Worker Protection Act (MSPA), as amended (Section 402). This registry is also electronically available through the Wage and Hour public Web site. Alternatively, section 500.170 of 29 CFR part 500 provides that requests for registry information may be made by telephone by calling a toll-free number (listed). This registry is the source for providing that information.
None.
Files are stored electronically and/or on paper.
Records are retrieved by name, Social Security Number (or Employer Identification Number), or Farm Labor Contractor Registration Number.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years from the date of the last certificate action (approval, denial, or revocation) in accordance with Records Schedule N1-155-11-003, Item 2a.
Administrator, Wage and Hour Division, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Records contained in this system include farm labor contractor and farm labor contractor employee applications and required documentation, certificates of registration, and determination letters.
None.
Wage and Hour Clearance List—MSPA Registration.
None.
Wage and Hour National Office (NO), Regional Offices (RO) and District Offices (DO), see the Appendix for addresses.
Farm labor contractors and farm labor contractor employees who may not currently meet eligibility requirements, as stated in the Migrant and Seasonal Agricultural Worker Protection Act (MSPA) for issuance of a certificate of registration.
Records containing names, addresses, and social security numbers, outstanding unpaid CMPs under MSPA, injunctions, convictions, deportations, and previous actions to deny or revoke a certificate of registration.
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To provide a list of persons who may not meet eligibility requirements for issuance of a farm labor contractor or farm labor contractor employee Certificate of Registration to be used as a reference document for screening incoming applications by Wage and Hour Regional Offices and to provide historical and current compliance information to Wage and Hour National, Regional, and District Offices.
None except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Records are retrieved by name or Social Security number (or Employer Identification Number).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years from the date of the last certificate action (approval, denial, or revocation) in accordance with Records Schedule N1-155-11-003, Item 2.
Administrator, Wage and Hour Division, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Records contained in this system include insurance companies, FBI, court and police records, previous actions to deny or revoke certificates of registration, and from investigations conducted by DOL and subsequent legal documents following such investigations.
None.
MSPA Certificate Action Record Files.
None.
Wage and Hour National Office and Regional Offices.
Applicants for and holders of Farm Labor Contractor/Farm Labor Contractor Employee Certificates of Registration.
Names, addresses, Social Security numbers, fingerprints, FBI records, insurance records, court and police records.
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To maintain a record of persons whose applications for or previously issued Farm Labor Contractor/Farm Labor Contractor Employee Certificates of Registration have been denied or revoked and all subsequent actions connected therewith.
None except for these routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Records are retrieved by the name of the applicant/holder.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years from the date of the last certificate action (approval, denial, or revocation) in accordance with Records Schedule N1-155-11-003, Item 2.
Administrator, Wage and Hour Division, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Records contained in this system include applicants, individuals, insurance companies, FBI, court and police records, and from investigations conducted by DOL.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence.
Case Registration/Investigator Assignment Form in the Wage and Hour Investigative Support and Reporting Database (WHISARD).
None.
Wage and Hour National Office (NO), Regional Offices (RO), and District Offices (DO); see the Appendix of this document for addresses.
Wage and Hour Investigators.
Records containing name and address, case investigation number, investigation program, investigating office, prior history of investigations, and investigating officer.
5 U.S.C. 301.
To provide Wage and Hour DOs with a record of employers currently undergoing investigation by Wage and Hour within the jurisdiction of that particular DO. Used to record the initial
None, except for those universal routine uses listed in the General Prefatory Statement to this document.
None.
Files are stored electronically and/or on paper.
Records are retrieved by name of employer, by North American Industrial Code (NAIC) and/or Employer Identification Number (EIN).
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Printed forms generated by the WHISARD system will be retained by Wage and Hour in accordance with records disposal schedule N1-155-11-0003, Item 3. Database information will be deleted 12 years after final action.
Administrator, Wage and Hour Division, Room S-3502, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Records in this system are obtained from complainants, employers, and Wage and Hour personnel.
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this system of records compiled for law enforcement purposes is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a provided however, that if any individual is denied any right, privilege, or benefit that he or she would otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of the maintenance of these records, such material shall be provided to the individual, except to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence.
Migrant and Seasonal Agricultural Worker Protection Act (MSPA) Ineligible Farm Labor Contractors.
None.
This list is available online to the public at
Persons whose Farm Labor Contractor or Farm Labor Contractor Employee Certificate of Registration has been revoked or whose application for such certificate has been denied and such action has become a final and un-appealable Order of the Secretary of Labor.
Records containing the names and addresses of persons whose certificates of registration have been revoked or application for a certificate of registration have been denied in which the complete administrative process has become final.
Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To provide a written listing of individuals who may not legally engage in any activity as a farm labor contractor or farm labor contractor employee.
Information contained in this system is available to the public on the DOL.
None.
Files are stored electronically and/or on paper.
Records are retrieved by name.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years from the date of the last certificate action (approval, denial, or revocation) in accordance with Records Schedule N1-155-11-003, Item 2a.
Administrator, Wage and Hour Division, 200 Constitution Avenue NW., Washington, DC 20210, and Regional Administrator for Wage and Hour of relevant Regional Offices.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Records in the system include information furnished by the applicant.
None.
Customer Service Component of the Wage Hour Investigative Support and Reporting Database (WHISARD).
None.
Wage and Hour National Office (NO), Regional Offices (RO) and District Offices (DO), see The Appendix of this document for addresses.
Individuals who contact the Wage and Hour Division for technical assistance or to file a complaint.
“Browse Customer List” records containing last name, first name, phone number, address, city, complaint status, case identification number, WH employee name, and contact priority.
“Employee Contact Information” records containing home address, phone numbers, fax number, email address and certain information about the individual's complaint.
“Employee Work Information” records containing certain employment and payroll information about the individual's complaint.
5 U.S.C. 301; 29 U.S.C. 201
To provide Wage and Hour NO, ROS and DOs with an index of individuals who contact the Wage and Hour Division. This information may be used to provide assistance or facilitate the processing of a complaint.
In addition to the routine uses listed in the General Prefatory Statement to this document, relevant information may be provided to other government agencies for law enforcement purposes.
None.
Files are stored electronically and/or on paper.
Records are retrieved by the name of the individual.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Printed forms generated by the WHISARD system will be retained by Wage and Hour in accordance with records disposal schedule N1-155-11-0003, Item 3. Database information will be deleted 12 years after final action.
Administrator, Wage and Hour Division, Room S-3502, Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC 20210.
Individuals wishing to make inquiries regarding this system should contact the system manager, or the regional office servicing the state where they are employed (see list of the regional office addresses in the Appendix of this document).
Individuals wishing to request access to these records should contact the appropriate office listed in the Appendix.
Individuals wishing to contest or amend any records should direct their request to the appropriate system manager. In addition, the request should state clearly and concisely what information is being contested, the reason for contesting it, and the proposed amendment sought for the information.
Complainants, employers, and Wage and Hour personnel.
None.
Farm Labor Contractor Registration File.
None.
All Wage and Hour Regional Offices and the Florida Department of Labor andand Employment Security, Agricultural Programs Section located in Tallahassee, Florida.
Applicants for and holders of Farm Labor Contractor Certificates of Registration.
Records, which contain personal identification, fingerprints, FBI records, insurance records, court and police records.
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To maintain a record of applicants for and holders of Farm Labor Contractor Certificates of Registration. Records are used to determine eligibility for issuance of a certificate of registration and for determining compliance with MSPA.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, relevant and necessary information may be disclosed to the Wage and Hour National Office, Regional Offices, and District Offices for determining compliance with MSPA, and to the system manager of DOL/WHD-3, MSPA Public Central Register Records File, for the purpose of preparing its list.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the applicant/holder.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
Records are retained for five years, and then disposed of in accordance with Records Schedule N1-155-11-003, Item 2a.
Administrator, Wage and Hour Division, 200 Constitution Avenue NW., Washington, DC 20210, and Regional Administrator for Wage and Hour of relevant Regional Offices.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the applicant, insurance companies, FBI, court and police records, and from investigations conducted by DOL.
None.
Farm Labor Contractor Employee Registration File.
None.
All Wage and Hour Regional Offices and the Florida Department of Labor and Employment Security, Agricultural Programs Section located in Tallahassee, Florida.
Applicants for and holders of Farm Labor Contractor Employee Certificates of Registration.
Records which contain personal identification, fingerprints, FBI records, insurance records, court and police records.
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection Act, as amended (MSPA), 29 U.S.C. 1801
To maintain a record of applicants for and holders of Farm Labor Contractor Employee Certificates of Registration. Records are used to determine eligibility for issuance of a certificate of registration and for determining compliance with MSPA.
In addition to those universal routine uses listed in the General Prefatory Statement to this document, relevant and necessary information may be disclosed to the Wage and Hour National Office, Regional Offices, and District Offices for determining compliance with MSPA, and to the system manager of DOL/WHD-3, MSPA Public Central Register Records File, for the purpose of preparing its list.
None.
Files are stored electronically and/or on paper.
Files are retrieved by the name of the applicant/holder.
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked location for paper files.
Records are retained for five years, and then disposed of in accordance with Records Schedule N1-155-11-003, Item 2a.
Administrator, Wage and Hour Division, 200 Constitution Avenue NW., Washington, DC 20210, and Regional Administrator for Wage and Hour of relevant Regional Offices.
Inquiries should be mailed to the System Manager.
A request for access should be mailed to the System Manager.
A petition for amendment should be mailed to the System Manager.
Information contained in this system is obtained from the applicant, insurance companies, FBI, court and police records, and from investigations conducted by DOL.
None.
The systems of records listed in the chart below are obsolete and, thus are being decommissioned.
The Federal Register received this notice on April 20, 2016.
Bureau of Safety and Environmental Enforcement, Interior.
Final rule.
Bureau of Safety and Environmental Enforcement (BSEE) is finalizing new regulations to consolidate into one part the equipment and operational requirements that are found in various subparts of BSEE's regulations pertaining to offshore oil and gas drilling, completions, workovers, and decommissioning. This final rule focuses on blowout preventer (BOP) and well-control requirements, including incorporation of industry standards and revision of existing regulations, and adopts reforms in the areas of well design, well control, casing, cementing, real-time well monitoring, and subsea containment. The final rule also addresses and implements multiple recommendations resulting from various investigations of the
This final rule becomes effective on July 28, 2016. Compliance with certain provisions of the final rule, however, will be deferred until the times specified in those provisions and as described in Part III of the preamble.
The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register as of July 28, 2016.
Kirk Malstrom, Regulations and Standards Branch, (202) 258-1518, or by email:
Following the devastating impacts of the April 20, 2010,
Each investigation outlined several recommendations to improve offshore safety. BSEE evaluated the recommendations and acted on a number of them quickly to improve offshore operations, while BSEE's decision making with respect to other recommendations followed additional input from industry and other stakeholders.
In April 2015, BSEE proposed regulations to, among other things, incorporate industry standards and NTL guidance; consolidate into one part the existing equipment and operational requirements that are found in various parts of BSEE's regulations; to revise and improve existing requirements for well design and control, casing and cementing; and to add new requirements for real-time monitoring
The requirements in this final rule, including the revisions made to the proposed regulations, reflect BSEE's consideration of the comments and BSEE's commitment to address the recommendations made in the
(1) Incorporates all or designated portions of the following industry standards:
(2) Revises the requirements for Deepwater Operations Plans (DWOPs), which are required to be submitted to BSEE under specific circumstances, to add requirements on free standing hybrid risers (FSHR) for use with floating production, storage, and offloading units (FPSO).
(3) Revises 30 CFR part 250, subpart D,
(4) Revises subparts E,
(5) Revises Subpart Q,
(6) Adds new subpart G,
(7) Incorporates the guidance from several NTLs into subpart G for:
Based on BSEE's economic analysis of available data, this final rule will be cost-beneficial. The estimated overall cost of the rule (outside those costs that are part of the economic baseline) over 10 years will be exceeded by the time-savings benefits to the industry resulting from the revisions to the former requirements for BOP pressure testing frequency for workovers and decommissionings. In addition, the final rule will also produce benefits to society, both quantifiable and unquantifiable, by reducing the probability of well control incidents involving oil spills.
BSEE was established on October 1, 2011, as part of a major restructuring of DOI's offshore oil and gas regulatory programs to improve the management and oversight of, and accountability for, activities on the Outer Continental Shelf (OCS). The Secretary of the Interior (Secretary) announced the division of responsibilities of the former Minerals Management Service (MMS) among two new bureaus and one office within DOI in Secretarial Order No. 3299, issued on May 19, 2010. BSEE, one of the two new bureaus, assumed responsibility for “safety and environmental enforcement functions including, but not limited to, the authority to permit activities, inspect, investigate, summon witnesses and [require production of] evidence[;] levy penalties; cancel or suspend activities; and oversee safety, response and removal preparedness.” (See 76 FR 64431, October 18, 2011).
BSEE derives its authority primarily from the Outer Continental Shelf Lands Act (OCSLA), 43 U.S.C. 1331-1356a. Congress enacted OCSLA in 1953, authorizing the Secretary of Interior to lease the OCS for mineral development, and to regulate oil and gas exploration, development, and production operations on the OCS. The Secretary has delegated authority to perform certain of these functions to BSEE.
To carry out its responsibilities, BSEE regulates offshore oil and gas operations to enhance the safety of offshore exploration and development of oil and gas on the OCS and to ensure that those operations protect the environment and implement advancements in technology. BSEE also conducts onsite inspections to assure compliance with regulations, lease terms, and approved plans. Detailed information concerning BSEE's regulations and guidance to the offshore oil and gas industry may be found on BSEE's website at:
BSEE's regulatory program covers a wide range of facilities and activities, including drilling, completion, workover, production, pipeline, and decommissioning operations. Drilling, completion, workover, and decommissioning operations are types of well operations that offshore operators
A primary purpose of this rulemaking is to prevent future well-control incidents, including major incidents like the 2010
In addition, despite new regulations and improvements in industry standards and practices since the
Ensuring the integrity of the wellbore and maintaining control over the pressure and fluids during well operations are critical aspects of protecting worker safety and the environment. The investigations that followed the
Because BOP equipment and systems are critical components of many well operations, BSEE recognized that it was important to collect the best ideas on the prevention of well-control incidents and blowouts to assist in the development of the proposed rule. This included the knowledge, skillset, and experience possessed by the offshore oil and gas industry. Accordingly, BSEE participated in meetings, training, and workshops with industry, standards setting organizations, and other stakeholders in developing the proposed rule. (
The proposed rule discussed in detail topics such as:
• Implementing many of the recommendations related to well-control equipment.
• Increasing the performance and reliability of well-control equipment, especially BOPs.
• Improving regulatory oversight over the design, fabrication, maintenance, inspection, and repair of critical equipment.
• Gaining information on leading and lagging indicators of BOP component failures, identifying trends in those failures, and using that information to help prevent incidents.
• Ensuring that the industry uses recognized engineering practices, as well as innovative technology and techniques to increase overall safety.
To help ensure the development of effective regulations, the proposed rule used a hybrid regulatory approach incorporating prescriptive requirements, where necessary, as well as many performance-based requirements. BSEE recognizes the advantages and disadvantages of both approaches and understands that each approach could be effective and appropriate for specific circumstances.
A full discussion of these topics, along with other background and regulatory history, is contained in the notice of proposed rulemaking (
BSEE frequently uses standards (
Federal regulations, at 1 CFR part 51, govern how BSEE and other Federal agencies incorporate various documents by reference. Agencies may only incorporate a document by reference by publishing in the
BSEE incorporates by reference in its regulations many oil and gas industry standards in order to require compliance with those standards in offshore operations. When a copyrighted publication is incorporated by reference into BSEE regulations, BSEE is obligated to observe and protect that copyright. BSEE provides members of the public with website addresses where these standards may be accessed for viewing—sometimes for free and sometimes for a fee. Standards development organizations decide whether to charge a fee. One such organization, API, provides free online public access to review its key industry standards, including a broad range of technical standards. These standards represent almost one-third of all API standards and include all that are safety-related or are incorporated into Federal regulations. Several of those standards are incorporated by reference in this final rule. In addition to the free online availability of these standards for viewing on API's website, hardcopies and printable versions are available for purchase from API. The API website address is:
For the convenience of members of the viewing public who may not wish to purchase or view these incorporated documents online, they may be inspected at BSEE's offices, 45600 Woodland Road, Sterling, Virginia 20166; phone: 703-787-1665; or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to:
This rulemaking is substantive in terms of the content that is explicitly stated in the rule text itself, and it also incorporates by reference certain technical standards and specifications concerning BOPs and well control. A brief summary of each standard or specification follows.
This standard provides requirements for the installation and testing of blowout prevention equipment systems whose primary functions are to confine well fluids to the wellbore, provide means to add fluid to the wellbore, and allow controlled volumes to be removed from the wellbore. BOP equipment systems are comprised of a combination of various components that are covered by this document. Equipment arrangements are also addressed. The components covered include: BOPs including installations for surface and subsea BOPs; choke and kill lines; choke manifolds; control systems; and auxiliary equipment.
This standard also provides new industry best practices related to the use of dual shear rams, maintenance and testing requirements, and failure reporting.
Diverters, shut-in devices, and rotating head systems (rotating control devices) whose primary purpose is to safely divert or direct flow rather than to confine fluids to the wellbore are not addressed. Procedures and techniques for well control and extreme temperature operations are also not included in this standard.
This standard addresses structural analysis procedures, design guidelines, component selection criteria, and typical designs for all new riser systems used on Floating Production Systems (FPSs) and Tension-Leg Platforms (TLPs). The presence of riser systems within an FPS has a direct and often significant effect on the design of all other major equipment subsystems. This RP includes recommendations on: (1) Configurations and components; (2) general design considerations based on environmental and functional requirements; and (3) materials considerations in riser design.
This specification establishes the minimum quality management system requirements for organizations that manufacture products or provide manufacturing-related processes under a product specification for use in the petroleum and natural gas industry. This standard requires that equipment be fabricated under a quality management system that provides for continual improvement, emphasizing defect prevention and the reduction of variation and waste in the supply chain and from service providers. The goal of this specification is to increase equipment reliability through better manufacturing controls.
This specification defines minimal requirements for the design of valves, wellheads and Christmas tree equipment that is used during drilling and production operations. This specification includes requirements related to dimensional and functional interchangeability, design, materials, testing, inspection, welding, marking, handling, storing, shipment, purchasing, repair and remanufacture.
This specification provides minimum requirements and guidelines for packers and bridge plugs used downhole in oil and gas operations. The performance of this equipment is often critical to maintaining control of a well during drilling or production operations. This specification provides requirements for the functional specification and technical specification, including design, design verification and validation, materials, documentation and data control, repair, shipment, and storage.
This specification defines requirements for performance, design, materials, testing and inspection, welding, marking, handling, storing and shipping of BOPs and drill-through equipment used for drilling for oil and gas. It also defines service conditions in terms of pressure, temperature and wellbore fluids for which the equipment will be designed. This standard is applicable to, and establishes requirements for, the following specific equipment: Ram BOPs; ram blocks, packers and top seals; annular BOPs; annular packing units; hydraulic connectors; drilling spools; adapters; loose connections; and clamps. Conformance to this standard is necessary to ensure that this critical safety equipment has been designed and fabricated in a manner that ensures reliable performance.
This specification was formulated to provide for safe and functionally interchangeable surface and subsea choke and kill systems equipment utilized for drilling oil and gas wells. This equipment is used during emergencies to circulate out a “kick” and, therefore, the design and fabrication of the components is extremely important. This document provides the minimum requirements for performance, design, materials, welding, testing, inspection, storing and shipping. Equipment specific to and covered by this specification includes: Actuated valve control lines; articulated choke and kill lines; drilling choke actuators; drilling choke control lines, exclusive of BOP control lines; subsurface safety valve control lines; drilling choke controls; drilling chokes; flexible choke and kill lines; union connections; rigid choke and kill lines; and swivel unions.
This specification establishes design standards for systems that are used to control BOPs and associated valves that control well pressure during drilling operations. Although diverters are not considered well-control devices, their controls are often incorporated as part of the BOP control system. Thus, control systems for diverter equipment are included in the specification. Control systems for drilling well-control equipment typically employ stored energy in the form of pressurized hydraulic fluid (power fluid) to operate (open and close) the BOP stack components. For deepwater operations, subsea transmission of electric/optical (rather than hydraulic) signals may be used to shorten response times. The failure of these controls to perform as designed can result in a major well-control event. As a result, conformance to this specification is critical to ensuring that the BOPs and related equipment will operate in an emergency.
This standard provides specifications for subsea wellheads, mudline wellheads, drill-through mudline wellheads, and both vertical and horizontal subsea trees. These devices are located on the seafloor, and, therefore, ensuring the safe and reliable performance of this equipment is extremely important. This document specifies the associated tooling necessary to handle, test and install the equipment. It also specifies the areas of design, material, welding, quality control (including factory acceptance testing), marking, storing and shipping for both individual sub-assemblies (used to build complete subsea tree assemblies) and complete subsea tree assemblies.
This RP provides general recommendations and overall guidance for the design and operation of remotely operated tools (ROT) comprising ROT and ROV tooling used on offshore subsea systems. ROT and ROV performance is critical to ensuring safe and reliable deepwater operations and this document provides general performance guidelines for the equipment.
BSEE's former regulations repeated similar BOP requirements in multiple locations throughout 30 CFR part 250. In this final rule, BSEE is consolidating these requirements into subpart G (which previously had been reserved). The final rule will structure subpart G—Well Operations and Equipment, under the following undesignated headings:
The sections contained within this new subpart will apply to all drilling, completion, workover, and decommissioning activities on the OCS, unless explicitly stated otherwise.
BSEE understands that operators may need time to comply with certain new requirements in this final rule. Based on information provided by industry, drilling rigs are now being built, or were built, pursuant to the same industry standards BSEE is now incorporating by reference (including API Standard 53), and many have already been retrofitted to comply with these industry standards. Furthermore, most drilling rigs already comply with recognized engineering practices and original equipment manufacturer (OEM) requirements related to repair and training.
BSEE has considered the public comments on the proposed compliance dates, as well as relevant information gained during, among other activities, BSEE's interactions with stakeholders, involvement in development of industry standards, and evaluation of current technology. Accordingly, BSEE is setting an effective date of 90 days following publication of the final rule, by which time operators will be required to demonstrate compliance with most of the final rule's provisions. BSEE has determined, however, that it is appropriate to extend the compliance dates for the following new requirements. Detailed explanations for these extended compliance dates are provided in parts V and VI of this document.
In the interim, however, final § 250.732(a) requires that operators use independent third-parties to perform the certifications, verifications and reports that BAVOs must perform no later than 1 year after BSEE publishes a BAVO list. This transitional measure is necessary to ensure that there is no diminution of the safety and environmental protection currently afforded by the use of independent third-parties under the existing regulations or of the safety and environmental improvements anticipated under the new BAVO requirements, during the time required for BSEE to identify and for operators to use the BAVOs.
BSEE is continuing to review and evaluate additional operational and equipment issues that are not included in this final rulemaking, such as:
Part V.A, which follows, summarizes and highlights some important requirements of the final rule that were described in more detail in the proposed rule. Some of these provisions received no comments during the public comment period, while other provisions were supported or criticized by certain commenters. Part V.B addresses significant relevant comments on certain proposed provisions and summarizes changes to those provisions that BSEE has made in the final rule based on consideration of those comments. Part V.C summarizes other changes to the proposed rule that BSEE has made in the final rule to avoid ambiguity or confusion, eliminate redundancies, correct minor drafting errors, or otherwise clarify the meaning of the new requirements.
After review of all the relevant public comments received on the proposed rule, BSEE determined that the following proposed revisions will be included in this final rule. Most of the proposed provisions are included without change, while several of the proposed provisions have been revised in the final rule in response to comments, as explained in parts V.B and VI of this document.
• Requires BOP shearing performance testing and results reporting to a BAVO. This will ensure that shearing capability for existing equipment complies with BSEE requirements.
• Requires compliance with the latest industry standards contained in API Standard 53.
• Requires that operators use two shear rams in subsea BOP stacks.
• Requires the use of BOP technology that provides for better shearing performance through the centering of the drill pipe in the shear rams.
• Requires compliance with industry standards, such as relevant provisions of API Standard 53, ANSI/API Spec. 6A, ANSI/API Spec. 16A, API Spec. 16C, API Spec. 16D, ANSI/API Spec. 17D, and API Spec. Q1. BOP operability will be improved by establishing minimum design, manufacture, and performance baselines that are essential to ensure the reliability and performance of this equipment.
• Requires inspection, maintenance, and repair of BOP-related equipment by appropriately trained personnel; this will also increase the reliability of BOP-related equipment.
• Requires that operators share information with Original Equipment Manufacturers (OEMs) related to the performance of their BOP system equipment. This sharing of information makes it possible for the OEMs to notify all users of any safety issues that arise with BOP system equipment.
• Requires that operators report any significant problems with BOP or well-control equipment to BSEE, so BSEE can determine whether information should be provided, in a timely manner, to OCS operators and, if appropriate, to international offshore regulators and operators.
• Requires maintaining safe drilling margins and other requirements related to liners and other downhole equipment to help reduce the likelihood of a major well-control event and ensure the overall integrity of the well design.
• Requires monitoring of deepwater and High Pressure High Temperature (HPHT) drilling operations from the shore and in real-time. This will allow operators to anticipate and identify issues in a timely manner and to utilize onshore resources to assist in addressing critical issues.
• Requires daily reports to BSEE concerning any leaks associated with BOP control systems. This will ensure that the bureau is made aware of any leaks so it can determine if further action is appropriate.
• Requires compliance with API RP 17H to standardize ROV hot stab activities. This will allow certain functions of the BOP to be activated remotely.
• Requires same pressure testing frequency (at least once every 14 days) for workover and decommissioning operations as for drilling and completion operations. Pressure test results will aid in predicting future performance of a BOP, and harmonizing testing frequencies for all well operations will also help streamline the BOP function-testing criteria and reduce the unnecessary repetition every 7 days of testing in workover and decommissioning operations that could pose operational safety issues.
• Requires additional measures (
After consideration of all relevant and significant comments, BSEE made a number of revisions from the proposed rule in the final rule. We are highlighting several of these changes here because they are significant, and because numerous comments addressed these topics. A discussion of the relevant and significant comments and BSEE's responses are found in part VI of this document. The significant revisions made in response to comments include:
In response to one of the
Typically, 0.5 ppg is an appropriate safe drilling margin for normal drilling scenarios and has been approved by BSEE (and thus made a requirement) in numerous APDs. However, BSEE understands that there are some well-specific circumstances where a lower drilling margin may be acceptable to drill a well safely, and BSEE has approved appropriate alternative downhole mud weights as part of a safe drilling margin in many APDs. Accordingly, in this final rule, BSEE is keeping the 0.5 ppg drilling margin as
BSEE is also making other minor changes to the proposed § 250.414(c). Specifically, as suggested by several commenters, we are replacing the term “static downhole mud weight” with “equivalent downhole mud weight,” and removing the references to Equivalent Circulating Density (ECD). Several commenters suggested replacing static downhole mud weight with a more appropriate term to better define and assess the mud weight because of the difficulty of achieving and verifying static downhole mud weight during operations. BSEE agrees with this observation. To verify a static downhole mud weight, the well would need to be placed in a static situation. This would be done by turning off the pumps and letting the well sit until it is static; however, that process can result in complications, such as cuttings and debris settling out in the bottom of the well and thermal gradients affecting mud properties. Some of these complications may create additional issues, such as stuck pipe or loss of wellbore integrity. The change from “static” to “equivalent” allows the downhole mud weight to be based on the mud properties that can be tested at the surface and then calculated to downhole conditions. Thus, equivalent downhole mud weight can be verified on the rig as operations are being conducted.
BSEE also removed the references to ECD from this section based on comments. For the reasons discussed elsewhere in this preamble (with regard to § 250.413), BSEE determined that operators do not need to submit the estimated ECD in the APD permitting process; however, BSEE expects operators to continue their normal practice of considering ECD while drilling.
In the proposed rule, BSEE proposed a number of significant changes to existing BOP requirements as well as new requirements for BOPs and associated systems, including new requirements for subsea and surface BOP accumulator systems. (See proposed §§ 250.734 and 250.735.) The purpose of the accumulator system and these new requirements is to ensure that there is sufficient volume and pressure in the accumulator bottles to properly operate BOP components in a specified timeframe regardless of the location of the accumulator bottles. Among other things, we proposed increasing accumulator capacity to operate all BOP functions;
BSEE received multiple comments on these proposed provisions. Industry stakeholders raised concerns with (and in some cases suggested revisions to) the proposed requirements, including the following concerns:
• That the proposed surface and subsea accumulator capacity requirements are in conflict with API Standard 53 and API Spec. 16D;
• That the terminology in the proposed rule and the current industry standard (API Standard 53) are inconsistent, and that the different terminology could cause ambiguity and confusion in efforts to comply with a final rule. Industry commenters recommended using the terminology used in the API standard; and
• That the proposed requirement that accumulator systems be able to supply pressure to operate all BOP components and shear pipe as the last step in the BOP sequence, without assistance from a charging unit, would increase the number of accumulator bottles needed and would require upgraded accumulator system controls.
The commenters also stated that costs associated with the additional bottles would be significant and that the extra weight from additional bottles, given limited deck space availability, could cause structural issues with the rig.
• That the proposed requirements that the subsea accumulator system be able to supply pressure to operate all critical BOP components, and that the system have dedicated bottles for each EDS/autoshear/deadman system(s), would greatly increase the number of accumulator bottles on the subsea BOP. The commenters stated that the increased number and weight of accumulator bottles could also cause structural concerns for the BOP frame and the rig and that costs associated with the additional bottles would also be significant.
BSEE reviewed all of the relevant comments and has made changes to the proposed surface and subsea accumulator requirements in the final rule. In this final rule, BSEE is deleting the “1.5 times volume capacity” requirement for all surface accumulators, and instead requiring that all accumulator systems (including those servicing subsea BOPs) meet the sizing specifications of API Standard 53. The final rule also extends the effective date to comply with the new accumulator requirements (both surface and subsea) to 5 years; removes the proposed requirement that the surface accumulator be able to operate the blind shear ram as the last function in the BOP sequence; defines “critical functions;” and requires dedicated subsea accumulator bottles for autoshear and deadman (but not EDS) functions and allows those dedicated bottles to be shared between the autoshear and deadman functions.
BSEE reevaluated the relevant industry standards and determined that API Standard 53 and API Spec. 16D provide reasonable and appropriate methods to ensure proper volumes and pressures of appropriate BOP components. Changing the proposed
Removing the “1.5 times volume” requirement and replacing it with the volume requirements of API Standard 53 also will not decrease safety or environmental protection as compared to the proposed requirement. BSEE determined that the methods for calculating the necessary fluid volumes and pressures in the API standard provide an acceptable amount of usable fluid and pressure to operate the required components, while still ensuring the required 200 pounds per square inch (psi) above the pre-charge pressure. API Standard 53 also discusses the need to have 200 psi remaining on the bottles above the pre-charge pressure after operating the BOP components, which would provide a sufficient margin of error to promote safety and help prevent environmental harm from failure of pressure to the BOP.
Removing the proposed language regarding the blind shear ram being the last in sequence will eliminate industry's misimpression that the proposed language would have mandated that the blind shear ram always be the last step in the BOP sequence. In addition, BSEE agrees with the commenters that the proposed language regarding sequencing of the blind shear ram is not necessary, as long as the accumulator is able to provide sufficient volume of fluid to operate all the required BOP functions under MASP.
BSEE is also making changes in the final rule to the subsea accumulator requirements in response to comments. BSEE is requiring subsea accumulators to have enough capacity to provide pressure for critical functions, as defined in API Standard 53, and to have accumulator bottles that are dedicated to autoshear and deadman functions (but not EDS), and that may be shared between those functions.
Subsea accumulator charge normally comes from the surface, but in an emergency the connections to the surface may be lost and/or the accumulator may have already operated multiple BOP components, which may have reduced the accumulator fluid pressure needed to successfully shear and seal. Dedicated bottles for autoshear and deadman functions would ensure that the subsea accumulator has enough pressure available to operate those emergency systems even if all surface connections are lost or the volume or pressure in the accumulator system are depleted. BSEE determined, however, that permitting those functions to share the dedicated accumulator bottles would not result in a reduction to safety or environmental protection so long as the shared bottles are capable of providing enough pressure to operate the emergency functions. By contrast, dedicated capacity in a subsea accumulator for the EDS is not necessary, since the EDS is serviced through the main (surface) accumulator system by rig personnel.
In the proposed rule, BSEE included a provision to require a complete breakdown and inspection of the BOP and every associated component every 5 years, as documented by a BAVO, which, as proposed, could not be performed in phased intervals. BSEE received multiple comments on the 5-year inspection interval. Most industry commenters did not object to a 5-year inspection requirement for each BOP component, provided that the inspections could be staggered, or phased, over time. Commenters expressed concern that requiring all components to be inspected at one time would put too many rigs out of service, potentially for long periods of time, with substantial economic impacts.
Based on consideration of the issues raised in the comments, BSEE has revised the final rule in order to allow a phased approach for 5-year inspections (
In § 250.724 of the proposed rule, BSEE proposed to require RTM of certain data for well operations that use either a subsea BOP or a BOP on a floating facility, or are conducted in an HPHT environment. Under the proposed rule, the RTM system would have been required to gather and “immediately transmit” data on the BOP control system, the well's fluid handling systems on the rig, and the well's downhole conditions with the bottom hole assembly tools (if any) to an onshore facility to be monitored by qualified personnel in “continuous contact” with rig personnel during operations. In addition, BSEE proposed that, after transmission, the RTM data must be preserved and stored at a designated location, identified in an APD or APM, and that the location and RTM data be made available to BSEE upon request. Finally, the proposed rule would have required immediate notification to the appropriate BSEE District Manager of any loss of RTM capability during operations and would have authorized the District Manager to require other measures pending restoration of RTM capabilities.
BSEE intends for industry to use RTM as a tool (
There are many other aspects of RTM that were not addressed in the proposed rule, and that are not addressed in this final rule. In this rulemaking, BSEE is laying the groundwork for further development and use of RTM to help industry to continue improving offshore safety and environmental protection. Industry, academia, BSEE and others are studying and developing new RTM technology and processes, which continues to evolve. BSEE may consider additional guidance or regulatory requirements for use of RTM, as appropriate, in later rulemakings.
BSEE received multiple comments on these issues, expressing concerns with these proposed provisions and suggesting alternatives. A more detailed discussion of the RTM comments is found in section part VI.C of this document. However, some of the industry concerns with the proposed requirements include:
• The meaning of proposed requirements to “immediately transmit” these RTM data and to maintain “continuous contact” between onshore personnel and rig personnel;
• The proposed requirement that loss of “any real-time monitoring capability during operations” requires immediate notification of, and possible action by, the District Manager; and
• The potential for an increase in rig personnel response time and a decrease in the accountability of the offshore personnel.
In addition, several commenters suggested that BSEE require operators to develop specific RTM plans in lieu of some or all of the proposed requirements, or that the existence of such plans would justify BSEE eliminating some or all of the proposed RTM requirements, even if an RTM plan were not expressly required.
BSEE considered all of the relevant comments and made several revisions and clarifications to the proposed RTM requirements in final § 250.724. The final rule removes or replaces several provisions that were perceived by commenters as overly prescriptive with more flexible, performance-based measures that better reflect BSEE's intention that operators use RTM as a tool to improve their own ability to prevent well control incidents while providing BSEE with sufficient access to RTM information to evaluate system improvements. For example, instead of requiring an operator to notify the District Manager immediately of any loss of RTM capabilities, as proposed, the final rule requires an operator to have an RTM plan that specifies how the operator will notify BSEE of any significant interruption in monitoring or RTM communications. The revisions to the final rule also clarify that BSEE did not intend to require that direct operational responsibility for well control be shifted from rig personnel to onshore RTM personnel.
Specifically, the revisions to the proposed requirements, as reflected in the final rule include the following:
• The phrase “all aspects of” was deleted from paragraphs (a)(1), (2), and (3).
The deletion of that phrase provides for a more performance-based rule, pursuant to which the operator, based upon the particular rig configuration and situation, would determine the data to be collected. Further, the deletion of “all aspects of” provides more operator flexibility so as to reduce the probability of an increase in response time while maintaining the accountability of the offshore personnel. This revision also clarifies that RTM is intended to be used as a support tool for the existing rig-based chain of command and is not a substitute for the competency or well-control responsibilities of the rig personnel.
• The word “data” was added to clarify the systems and tools from which real-time data must be gathered and monitored.
BSEE also made the following revisions and clarifications in final § 250.724(b):
• The phrase “barring unforeseeable or unpreventable interruptions in transmission” was added to address concerns about the interruption of the transmission of the data.
• The word “immediately” was deleted with respect to transferring data to shore, and the phrase “during operations where they must be monitored [by qualified personnel] who must be in continuous contact with rig personnel during operations” was deleted. These revisions were made to address concern that mandatory onshore monitoring would result in an erosion of authority of, or shifting operational decision making away from, the rig-site personnel. These revisions also address concerns that mandatory onshore monitoring and continuous rig-to-shore contact might result in an increase in response time and a decrease in the accountability of the offshore personnel. They also clarify BSEE's intent that RTM involving onshore personnel serve as a support tool for the existing rig-based chain of command.
BSEE also revised and clarified final § 250.724(c) by deleting the sentences that proposed that operators who lose any RTM capability during operations covered by the section, you must immediately notify the District Manager, and that the District Manager may require other measures until RTM capability is restored.
BSEE replaced the deleted sentences with a performance-based requirement for operators to have an RTM plan, as suggested by several industry commenters, that addresses several of the issues that the proposed rule would have addressed through prescriptive language. For example, most of the commenters' concerns with proposed paragraph (c) appear to be based on the assumption that the proposed language would have required every interruption in RTM capabilities—no matter how brief or inconsequential—to be reported to the District Manager, and would have resulted in orders to suspend operations in every case. However, BSEE did not intend that proposed requirement to apply to minor or routine interruptions in RTM capabilities that pose no significant risk to safety or of a LWC. Accordingly, the final rule now requires operators to have RTM plans that include procedures for responding to and notifying BSEE of “significant and/or prolonged interruptions.” Thus, BSEE anticipates that the final rule will result in essentially the same results regarding interruptions that the proposed rule was intended to achieve, with no loss of safety or environmental protection as compared to the proposal.
Specifically, the final rule requires that the RTM plan be made available to BSEE upon request and that the plan include descriptions of:
• RTM technical and operational capabilities;
• How the RTM data will be transmitted onshore, how the data will be labeled and monitored by qualified onshore personnel, and how the data will be stored onshore;
• A description of procedures for providing BSEE access, upon request, to the RTM data including, if applicable, the location of any onshore data monitoring or data storage facilities;
• Onshore monitoring personnel qualifications;
• Methods and procedures for communications between rig and onshore personnel;
• Actions that will be taken in case of loss of RTM capabilities or rig-to-shore communications; and
• A protocol for responding to significant or prolonged interruptions of
As discussed in the notice of proposed rulemaking, BSEE proposed a variety of requirements that would increase the likelihood that a BOP would be able to sever a drill string in an emergency situation in order to shut-in the well and prevent a catastrophic blowout. (
BSEE also explained that it was considering a 10-year timeframe for compliance with this potential requirement in order to provide time for manufacturers or operators to develop or select innovative or improved technologies or equipment to meet the requirement. BSEE then invited public comments and supporting data on a variety of key technical and economic questions and issues that would help BSEE decide whether to include such a requirement in the final rule. (
Only a small number of comments addressed this severing issue. Several industry commenters opposed the idea or stated that it would be extremely difficult and expensive to meet, and that even 10 years might not be long enough to come into compliance. One commenter suggested that BSEE require that shearable sections be designed into the drill string (instead of requiring that everything be shearable), and that a shearable section of the drill string must be across one of the shearing rams at all times. The same commenter asserted that shearable drill collars currently exist, but did not provide any additional technical or economic information supporting that assertion. Another commenter supported the requirement in general, but suggested that it should be implemented in less than 10 years. None of the comments, however, provided adequate relevant technical or economic data or other information to help BSEE determine whether to include the requirement in the final rule.
Accordingly, although BSEE still believes that such a severing requirement could provide important additional controls to prevent future well-control events and catastrophic blowouts, such as the
BSEE received a number of comments on proposed § 250.737(a)(2), which proposed to harmonize the pressure testing interval for BOPs used in workovers and decommissioning operations (currently 7 days) with the existing 14-day interval for pressure testing BOPs used in drilling and completion operations.
In the proposed rule, BSEE explained that increasing the test interval for workover and decommissioning BOPs from 7 days to 14 days could decrease wear and tear on those BOPs, and thus increase their durability and reliability in the long-term and otherwise potentially improve safety. (
In addition, BSEE requested comments on whether the pressure testing interval for BOPs used in all types of operations should be 7 days, 14 days (as proposed), or 21 days. BSEE also requested comments on the potential cost implications of each of those intervals. (
In response, one commenter suggested that BSEE require more frequent BOP pressure tests (
BSEE has long been involved with joint industry projects and studies on BOP reliability and, after reviewing the comments on the proposed rule, has concluded that increasing the test interval for workover and decommissioning BOPs from 7 to 14 days is appropriate in terms of decreasing wear and tear and increasing long-term reliability of those BOPs. BSEE and the industry now have substantial experience with the efficacy of the longstanding 14-day testing requirement for BOPs used in drilling and completion operations, and BSEE believes that testing decommissioning and workover BOPs every 14 days will avoid the extra wear and tear and safety risks inherent in 7-day testing and will not result in any diminution of safety and environmental protection as compared to 7-day testing.
BSEE is not aware, however, of any new data that justifies increasing the BOP pressure testing interval for all BOPs from 14 days to 21 days. The previous studies and data on BOP testing frequency that were submitted to MMS prior to the
BSEE is aware of concerns that the more frequently BOPs are tested, the more likely the equipment is to wear out prematurely; however, it does not automatically follow that every extension of test intervals always increases reliability, and thus safety and environmental protection, in the long-term. The industry commenters do not dispute that testing must occur at appropriate intervals to provide assurance that BOPs will function as intended when needed to prevent a blowout. BSEE's experience with 14-day pressure testing for drilling and completion BOPs indicates that it is effective for its purpose and that, in the absence of significant new information on longer test intervals, it is appropriate to retain that interval for such BOPs and to apply the same requirement to workover and decommissioning BOPs.
BSEE believes that the provisions in the final rule that increase the exchange of data on equipment reliability, that improve the design, manufacturing, maintenance and repair of BOP equipment, and that require the use of BAVOs or other independent third-parties to verify and document BOP testing, repairs and maintenance will result in improved performance and reliability of BOPs in the future. However, in the absence of new data demonstrating that 21-day testing would be as protective as 14-day testing, BSEE has decided to finalize the proposed 14-day pressure testing requirement for BOPs used in all types of operations. In response to the
In addition to the significant changes discussed in the preceding section, BSEE has also made changes to the rule in response to comments suggesting that BSEE eliminate redundancy, clarify some potentially confusing language, streamline the regulatory text, and align certain provisions in the proposed regulatory text more closely with relevant terminology in API Standard 53 (where BSEE intended the proposed provisions to be consistent with that standard). In some cases, we agreed with and accepted specific wording changes suggested by the commenters, and in some cases we made changes based on our agreement with the commenters' basic suggestion, even though the commenter provided no specific alternative language or we did not agree with the specific wording suggested by the commenter. In still other cases, we made minor revisions to proposed provisions in order to correct grammatical errors, eliminate potential ambiguity, or to avoid confusion by further clarifying the intent of the proposed language. The revisions include the following:
• In final § 250.292, we clarified the proposed language about pipeline free standing hybrid risers “on a permanent installation.”
• In final § 250.421, we clarified the proposed language regarding cementing the liner lap and what actions are necessary when an operator is unable to meet the cementing requirements of the liner lap section.
• In final § 250.462, we revised the language from “pressure holding” to “pressure containing” critical components. We also clarified language on excluding downhole safety valves. And we clarified the equipment that operators must make available to BSEE for inspection. We revised this section to clarify the differences between collocated equipment and SCCE (
• In final §§ 250.518, 250.619, and 250.1703, we clarified that, for the purposes of those sections, permanently installed packers and bridge plugs must comply with the referenced industry standard.
• In final § 250.703, we replaced “the most extreme service conditions” with “the maximum environmental and operational conditions” to which equipment may be exposed at a given well.
• In final § 250.711, we clarified that the same well-control drill cannot be repeated consecutively with the same crew, in order to avoid overly narrow training for certain personnel and to improve proficiency in well-control procedures by a broader set of rig personnel without unduly limiting the operator's discretion to schedule important drills.
• In final § 250.712, we changed the timeframe for informing BSEE of the rig movement from 72 hours to 24 hours' notice before movement. BSEE agreed with commenters that requiring 72 hour notice may have necessitated additional revisions to the submitted form due to the constant changes of operations affecting rig movements. Requiring a 24 hour notification provides a better indication of when a rig will move.
• In final § 250.713, we deleted the reference to “lift boats” and made other minor changes to improve consistency in rig-related terminology.
• In final § 250.715, we also revised the language to provide more consistency in rig-related terminology and to clarify the requirements for access to GPS data.
• In final § 250.721, we clarified that operators must test the liner-top, instead of the liner-lap, and that the pressure testing of the entire well should not exceed 70 percent of the burst rating limit of the weakest component.
• In final § 250.722, we clarified that calculations must be included if an imaging tool or caliper is used.
• In final § 250.730, we:
○ Clarified that the lessee or operator must ensure that the BOP systems are designed, installed, maintained, inspected, tested and used properly (instead of the lessee or operator
○ Clarified that the working pressure rating for annulars does not need to exceed MASP.
○ Clarified that the BOP system (instead of each ram) must be capable of closing and sealing the wellbore at all times and provide reliable means to handle well-control events.
○ Clarified paragraph (a)(2) to provide that the BOP systems must meet the provisions of the specified industry standards that apply to BOP systems.
○ Revised the failure reporting procedures in paragraph (c) to include submitting such reports to BSEE.
○ Clarified paragraph (d)(1) to remove the reference to the alternative compliance regulations at § 250.141.
• In final § 250.732, we:
○ Revised paragraph (a) by extending the compliance date for BAVO-related requirements to 1 year from the date BSEE publishes a BAVO list and adding new paragraphs (a)(1) and (2). Final paragraph (a)(1) provides that, until the requirements to use BAVOs become effective, operators must use an independent third-party to provide the certifications, verifications, and reports that a BAVO must provide after the BAVO requirements become effective. Final paragraph (a)(2) clarifies the criteria for independent third-parties, based on the longstanding criteria in use under current regulations.
○ Revised paragraph (b)(1)(vi), by replacing “all testing results” with “relevant testing results.”
○ Revised paragraph (d)(6) to clarify that training for personnel who service, repair or maintain BOPs must cover “any applicable” OEM requirements.
• In final § 250.733, we removed redundant requirements that are covered in other sections.
• In final § 250.734, we:
○ Revised the ROV provisions to require opening and closing of ram locks, one pipe ram, and the Lower Marine Riser Package (LMRP) disconnect.
○ Clarified that the ROV crew must be capable of carrying out appropriate tasks during emergency operations.
○ Simplified paragraph (a)(6)(vi) by deleting a phrase that would have required a failsafe system to use “logic” that makes every step independent from the previous step, and inserting instead the words “once activated.”
○ Clarified in paragraph (a)(7), that if an operator chooses to “use” an acoustic control system there are applicable requirements to demonstrate that it will function in the proposed environment and conditions.
○ Clarified that control panels must have “enable” buttons or similar features to ensure two-handed operation.
○ Clarified that there must be a side outlet installed below the lowest sealing shear ram.
○ Clarified that, if there are dual annulars, a gas bleed line must be installed below the upper annular.
○ Revised the language regarding testing of the equipment after making repairs, and clarified the testing requirements under certain circumstances.
• In final § 250.735, we revised paragraph (e), to clarify the required location of the kill line, and paragraph (g) to eliminate the proposed requirement for hydraulically operated locks for pipe rams on surface BOPs and to replace the proposed requirement for hydraulic locks on surface BOP blind shear rams with a requirement for remotely-operated locks.
• In final § 250.736, we revised the kelly valve requirements to better reflect current practice and technology.
• In final § 250.737, we:
○ Clarified, in paragraph (d)(2), that water must be used to do the initial test for surface BOP systems, but that drilling/completion/workover fluids may be used to conduct subsequent tests.
○ Clarified the requirements for testing pods between control stations.
○ Removed redundant provisions covered under other sections.
• In final § 250.738, we:
○ Revised paragraph (a) by removing the requirement to notify the District Manager of problems or irregularities “including leaks”; however, these problems or irregularities must be recorded on the daily report, which must be made available to BSEE upon request.
○ Revised paragraph (e) to clarify that one set of pipe rams (instead of two) must be capable of sealing around the smaller size pipe.
○ Revised paragraph (f) to clarify the required testing of the connections if casing rams or casing shear rams are installed in a surface BOP stack.
○ Revised paragraph (l) to clarify the required testing of the wellhead/BOP connection if a test ram is to be used.
○ Revised paragraph (p) to clarify the requirements that apply if the bottom hole assembly needs to be positioned across the BOP.
• In final § 250.739, we clarified personnel training and records requirements.
• In final § 250.746, we added a reference to digital recorders, clarified the actions required when there are leaks associated with a BOP control system, and made minor changes to provide consistency in rig-related terminology.
• In final §§ 250.414(k), 250.713(e), 250.714(e), 250.721(d) and (g)(3), 250.722(a)(1), 250.734(a)(7), 250.738(o), 250.740(g), 250.743(c), and 250.744(a), we clarified the purposes for which District Managers may require additional information, testing, or other procedures consistent with the purposes of those sections.
In response to the proposed rule, BSEE received over 172 sets of comments from individual entities (
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E.O. 12630 requires executive agencies to review agency actions, including rulemakings, that have takings implications (
This lease is issued pursuant to the Outer Continental Shelf Lands Act. . . . The lease is issued subject to the Act; all regulations issued pursuant to the Act and in existence upon the Effective Date of this lease; all regulations issued pursuant to the statute in the future which provide for the prevention of waste and conservation of the natural resources of the Outer Continental Shelf and the protection of correlative rights therein, and all other applicable statutes and regulations.
Leases issued since 2010 likewise provide that:
This lease is subject to [OCSLA], regulations promulgated pursuant thereto, . . . and those . . . regulations promulgated thereafter, except to the extent they explicitly conflict with an express provision of this lease. It is expressly understood that amendments to existing . . . regulations . . . as well as the . . . promulgation of new regulations, which do not explicitly conflict with an express provision of this lease may be made and that the Lessee bears the risk that such may increase or decrease the Lessee's obligations under the Lease.
None of the provisions of this rule explicitly conflict with any express provisions of OCS oil and gas leases.
The Supreme Court and other Federal courts have interpreted the relevant lease language to mean that “[a] change to an OCSLA regulation does not breach the express terms of the lease language.”
The express language of the leases (in sections 10 and 12) likewise requires that the lessee comply with all applicable regulations, and OCSLA expressly provides that regulations promulgated pursuant to the statute apply to both new and existing leases as of their effective date. 43 U.S.C. 1334(a). Because all changes to the regulatory language implemented through this rule are made pursuant to OCSLA, they are expressly incorporated into the terms of the leases and thus consistent with lessees' rights thereunder. In light of the fact that the entirety of lessees' rights to conduct the impacted operations on the OCS are derived from their leases, regulation that is consistent with those lease rights likewise cannot amount to an unconstitutional taking of those lease rights. Accordingly, promulgation of this rule does not amount to a breach of any lease terms or a taking of any rights derived from OCS leases.
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The proposed rule does not create a technical barrier to trade because it is neutral as to the national origin of regulated equipment. The proposed rule did not, and this final rule will not, discriminate in favor of U.S.-fabricated equipment. The final rule is equally applicable to all relevant equipment, regardless of the equipment's country of origin. Accordingly, BSEE's proposed rule did not, and the final rule does not, create an unnecessary technical barrier to trade.
Commenters also suggested that all BOPs used on the Arctic OCS undergo independent verification by a qualified third-party organization, and that Arctic operators submit to BSEE an annual Mechanical Integrity Assessment (MIA) Report prepared by a BAVO, even though BSEE proposed that the MIA Report requirement apply only to subsea BOPs, BOPs in HPHT environments, and surface BOPs on floating facilities. The commenters asserted that extending these requirements would ensure that each BOP used on the Arctic OCS is fit for Arctic OCS service. Commenters also suggested extending to all Arctic OCS facilities: the proposed requirements in § 250.724 for RTM for subsea BOPs, BOPs in HPHT environments, and surface BOPs on floating facilities; and the proposed Source Control and Containment requirements in proposed § 250.462 for subsea BOPs or surface BOPs on floating facilities.
Some commenters also requested that BSEE revise the existing regulations to strengthen equipment and operational requirements for equipment used on the Arctic OCS. These suggestions included: Requiring Arctic operators to submit a cementing protocol and quality assurance plan, prepared by an experienced Arctic drilling engineer, as part of their APD; daily well activity reporting requirements for the Arctic OCS; and mandatory use of cement evaluation tools and temperature logs.
Some of the comments were expressly related to provisions in BSEE's proposed rule, “Requirements for Exploratory Drilling on the Arctic Outer Continental Shelf.” (
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BSEE recognizes that the Arctic OCS presents a uniquely challenging operating environment, characterized by extreme environmental conditions, geographic remoteness, and a relative lack of fixed infrastructure and existing operations. However, many of the comments submitted on the Arctic OCS issues are outside the scope of this well-control rulemaking. BSEE has decided to address Arctic-specific issues in separate rulemakings, guidance documents, or on a case-by-case basis as needed. Most of the comments related to the Arctic that were submitted under this rulemaking were also submitted in response to the proposed Arctic OCS exploratory drilling rule proposed in February 2015 and will be considered by BSEE in that rulemaking.
Similarly, some commenters asserted that it is not clear whether existing equipment already under construction or in fabrication will have to comply with the new regulations in the event that the new regulations are published or become effective during or after fabrication, but prior to startup of new facilities or actual installation of the equipment. The commenters asserted that, under this interpretation, compliance may not be possible to achieve without significant delay and associated costs.
A commenter stressed that application of manufacturing specifications (
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When BSEE decides to exempt existing operations, equipment, or facilities from a specific provision, BSEE makes that clear in the regulatory text or relevant preamble discussions for the rule. In this rulemaking, each of the specific requirements for equipment or facilities will apply to the equipment or facilities that are described in that
BSEE notes that many of the requirements in this final rule are not new, but are the same as or very similar to longstanding requirements in the existing regulations. Thus, those requirements will simply continue to apply to existing facilities or equipment. In addition, several of the most significant new requirements in this rule do not require compliance for several years—or longer in some cases (see part III of this document)—so the impact of those requirements on existing facilities or equipment will be substantially mitigated by those extended compliance periods (
A commenter expressed concerns that the proposed rule, as written, would not achieve BSEE's actual goals. This commenter suggested that BSEE should arrange workshops with industry to discuss the meanings of the proposed rules and revise the rules to improve safety while reducing unintended consequences.
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BSEE received significant input and specific recommendations from many industry groups, operators, equipment manufacturers, academics and environmental organizations as a result of the 2012 forum. Subsequently, BSEE sought and received additional input on potential means to improve well control through BSEE attendance at industry and public conferences, industry standards committee meetings, and BSEE's own standards workshops. BSEE also invited industry assessments of BSEE-funded technology research projects related to well control. BSEE conducted at least 50 meetings with various companies, trade associations, regulators, and other stakeholders interested in well control as part of this process.
BSEE considered all of this input in developing the proposed rule published in April 2015. (
Subsequently, BSEE received over 170 comments on the proposed rule, some extremely detailed, covering almost every section of the proposed rule, and hundreds of which related to specific technical, economic and other issues. Many of the comments were submitted by members or representatives of the offshore oil and gas industry, as well as environmental groups, academics, other Federal agencies, and interested members of the public. BSEE subject matter experts (including experienced engineers and economists) carefully considered all of the relevant and significant comments in developing this final rule. As discussed elsewhere in this document, BSEE not only responded to those comments, but made a number of revisions to the final rule to address concerns or information described in the comments.
In light of all of these efforts, BSEE does not agree with the commenters that urged BSEE to delay this final rule pending more workshops. BSEE intends to stay fully engaged with the affected industry and other stakeholders as this rule is implemented, and expects to participate in future meetings and workshops where the issues in this rulemaking will continue to be discussed. As experience and additional information are gained under this rule, BSEE will both provide guidance and clarification on this rule, as necessary.
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BSEE received other comments on the proposed rule, however, that raised concerns that the proposed compliance periods for certain provisions were too short. Those concerns included: Availability of required equipment; time needed to plan and install the equipment; and time needed to develop new or alternative equipment to meet the requirements.
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BSEE considered all of the comments regarding shortening and lengthening the compliance periods and determined that most of the proposed compliance periods were appropriate. BSEE did, however, determine that several requirements warranted longer compliance periods, as discussed in part III of this document. BSEE believes that compliance with these rules will improve well control, safety and environmental protection in a timely manner for the near and long term.
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BSEE expects the person performing such an activity to be familiar with all terms and conditions relevant and applicable to the activity. However, contractors and other parties actually performing specific activities are not responsible for complying with lease, permit or plan terms or conditions that are outside the scope of activities that they actually perform. Thus, it is not necessary for such persons (contractors or individuals) to be familiar with terms or conditions of the lease, permit or plan that are not associated with activities that they actually perform.
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Section 250.730(c) does not impose any requirements on OEMs.
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In contrast, many of the comments appeared to assume that any cost associated with requirements of this regulation is a cost of the rule regardless of whether that cost is already incurred based on current standard industry practice, existing regulations, or other indicators of state of the world in the absence of this rule. This assumption is inconsistent with both OMB guidance and with the general principles upon which an RIA is based. Additional discussion of BSEE's development of the baseline scenario can be found in Section 4 and in Appendix A of the final RIA for this rule, which is available in the regulatory docket at
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Additionally, the commenters' estimated costs for complying with the proposed safe drilling margin requirements, based on the proposed language, would be significantly less under the final regulatory language, which provides operators with more flexibility to set lower drilling margins, upon providing adequate documentation with the APD submittal and receiving approval by BSEE.
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In addition, the commenters did not take into account the potential benefits to industry in terms of reduced costs of operation associated with implementation of the new regulations. For example, the reduction in costs attributable to the change in the BOP pressure testing frequency for workovers and decommissioning will exceed the costs that will result from the final rule.
The commenters also did not account for the indirect benefits from the rulemaking that may accrue to entities other than offshore operators. For example, the requirements for new equipment and for use of BAVOs may result in an increase in the offshore labor force, which should result in overall economic benefits. Although such indirect benefits may also be speculative, and thus do not warrant further analysis under OMB Circular A-4, their absence from the commenters' estimates means that their estimates do not present a complete picture of all of the potential indirect effects.
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This summary discusses every section of 30 CFR part 250 covered by the proposed rule and this final rulemaking; sections of the existing regulations that were not addressed in the proposed or final rule are not included in this summary. BSEE did not receive any substantive comments on numerous sections covered by the proposed rule; those sections are included in this final rule and are summarized here. BSEE received substantive comments on many other sections covered by the proposed rule, some of which have been included in this final rule without revision and some of which have been revised in the final rule. Those sections, and the relevant comments on those sections as well as BSEE's responses are summarized here.
This section of the existing regulation provides information on where to find information about various OCS operations in 30 CFR part 250. BSEE proposed to add new information to this section so the public will know where they can find requirements for well operations and equipment in new subpart G. BSEE received no substantive comments on this provision of the proposed rule and has included the proposed language in the final rule without change.
This section of the existing regulation lays out performance-based and other requirement that operators must meet to protect safety, health, property and the environment and requires the use of BAST whenever practical. BSEE proposed several revisions to this existing regulation. BSEE proposed to revise paragraph (a) of this section to include performance-based requirements that operators utilize recognized engineering practices that reduce risks to the lowest level practicable during activities covered by the regulations and conduct all activities pursuant to the applicable lease, plan, or permit terms or conditions of approval. BSEE also proposed adding new paragraph (e) to clarify BSEE's authority to issue orders when necessary to protect health, safety, property, or the environment. BSEE received several comments on the proposed changes and additions to this section but, for the following reasons, has included the proposed language in the final rule without change.
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Regarding the specific comments on “recognized engineering practices,” BSEE expects that those practices may be drawn, for example, from established codes, industry standards, published peer-reviewed technical reports or industry recommended practices, and similar documents applicable to relevant engineering activities. BSEE may issue additional guidance on such issues in the future, when and if specific circumstances warrant such guidance.
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BSEE agrees with the comment stating that orders issued under this section could, at least in some cases, be `reactive” in nature, and that reactive measures alone may not be enough to reduce risks to the lowest level. However, any orders issued under § 250.107(e) would be only one of many measures established by this final rule, most of which set performance goals or prescribe specific measures to be taken in advance of any harm, to improve safety and environmental protection. BSEE has determined that orders authorized by paragraph (e) are an appropriate complement to those other measures to ensure that the regulations, as a whole, achieve their protective purpose.
The table in this section of the existing regulation lists fees that operators must pay to BSEE for certain services. BSEE proposed to revise this section to reflect the current citation for payment of the service fee relating to DWOPs. BSEE received no substantive comments on this provision of the proposed rule and has included the proposed language in the final rule without change.
This section of the existing regulation includes citations and other information regarding all documents (
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In addition, BSEE does not make a BAST determination in connection with the incorporation of industry standards. BSEE's authority under the NTTAA to incorporate industry standards into BSEE regulations is separate from the authority to require BAST under OCSLA. The NTTAA mandates that Federal agencies use technical standards developed or adopted by voluntary consensus standards bodies, as opposed to using government-unique standards, when practical. BSEE follows the requirements of the NTTAA and of OMB Circular A-119 when incorporating standards into the regulations. These are not tied to the BAST concepts derived from OCSLA or its implementing regulations.
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Moreover, BSEE is prohibited, under applicable rules governing incorporation by reference, from automatically incorporating future amendments to or editions of a standard. (
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For the same reason, BSEE does not agree with the commenters' suggestion that the rules allow an operator to use equipment that meets whatever “standard was in effect at the date the specific equipment was manufactured.” Under the NTTAA and implementing regulations, any equipment standard that BSEE incorporates by reference must be identified by date and edition number. However, BSEE has addressed the “grandfathering” issue for existing equipment in part VI.B.4 of this document. And, where applicable, BSEE may approve compliance with an earlier edition of an incorporated standard if an operator requests and justifies such an alternative under § 250.198(c) or § 250.141.
Commenters asked if it was BSEE's intent to require the application of the normative references in API Standard 53 for purposes other than their relation to the provisions of API Standard 53 to be incorporated in the final rule. If so, they requested that BSEE should specifically state those other purposes in the final rule.
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The commenters also asserted various technical obstacles to purchasing the standards (both for print and online) from API and to viewing them in person at BSEE's offices. The commenters also raised numerous objections to the manner in which API presents the documents online, including technical hurdles for visually impaired people to view the standards online. The commenters also asserted that BSEE is in violation of the Rehabilitation Act of 1973 because visually impaired individuals are not able to view the standards properly on API's Web site. They also asserted that there is no guarantee by BSEE that the currently free online access for viewing the standards on API's Web site will last. Another commenter requested that, if BSEE cannot make the documents available to the general public, BSEE should, at a minimum, grant access to certain types of organizations (
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Many of the detailed assertions in the comments (
In determining which industry standards to incorporate by reference into its regulations, BSEE has carefully evaluated potentially relevant standards, considered input from
Moreover, BSEE disagrees with the commenters' claims that BSEE failed to discuss the actions it took to ensure that the materials incorporated in these rules were, and will be, reasonably available or to actually make the materials reasonably available. In proposing certain standards for incorporation in the final rule, and finalizing such incorporations in this final rule, BSEE has followed the requirements and procedures for incorporation by reference set out in OFR's regulations. (
In order to be eligible for incorporation by reference, a document must be “reasonably available” to affected persons (1 CFR 51.5, 51.7(a)(3)) and the notice of proposed rulemaking must discuss how the incorporated document is reasonably available to interested parties or how the agency worked to make those documents reasonably available. (
The primary regulated community for these regulations is the offshore oil and gas industry, for which the costs for purchasing a copy of the industry standards (if they choose to do so) incorporated by reference in this final rule are not unreasonable. For other members of the public (including other government entities), BSEE discussed in the preamble to the proposed rule (see 80 FR 21506), and in this document (under “Availability of Incorporated Documents for Public Viewing”), the reasonable methods by which the standards incorporated here may be reviewed, inspected, copied, or purchased.
In brief, BSEE explained in both documents how any member of the public may review the referenced standards for free on API's Web site or in person at BSEE's offices in Sterling, VA, or at NARA's offices in Washington, DC. These actions are consistent with BSEE's prior rulemakings incorporating many other standards in the part 250 regulations. Moreover, BSEE received informal approval from OFR for the proposed incorporations by reference in the proposed rule, and formal approval for the final incorporations in this final rule, in accordance with OFR's regulations (1 CFR 51.3 and 51.5), which include the requirement for making the documents reasonably available.
Similarly, we disagree with the commenters' claim that the proposed rule violated the APA by failing to adequately describe the materials proposed for incorporation. To the contrary, the proposed rule adequately described the referenced standards (
In addition, contrary to commenters' claims that BSEE must provide free, downloadable copies of the standards on its Web site, notwithstanding API's copyright claims to those standards, OFR has expressly concluded that an agency's incorporation by reference of copyrighted material does not result in the loss of that copyright.
Under the OFR regulations, BSEE is permitted to incorporate copyrighted materials into its regulations. Implicit within that permission is the fact that access to and presentation of certain incorporated standards is controlled principally by the third-party copyright holder. While BSEE works diligently to maximize the accessibility of incorporated documents, and offers direction to where the materials are reasonably available, it also must ultimately respect the publisher's copyright. Accordingly, issues related to how API structures its Web site or formats its copyrighted materials offered for free access are outside of BSEE's control and beyond the scope of this rulemaking.
This section of the existing regulation provides the OMB control numbers associated with information collections under each subpart of part 250, and generally provides BSEE's reasons for collecting the information and explains how the information is used. BSEE proposed to revise this section by updating the OMB control numbers, by rewording some of the explanations for BSEE's information collections, and by adding references to proposed new information collections. After considering comments submitted on this section, BSEE has included the proposed language in the final rule without significant revisions. However, in response to certain comments, BSEE has revised the estimated burden hours for compliance with some of the information collections in the final rule, as explained in the following responses.
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One commenter stated that § 250.418(g) of the proposed rule would likely require additional engineering time to develop a well abandonment plan that includes wash out or cement displacement to facilitate casing removal upon well abandonment. Another commenter stated that an additional man-day per individual well would be needed to provide a description of the source control and containment capabilities and receive APD approval pursuant to § 250.462(c).
We also received a comment requesting that we increase the estimated burden hours given that additional drilling prognosis information in the APD may be required by the District Manager under § 250.414(k).
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In addition, several commenters stated that there is an additional burden involved with submittals of an MIA Report as required by § 250.732(d) for a subsea BOP, a BOP used in an HPHT environment, or a surface BOP used on a floating facility. Specifically, they asserted that BSEE failed to account for the burden of obtaining BAVO certification of the MIA Report, as required by proposed § 250.731(f).
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However, BSEE has increased the burden hours for requesting approval to use new or alternative procedures, along with supporting documentation if applicable under § 250.730, should an operator seek to deviate from the requirements of § 250.730(d). BSEE has also increased the burden hours for complying with the § 250.731(f) MIA Report certification requirement.
This section of the existing regulation specifies information (e.g., description of the typical wellbore, structural design for each surface system) that must be included in a DWOP. BSEE proposed no changes to existing paragraphs (a) through (o) of § 250.292, and the final rule makes no changes to those paragraphs. BSEE proposed to add a new paragraph (p) to this section and to redesignate existing paragraph (p) as paragraph (q). Proposed new paragraph (p) specified information that must be included in the DWOP if the operator proposes to use a pipeline FSHR meeting certain conditions. This information is used in planning for production development. BSEE received several comments on this proposed addition, and for the following reasons, has included proposed paragraph (p) in the final rule with one revision to the proposed language, as described in the following response and in part V.C of this document. Former paragraph (p) is also included in the final rule, without change, as new paragraph (q).
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This section of the existing regulation was entitled “Who is subject to the requirements of this subpart?” BSEE proposed to revise, this entire section, including the section heading, to require that drilling operations be done in a safe manner to protect against harm or damage to life (including fish and other aquatic life), property, natural resources of the OCS (including any mineral deposits), the National security or defense, or the marine, coastal, or human environment. BSEE also proposed to clarify that, for drilling operations, the operator must follow the requirements of this subpart and the applicable requirements of proposed subpart G. BSEE received no substantive comments on this proposed provision and made no changes to the proposed language, which is now included in the final rule.
BSEE proposed to remove and reserve this section of the existing regulation and to move the content of this former section to proposed § 250.703. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
BSEE proposed to remove and reserve this section of the existing regulation and to move the content of this former section to proposed § 250.720. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
BSEE proposed to remove and reserve this section of the existing regulation and to move the content of this existing regulation to proposed § 250.712. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
BSEE proposed to remove and reserve this section of the existing regulation and to move the content of this former section to proposed § 250.723. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
This section of the existing regulation specified certain information that must be included in an APD, including descriptions of “diverter and BOP systems.” BSEE proposed to slightly revise this section to separate the requirements for diverter and BOP descriptions, and to updates the cross-reference in the section to include new subpart G. BSEE received no substantive comments on this provision of the proposed rule and made no changes to the proposed language, which is included in the final rule.
This section of the existing regulation specifies the type of information that must be provided in the well drilling description portion of an APD. BSEE did not propose any changes to paragraphs (a) through (f) of the former § 250.413, which are retained unchanged. BSEE proposed to revise former paragraph (g) to require that the maximum ECD be included on the pore pressure/fracture gradient plot in the APD. BSEE received multiple comments on the proposed changes to paragraph (g) and, for the following reasons, has decided to revise the proposed language to require that the “planned safe drilling margin,” instead of the ECD, be included on the pore pressure/fracture gradient plot under the final rule.
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This section of the existing regulation describes the information that must be included in the drilling prognosis portion of an APD. BSEE did not propose any changes to paragraphs (a) and (b), and paragraphs (d) through (g), of the existing regulation and they have been retained unchanged. BSEE proposed to revise paragraphs (c), (h), and (i) of the existing regulation and to add new paragraphs (j) and (k) to § 250.414. Specifically, BSEE proposed: To revise paragraph (c) to better define the safe drilling margin requirements; clarify paragraphs (h) and (i) with minor wording changes; to add a new paragraph (j) requiring that the drilling prognosis include both the type of wellhead and liner hanger systems to be installed and a descriptive schematic; and to add a new paragraph (k) requiring submittal of any additional information required by the District Manager as needed to clarify or evaluate the drilling prognosis. BSEE received some comments on proposed paragraph (j), but has included that paragraph in the final rule without change. BSEE received many comments on the
BSEE also received comments on the proposed § 250.414(c)(3) requirements related to the ECD. Some commenters interpreted this proposed language to mean that drilling must stop when any lost circulation occurs. Clarifying language was recommended as follows: “if lost circulation occurs, then the losses should be mitigated, and/or ECD managed to reduce the effects of lost circulation as per API Bulletin 92L.”
We also received a comment on the proposed requirements in § 250.414(c) for determining pore pressure and lowest estimated fracture gradients for specific intervals. The commenter emphasized that the purpose for this paragraph is to address planning (prognosis) for drilling operations and that it should not apply to the actual operations. The commenter recommended the following language: “during planning for a specific interval, the relevant available offset hole behavior observations must be considered.”
• Response: BSEE agrees with a majority of the comments on § 250.414(c) and has not included proposed paragraph (c)(3) in the final rule (and renumbered proposed paragraph (c)(4) as paragraph (c)(3) in the final rule). BSEE otherwise revised paragraph (c) in the final rule to require a planned safe drilling margin that is between the estimated pore pressure and the lesser of estimated fracture gradients or casing shoe pressure integrity test and based on a risk assessment consistent with expected well conditions and operations. Final paragraph (c) also requires that the safe drilling margin include use of equivalent downhole mud weight that is (i) greater than the estimated pore pressure, and (ii) except as provided in paragraph (c)(2), a minimum of 0.5 pound per gallon below the lower of the casing shoe pressure integrity test or the lowest estimated fracture gradient. Final paragraph (c)(2) now clarifies that, in lieu of meeting the criteria in paragraph (c)(1)(ii), operators may use an equivalent downhole mud weight as specified in the applicable APD, provided that the operators submits adequate documentation (such as risk modeling data, off-set well data, analog data, seismic data) to justify the alternative equivalent downhole mud weight. Finally, paragraph (c)(3) states that, when determining the pore pressure and lowest estimated fracture gradient for a specific interval, the operator must consider related off-set well behavior observations.
Although 0.5 ppg is typically an appropriate safe drilling margin for normal drilling scenarios, BSEE understands there are circumstances where a lower drilling margin may be acceptable to drill a well safely. The revisions made in the final rule better define safe drilling margins, requiring the 0.5 ppg margin under most circumstances, but providing operators with the flexibility to use a lower safe drilling margin when appropriate.
The changes in the final rule will alleviate, if not eliminate, much of industry's operational and economic concerns with the proposed 0.5 ppg margin, including industry's concern that a 0.5 ppg drilling margin—with no exceptions—would effectively preclude the continued use of dynamic pressure drilling and inhibit development of new technology.
By requiring justification for, and prior approval by BSEE of, any alternative to the 0.5 ppg margin, these revisions will provide BSEE with the information needed to make appropriate case-by-case decisions on specific drilling margins. BSEE could also use this option to identify and focus its resources on the potentially higher risk well sections where the safe drilling margin may be of greater concern. These revisions will increase planning flexibility for operators when drilling into areas that could require lower safe drilling margins, such as depleted sands or below salt (common occurrences in the GOMR). Industry will be able to determine and use (subject to BSEE approval) appropriate mud properties (density, viscosity, additives, etc.) best suited for a specific well interval based on drilling and geological parameters.
The final rule also revised the proposed language to refer to “off-set well”—instead of “hole”—conditions; the final rule language will better align the regulatory language with industry terminology and clarify BSEE's intent. For a more in-depth discussion of the changes to final § 250.414(c), refer to part V.B.1 of this document.
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This section of the existing regulation describes the information on casing and cementing programs that must be included in an APD. BSEE proposed no changes to paragraphs (b) through (f) of this section, which have been retained unchanged in the final rule. BSEE proposed to revise former paragraph (a) of this section to require casing information for all sections of each casing interval. BSEE proposed that operators must include bit depths (including measured and true vertical depth (TVD)) and locations of any installed rupture disks, and indicate either the collapse or burst ratings, in their APDs. Requiring this information for all sections for each casing interval will make well design calculations and APD submittals more accurate and provide a more complete representation of the well. BSEE received one comment on the proposed § 250.415, and as discussed in the following response, has included proposed paragraph (a) in the final rule without change.
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This section of the existing regulation specified the information that must be included in the descriptions of diverter systems and BOP systems contained in an APD. BSEE proposed to revise this section by removing former paragraphs (c) through (f), which required certain information for BOP system descriptions, which BSEE proposed to move to new §§ 250.703, 250.731 and 250.732, and by removing paragraph (g), which specified criteria for independent third-parties that verify certain BOP information. Under the proposed rule, § 250.416 would include only the former language, in paragraphs (a) and (b), regarding diverter descriptions and would be re-titled accordingly. Based on comments submitted on the proposed changes to this section, as explained in the following response, BSEE has included former paragraph (a) in the final rule without change, as proposed. BSEE also included former paragraph (b) in the final rule, with one minor change to the former paragraph (b)(1).
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BSEE proposed to remove and reserve this section and to move the content of this former section to proposed § 250.713. BSEE received no comments on the proposed removal and reservation of this section and the final rule takes that action.
This section of the existing regulation specified certain additional information (
This section of the existing regulation imposes specific requirements for casing and cementing of all wells. BSEE proposed to revise the introductory text
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This section of the existing regulation specifies casing and cementing requirements applicable to certain types of casing strings (
A commenter also requested confirmation that drive pipe and jetted pipe are considered structural pipe and therefore are subject to regulation under former § 250.421(a) (requirements for drive or structural casing) rather than the proposed § 250.421(b). If BSEE agrees with that view, the commenter has no objection to proposed § 250.421(b) with regard to drive pipe and jetted pipe.
One commenter suggested rewording the proposed revision to the existing requirement for setting casing immediately upon encountering oil, gas, or unexpected formation pressure before the planned casing point. The language of the proposed rule would require the casing to be set above the encountered zone. While the commenter did not object to the proposed revision, it suggested deleting the phrase “before the planned casing point” from the former and proposed regulatory text, and adding to the end of that provision the phrase “even if it is before the planned casing point.”
Another commenter suggested a change to a longstanding cementing requirement in existing (and proposed) § 250.421(b) for verification of annular fill by observation of cement returns or, when observation is not possible, by using additional cement to ensure fill-back to the mudline. The commenter indicated that, due to the long distances between the platform and the mud line at deepwater locations, excess hydrostatic cement pressure does not allow for a full column of cement to reach the platform level, making visual observation problematic. The commenter suggested that BSEE address this concern by allowing use of lift pressure calculations or “tag and circulate” to confirm visual evidence of cement location, and by adding language to the cementing provisions in § 250.421(b) that would require operators to discuss the cement fill level with the District Manager when “drilling in deeper water on fixed structures, where it may not be feasible to observe cement return.”
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BSEE does not agree that the proposed conductor casing requirement for encounters with oil, gas or unexpected formation pressure that occur before the planned casing point should be reworded as suggested by the commenter. The casing requirements under former and proposed § 250.421(b) state that if oil, gas or unexpected formation pressure is encountered before the planned casing point, casing must be set immediately; the only change proposed by BSEE to paragraph (b) was to clarify that, in such a case, the casing must be set above the encountered zone. BSEE does not believe that the commenter's suggested rephrasing would add any extra clarity or change the meaning of the proposed language in any useful way.
Finally, BSEE did not propose any changes to the existing cementing requirements for conductors. As described previously, the proposed change to § 250.421(b) clarifies the location where conductor casing must be set if the operator encounters oil or gas or unexpected formation pressure before the planned casing point;
A casing string whose top is above the mudline and that has been cemented back to the mudline will be not considered a liner. When conductor liner systems are needed in special applications, such as mud line suspension systems or drilling only applications, you must receive approval from the District Manager. You may not use a liner as conductor casing when surface wellhead systems are in use without mud line suspension systems and the structural casing extends back to the surface facility.
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The commenter also suggested that additional centralizers should be used in highly deviated well sections. This commenter also recommended that BSEE change the proposed regulation to require that: (a) The surface casing be set deep enough to provide a competent structure to support the BOP and to contain any formation pressures that may be encountered before the next
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This section of the existing regulation was entitled “What are the requirements for pressure testing casing?” BSEE proposed to change the former title of this section to more accurately reflect proposed changes within the section that establish requirements for installing casings and liners. BSEE also proposed to revise paragraphs (a) through (c) of former § 250.423 to clarify that liner latching mechanisms, if applicable, need to be engaged upon successfully installing and cementing the casing string or liner. These proposed revisions were intended to reinforce the importance of properly securing liners in place to ensure wellbore integrity. BSEE received and considered comments on the proposed revisions and the language in proposed paragraphs (a) and (b) has been revised as discussed in the following responses. Proposed paragraph (c), however, is included in the final rule without change.
Multiple commenters raised the concern that the language in proposed § 250.423(a) and (b) does not define or explain how to measure success in ensuring that latching/locking mechanisms are engaged after “successfully installing and cementing” the casing string and liner, respectively. They stated that many systems do not have a way to “ensure” that the lockdown mechanism is properly engaged; all they can do is ensure that the proper procedures to set the lockdown mechanism are followed. The commenters recommended that BSEE remove the word “successfully” from §§ 250.423(a) and (b) and say instead that, “[y]ou must ensure that the latching mechanisms or lock down mechanisms are engaged upon installation of each casing string.”
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BSEE agrees with the suggestion that more guidance is needed in this section for operators to determine when casing strings and liners have been successfully installed and cemented. Therefore, we have revised proposed § 250.423(a) and (b) in this final rule to include references to the cementing requirements of § 250.428(c). In effect, the latching mechanisms or lock down mechanisms must be engaged upon successfully installing and cementing the liner. If the operator determines under § 250.428(c) that the cement job is adequate (
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BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.722. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.746. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
This section of the existing regulation requires pressure integrity testing below the surface casing or liner and at certain drilling intervals. BSEE proposed to revise former paragraph (b) of this section to clarify that operators must maintain the safe drilling margins required by proposed § 250.414. Although BSEE received and considered comments on this proposed requirement, the final rule includes this paragraph as proposed for the reasons discussed in the following responses.
Although BSEE only proposed a minor change to existing § 250.427 (
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This section of the existing regulation describes actions that must be taken when certain situations (
BSEE also proposed to revise former paragraph (c), to clarify the requirements for actions that must be taken if there is an indication of an inadequate cement job, and former paragraph (d), clarifies that if the cement job is inadequate, the District Manager must approve all proposed remedial actions (except immediate action to ensure safety or to prevent a well-control event). In addition, BSEE proposed to add paragraph (k) (concerning the use of valves on drive pipes during cementing operations for the conductor casing, surface casing, or liner), to require certain actions to assist BSEE in assessing the structural integrity of the well. After consideration of comments on these proposed revisions, BSEE has included proposed paragraphs (b), (c), and (d) in the final rule without change. However, as discussed in the following responses, BSEE has revised the language of proposed paragraph (k) in the final rule.
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In case of an inadequate cement job, the commenters recommended that BSEE require that: (1) The operator submit a remedial action plan that includes immediate action and planned future action; (2) the District Manager approve the remedial action, unless immediate actions must be taken to ensure the safety of the crew or to prevent a well‐control event; (3) if the operator completes any unapproved immediate action to ensure the safety of the crew or to prevent a well‐control event, the operator must submit a description of the action to the District Manager when that action is complete; and (4) any changes to the well program (implicitly including casing or cement programs) that can impact the effectiveness of the barrier will require a certification by a PE that he or she reviewed and approved the proposed changes, and the changed well programs must meet any other requirements of the District Manager.
One commenter also requested that BSEE clarify whether the PE certifications required by § 250.428 refer only to changes to the casing design and primary cementing plans and not to proposed changes included in an APM. The commenter suggested revising the PE certification language in that paragraph to read: “certifying that the PE reviewed and approved the revised casing and/or cement program.”
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BSEE agrees, however, with the commenter's request that we clarify that the PE certification requirements in proposed § 250.428(b) and (d) apply only to the changes described in those paragraphs and not to other changes included in an APM. That is the correct interpretation of those provisions and no change to the proposed language of those paragraphs is necessary in the final rule.
Another commenter stated that the requirements in § 250.428(c) should be revised so that when a casing shoe is not set in hydrocarbons, only a shoe test would be required to confirm that the cement job was successful. On the other hand, the commenter suggested that if hydrocarbons are present, a shoe test would not be enough to confirm cement job success, and a combination of other techniques (including lift pressure analysis, radioactive tracers, and/or cement bond logging) should be required to confirm job success.
One commenter supported the proposed changes to § 250.428, but recommended that the diagnostic tests should also be run for all offshore wells to verify adequate cement placement. The commenter also recommended that the proposed requirements in § 250.428(d) for remedying inadequate cement jobs be strengthened to require a repeat cement evaluation log to verify that the cement repair was successful.
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With regard to the comment on strengthening the requirements for remedial actions in proposed § 250.428(d), there is no need to specify that a repeat cement evaluation is necessary if there is any indication that the repair was inadequate. In such a case, § 250.428(c) would still apply, and the actions required by that paragraph, including a PE certification, must still be taken.
BSEE also does not agree with the suggestion that § 250.428(c) should apply to all wells, even if there is no indication of an inadequate cement job. When there is no indication of an inadequate cement job, the existing requirement to pressure test all casings and liners (formerly § 250.423, redesignated as § 250.721 in this final rule) provides a reasonable indication of a good cement job.
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The commenter also pointed out that for subsea wells, several valves are normally used, one for each port; therefore, the proposed rule should not use the singular word “valve.” The commenter also said that it is common practice to use a secondary barrier (such as a pressure cap) to supplement a valve (
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BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.730. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.733 and 250.735. BSEE received no comments on the proposed removal and reservation of this section and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.734. BSEE received no comments on the proposed removal and reservation, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.733, 250.734, and 250.735. BSEE received no comments on the proposed removal and reservation, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.736. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.736. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.739. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.737. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.737. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.737. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.746. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.738. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
This section of the existing regulation specifies safe practices (
This section of the existing regulation was entitled “What are the requirements for well-control drills?” BSEE proposed to re-title and completely revise this section, and to move the contents of former § 250.462 to proposed §§ 250.710 and 250.711. As proposed, § 250.462 would require the operator to demonstrate the ability to control or contain a blowout event at the sea floor. Proposed paragraph (a) would require the operator to determine its source control and containment capabilities; proposed paragraph (b) would require that operators have access to, and the ability to deploy, source control and containment equipment (SCCE) necessary to regain control of the well; proposed paragraph (c) would require submittal of a description of the source control and containment capabilities before BSEE approves an APD; proposed paragraph (d) requires reevaluation by BSEE approval if certain events occur; and proposed paragraph (e) outlines maintenance, inspection, and testing requirements for specified containment equipment. After consideration of comments on the proposed section, and as explained in the following responses, BSEE has included paragraphs (a) through (d) in the final rule as proposed. BSEE has, however, revised the language of proposed paragraph (e) in the final rule.
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One commenter also recommended that, since proposed § 250.462(d)(2) would require the operator to contact the BSEE Regional Supervisor to reevaluate source control and containment capabilities if required SCCE is out of service, the operator should be required to secure the well and suspend drilling operations until the SCCE equipment is repaired or replaced and returned to full active service.
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We do not agree, however, that API RP 17W should be incorporated in the final rule at this time. BSEE did not propose to incorporate that standard and, although we may consider this document for incorporation in the future, using the evaluation process previously described, if we decide it is appropriate to incorporate that standard, we will do so through a separate rulemaking.
One commenter stated that the required function testing of capping stacks should be conducted quarterly, and that pressure testing of all critical capping stack components should be conducted on a biennial basis.
Commenters also suggested changes to the proposed paragraph (e) to implement their comments, including changing “pressure holding critical components” to “pressure containing critical components, and changing the proposed witnessing requirement to allow witnessing by BSEE “and/or an independent third-party.”
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This section of the existing regulation specifies circumstances that require an operator to submit an APM or EOR (Form BSEE-0125) and the timeframes for doing so. BSEE did not propose any changes to this section of the existing regulation, except former paragraph (b)(3). Accordingly, the remainder of former § 250.465 is retained in the final rules without change. BSEE proposed to revise former paragraph (b)(3) to clarify that, if there is a revision to the drilling plan, major drilling equipment change, or a plugback, the operator must submit an EOR within 30 days after completing the work. This proposed provision was intended to help ensure that BSEE has current well information. BSEE received no substantive comments on proposed paragraph (b)(3), and the final rule includes that paragraph as proposed.
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BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.740. BSEE received no substantive comments on this provision, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.741. BSEE received no comments on the proposed removal and reservation, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.742 and 250.743. BSEE received no comments on the proposed removal and reservation, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.745. BSEE received no comments on the proposed removal and reservation, and the final rule takes that action.
This section of the existing regulation requires that well-completion operations be conducted in a way that protects human and animal life, property, OCS natural resources, National security and the environment. BSEE proposed to revise this section by adding language requiring operators to follow the applicable requirements of proposed new Subpart G (in addition to Subpart E). BSEE also proposed to replace the word “shall” with “must” throughout this section in order to clarify that the provision is mandatory. BSEE received no substantive comments on these proposed revisions to the existing regulation and has made no changes to the proposed language in the final rule.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.723. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.710. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
This section of the existing regulation requires that well-control fluids, equipment, and operations be designed,
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.731 and 250.732. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.730, 250.733, 250.734, 250.735, and 250.736. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.711, 250.737, 250.738, 250.739, and 250.746. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
These sections of the existing regulation provide requirements for placement of tubing strings, periodic evaluation of casing subject to prolonged operations, and monitoring of casing pressure for completions and workovers, respectively. BSEE proposed to remove former paragraph (b) from both sections (and to redesignate the remaining paragraphs accordingly); and to add new paragraphs (e) and (f) to both sections. Those new paragraphs would apply to packers and bridge plugs and require adherence to newly incorporated API Spec. 11D1,
Commenters also had concerns about the proposed requirements in §§ 250.518(e) and 250.619(e) for setting depth and location of the packers. For example, the commenters were concerned that the regulations could require setting the packers as close as possible to the perforated interval and within the cemented interval of the casing section.
One commenter asked BSEE to clarify whether the requirements in proposed §§ 250.518 and 250.619 would apply only to packers and bridge plugs installed after the rule takes effect, or whether they would also apply to packers and plugs already installed before the rules take effect.
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BSEE understands the concerns about the production packer setting requirements. However, BSEE wants to ensure that the packer is set as required in this section in order to help ensure long term equipment reliability. For example, setting a packer in a cemented interval will slow down deterioration that could occur in other settings and thus will prolong the effectiveness of the packer. Also, BSEE wants to ensure that the packer is not set too high, so that, if there is a problem with the packer in the well (
Finally, BSEE agrees that final §§ 250.518 and 250.619 are applicable only to packers and bridge plugs installed after the effective date of the final rule, and they do not require removal and replacement of existing packers and bridge plugs already in use. We slightly revised final § 250.518(e) to further clarify that intent; no change to final § 250.619(e) is necessary since that language is already clear on this point.
This section of the existing regulation requires workover operations to be conducted in a way that protects human and animal life, property, OCS natural resources, National security and the environment. BSEE proposed no changes to this section except proposing to add a requirement for operators to follow the applicable provisions of new subpart G (in addition to subpart F). BSEE received no substantive comments on this proposed revision, and the final rule adds the proposed language to final § 250.600.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.723. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.710. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to remove paragraph (d) of this former section and to move it to proposed § 250.720. BSEE received no substantive comments on this provision of the proposed rule and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.731 and 250.732. BSEE received no comments on the proposed removal
This section of the existing regulation was entitled “Blowout Prevention Equipment” and provided criteria for design, use, maintenance, and testing of BOPs and related well-control equipment. BSEE proposed to re-title § 250.616 as “Coiled tubing and snubbing operations,” to remove paragraphs (a) through (e) of the former section, and to move the content of those sections to final §§ 250.730 and 250.733 through 250.736. BSEE also proposed to re-designate former paragraphs (f) through (h) as paragraphs (a) through (c) without changing the contents of those paragraphs. As proposed, redesignated paragraph (a) sets minimum requirements for coiled tubing equipment and operations; redesignated paragraph (b) sets certain requirements for BOP system components for workover operations with a tree in place; and redesignated paragraph (c) requires that an inside BOP or certain types of safety valves be maintained on the rig floor during workovers. BSEE received no substantive comments on this provision of the proposed rule and final § 250.616 includes the proposed changes without additional revision.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed §§ 250.711, 250.737, and 250.746. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
BSEE proposed to reserve and remove this section and to move the content of this former section to proposed § 250.739. BSEE received no comments on the proposed removal and reservation of this section, and the final rule takes that action.
As provided for in the proposed rule, this new section explains that subpart G applies to drilling, completion, workover, and decommissioning activities and equipment. BSEE received no substantive comments on this provision of the proposed rule and has made no changes to the proposed language in the final rule.
As provided for in the proposed rule, §§ 250.701 and 250.702 add provisions to new Subpart G acknowledging operators' ability to request BSEE approval of alternative procedures or equipment and to request departures from operating requirements in accordance with existing §§ 250.141 and 250.142, respectively. BSEE has considered the comments submitted on these proposed sections, and as explained in the following responses, the final rule includes these sections without change.
Another commenter asserted that the proposed rule is unclear about when it would be appropriate for BSEE to allow a departure from the well operations and equipment regulations in subpart G. The commenter stated that the reasons for granting a departure are not specified in existing § 250.142 or proposed § 250.702, and that the existing and proposed regulatory language for departure requests does not specify that the operator must demonstrate that it will achieve at least the same level of safety and environmental protection as the regulation from which it wants to depart. The commenter recommended that BSEE remove the proposed and existing regulations for departures, unless BSEE can explain its reasons for allowing departures from the applicable drilling requirements, or why a departure should be allowed without requiring an adequate substitute for the relevant requirements. The same commenter suggested that existing § 250.408 and proposed § 250.701 provide an adequate option for operators to request approval to use alternative procedures in situations, such as technical innovations, where there is a beneficial reason to allow such alternatives, that must meet or exceed the requirements in the regulations. Other commenters also raised questions regarding contractor responsibilities.
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BSEE is aware of operator perceptions that some past decisions made by different Regions or Districts on alternative compliance or departure requests appeared to lack complete consistency. However, approval of an alternative compliance or departure request is largely dependent upon specific site conditions and operational parameters that can vary significantly, even for requests that otherwise seem similar on their face. Thus, some perceived inconsistent decisions are explainable in light of the different case-specific facts and circumstances. BSEE strives to ensure consistency in decision-making among all Regions and Districts, and BSEE is developing internal procedures to improve consistency. In any event, this commenter's concerns about consistency do not require any change to the regulations.
Regarding the concerns raised about contractor responsibilities, that issue is discussed in part VI.B.5 of this document.
As provided for in the proposed rule, this new section is intended to clarify certain precautions required to ensure well control at all times. Paragraphs (a)
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In this rulemaking, BSEE is not undertaking a BAST determination with respect to any specific technology that may be utilized to satisfy the requirements of § 250.703. Moreover, the requirement to use recognized engineering practices is one broadly associated with processes and methods. In contrast, the BSEE's BAST authority focuses on technologies, rather than practices.
Other commenters asserted that the proposed language regarding “most extreme conditions” is unclear, and recommended revising the regulation to use the term “anticipated conditions” instead. Some commenters also suggested that if BSEE believes extreme load survival is warranted for certain pieces of equipment, then BSEE should require extreme load survivability, and justify it, as a separate provision.
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As provided for in the proposed rule, this new section requires personnel engaged in well operations to be
After consideration of the comments submitted on this proposed section, BSEE included the proposed language for this new section in the final rule without change, except that final paragraph (a) includes minor revisions to the proposed language in order to clarify the intent of this paragraph that personnel must be instructed in hazards and safety requirements.
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In addition, BSEE does not believe that it is necessary for a well-control expert to draft the plan, as long as it describes the specific well-control actions that rig personnel need to take, and provides the other essential information that the personnel need to know, as specified in § 250.710(b). Nor is it necessary to include the additional information (
As provided for in the proposed rule, this section consolidates requirements for well-control drills from various sections of the existing regulations (
One commenter recommended that the type of drills to be run should be recommended by a well-control expert and included in the written well-control plan. Also, this commenter stated that the operator should document lessons learned from drills as well as any need for additional or repeat training.
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BSEE agrees that it is useful for an operator to document any lessons learned from completed drills and that the operator should take appropriate steps to correct any deficiencies or other problems noted from past drills. For example, if the operator notes that certain personnel did not perform their duties correctly during a drill, it should consider scheduling extra drills involving those personnel and otherwise ensure that the personnel understand and can perform their specific duties, as described in the well-control plan. However, it is not necessary to add such specific, prescriptive requirements to the rule, because § 250.711(a) already imposes a responsibility on the operator to ensure that drills familiarize well operations personnel with their roles so that they can perform their well-control duties promptly and efficiently. BSEE believes that this performance-based requirement, allowing operators to decide the most effective ways to structure their drills, is appropriate given that drills may vary from rig-to-rig
BSEE expects the well-control plan and drills, as required by §§ 250.710 and 250.711, to function together as effective tools to help rig personnel understand and efficiently perform their well-control responsibilities and duties. Accordingly, except with regard to the revision described previously in § 240.711(a), no further revisions to final § 250.711 are needed.
As described in the proposed rule, this section includes language similar to former § 250.403 and adds several new requirements for reporting rig movements to BSEE. Paragraphs (a) and (b) of the final rule address rig movement reporting requirements for all rig units moving on and off locations. Paragraph (c) requires notifications to BSEE if a MODU or platform rig is to be warm or cold stacked on a lease, including information about where the rig is coming from, where it would be positioned, whether it would be manned or unmanned, and any changes in the stacking location. Paragraph (d) requires notification to the appropriate District Manager of any construction, repairs, or modifications associated with the drilling package made to the MODU or platform rig prior to resuming operations after stacking. Paragraph (e) requires notification to the District Manager if a drilling rig enters OCS waters as to where the drilling rig is coming from. Paragraph (f) clarifies that if the anticipated date for initially moving on or off location changes by more than 24 hours, an updated Rig Movement Notification Report (Form BSEE-0144) must be submitted to BSEE.
After consideration of the comments received, and as explained in the following responses to comments and in part V.C of this document, BSEE has made several revisions to the proposed language in this final rule.
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As provided for in the proposed rule, this section includes MODU requirements (
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In addition, BSEE would need to gather more information and to further consult with USCG before deciding whether to add USCG to the § 250.713(d) requirement for providing documentation on operational limits. BSEE may consider addressing these issues in separate rulemakings at a later date. In the meantime, BSEE will continue its close coordination with USCG in all matters involving BSEE and USCG responsibilities.
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Another commenter stated that the requirement to collect and submit environmental data to the District Manager after an APD/APM is approved would not benefit the MODU or lift boat that is already on location under the approved permit and that is collecting the data, and the MODU or lift boat could be at risk if it were truly “unsuitable” for the site conditions where it is gathering the data. The commenter recommended that a metocean specialist assess the suitability of the MODU or lift boat for the location, applying conservative environmental criteria. If there is uncertainty in the metocean criteria that cannot be resolved, the environmental data should be gathered before mobilizing a MODU or lift boat to the location.
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BSEE agrees that environmental data should be gathered before mobilizing a MODU to location, although no change to the regulatory text is required to make that point. The requirements in § 250.713(a) have been in place—in former § 250.417(a)—for years and BSEE is not aware of any problems occurring because a unit was onsite before the data was gathered and submitted. Nor does BSEE believe that it is necessary to require a metocean expert to assess the suitability of the unit for the environmental conditions under this longstanding provision. Furthermore, the District Manager has the authority to revoke approval of the permit if data collected during operations shows the MODU cannot perform at the proposed location. This will help BSEE ensure that the MODU proposed for OCS operations is appropriate for the specific location.
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However, BSEE does not agree that regional soil data should be allowed in place of site-specific soil data. The purpose of the soil data requirement in § 250.713(b) is to ensure that the foundation at the specific site is actually capable of supporting a bottom-founded MODU, and regional soil data may not be sufficient to demonstrate the suitability of the soil at that particular site.
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As provided for in the proposed rule, this new section codifies some of the language from BSEE NTL 2009-G36,
With regard to proposed § 250.714(e)—requiring operators to include in their dropped objects plan “any additional information required by the District Manager”—one commenter recommended that BSEE should limit requests for additional information to “information needed to ensure protection of onsite personnel or the environment.” Another commenter asserted that § 250.714(e) is ambiguous and that BSEE should clarify it. Another commenter observed that companies should have simultaneous operations (SIMOPS) procedures in place.
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Section 250.714(e) is intended to give District Managers the necessary flexibility and discretion to require information as needed in specific cases to fulfill the purposes of the regulation. However, BSEE has further clarified final § 250.714(e), by stating that a District Manager may require additional information as appropriate to clarify, update, or evaluate a dropped objects plan. Thus, the District Manager may require additional information regarding dropped objects on a case-by-case basis, based on unique site or well conditions.
BSEE currently does not have enough information about SIMOPS to warrant including such a requirement in this final rule. However, BSEE agrees that SIMOPS may be a tool that operators should consider when multiple operations are being conducted at the same time or in conjunction with each other. If research or studies or other information about SIMOPS become available in the future that warrant further revision of this regulation, BSEE may propose such a revision in a future rulemaking.
As provided for in the proposed rule, this new section codifies existing BSEE NTL 2013-G01,
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As provided for in the proposed rule, this section consolidates requirements from various provisions of the existing regulation regarding how to secure a well whenever operations are interrupted. Paragraph (a) requires that the District Manager be notified when operations are interrupted and provides examples of events that would warrant interruption of operations (
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As provided for in the proposed rule, this section incorporates and revises certain requirements from former §§ 250.423 and 250.425 for pressure testing casing and liners. Among other things, final § 250.721 increases the minimum test pressure specification for conductor casing (excluding subsea wellheads) from 200 psi, as under the former regulations, to 250 psi; requires operators to test each drilling liner and liner-lap before further operations are continued in the well and provides the parameters for such tests; clarifies that the District Manager may approve or require other casing test pressures as appropriate to ensure casing integrity; requires that operators follow additional pressure test procedures when they plan to produce a well that is fully cased and cemented or is an open-hole completion; requires a PE certification of plans to provide a proper seal if there is an unsatisfactory pressure test; and requires a negative pressure test on all wells that use a subsea BOP stack or wells with mudline suspension systems. This final section is revised from the proposed rule as discussed in the comment responses for this section and in part V.C of this document.
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A commenter claimed that there is no engineering basis for the requirement in proposed § 250.721(b) to test formation integrity at the liner shoe, if the liner will not be exposed to that amount of pressure. The commenter claimed, for example, that casing shoes set in salt are not exposed to such pressures.
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For the same reasons, BSEE does not agree that the suggested changes to § 250.721(b) are warranted. That testing requirement has been in place for many years (formerly in § 250.425(a) and (b)) and BSEE is not aware of industry raising any concerns with implementing that requirement. In any event, any operator that wants to seek approval of an alternative test pressure under § 250.721(d) in a specific case may do so.
Another commenter stated that the existing regulations on testing (§ 250.423) are fit-for purpose, and that industry's long standing practice to test casing to maximum values only with a technical reason for doing so is sufficient. The commenter stated that testing to maximum anticipated shut-in tubing pressure may do unnecessary harm to the cement integrity.
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As provided for in the proposed rule, this section consolidates and clarifies various sections of the existing regulations that established requirements for well integrity for operations continuing longer than 30 days from a previous casing or liner test. If well integrity has deteriorated to a level below minimum safety factors, this section requires repairs or installation of additional casing and subsequent pressure testing, as approved by the District Manager. As discussed in the
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As provided for in the proposed rule, this section consolidates and revises requirements from several former sections (
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As described in the proposed rule, this new section includes requirements for gathering and monitoring real-time well data. The proposed section has been revised in the final rule as discussed in the comment responses for this section and in part V.B.4 of this document. Proposed paragraph (a) has been revised to clarify that it requires using an independent, automatic, and continuous monitoring system capable of recording, storing, and transmitting data regarding the BOP control system, the well's fluid handling system on the rig, and the well's downhole conditions. Proposed paragraph (b) has been revised to describe some of the required RTM operational capabilities and procedures. Proposed paragraph (c) has been revised to require that an operator develop and implement an RTM plan, to specify certain information that must be included in the plan, and to require that BSEE be provided with access to the plan, and to RTM data, upon request.
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However, to avoid any confusion in this regard, BSEE has revised final § 250.724(b) to address the commenters' concerns, while staying true to BSEE's original intent. In particular, we have replaced the proposed requirement to “immediately transmit” the RTM data to the onshore location with a requirement to transmit these data as they are gathered, barring unforeseeable or
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In addition, as discussed elsewhere in this document, BSEE has revised final § 250.724(c) and removed the language that would have authorized the District Manager to require other measures during a loss of RTM capabilities. These revisions eliminate the language that the commenters perceived could have required shutdowns.
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Accordingly, BSEE revised the final rule, as requested by some commenters, to include a requirement, in final § 250.724(c), that operators develop and implement RTM plans and make the plans available to BSEE upon request. That provision requires that the RTM plans include certain information, such as:
○ Descriptions of how RTM data will be transmitted onshore, and the onshore location(s) where the data will be monitored and stored;
○ Procedures for communications between onshore and rig personnel;
○ Actions to be taken if such communications or RTM capabilities are lost;
○ Procedures for responding to any significant or prolonged interruptions of monitoring or communications; and
○ A protocol for notifying BSEE of any significant or prolonged interruptions.
These RTM plan requirements will complement the other RTM requirements in § 250.724(a) and (b).
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As provided for in the proposed rule, this section consolidates and revises requirements from several sections of the existing regulations for design, fabrication, installation, maintenance, inspection, repair, testing and use of BOP systems and BOP components. Among other things, paragraph (a) of final § 250.730 requires compliance with relevant provisions of API Standard 53 and several related industry standards and adds a performance-based requirement that the BOP system be able to meet anticipated well conditions and still be able to seal the well. Paragraph (b) requires that operators ensure that design, fabrication, maintenance, and repair of the BOP system is done pursuant to the requirements contained in part 250, OEM recommendations (unless otherwise directed by BSEE), and recognized engineering practices. Paragraph (c) requires operators to use failure reporting procedures consistent with specified industry standards and to report failures to BSEE. Paragraph (d) requires that if an operator uses a BOP stack manufactured after the effective date of this rule, that BOP stack must have been manufactured in accordance with API Spec. Q1. Proposed § 250.730 has been revised in the final rule as discussed in the comment responses for this section and in part V.C of this document.
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Multiple commenters, therefore, asked BSEE to clarify the conditions that the equipment must be designed to meet, while other commenters specifically asked BSEE to require that the anticipated flowing conditions be defined in the APD for the specific operation and well conditions.
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A commenter also noted that there are significant misalignments between API Standard 53 and the current versions of most of these associated standards (
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As to the second comment, BSEE expects the equipment to operate as designed and to be used under the conditions for which it was designed. However, the commenter's suggestion that OEMs should include the quantity and quality of parts subsequently used by the operator in the OEMs' recommendations for repair and maintenance is beyond the scope of this rulemaking, which addresses requirements that must be met by operators.
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In addition, BSEE does not agree that it should require a new training program, whether developed by industry, as suggested by the commenter, or not. Contrary to the commenter's assumption, BSEE is not relying solely on OEM recommendations and recognized engineering practices. As explained previously, the SEMS training requirements apply to BOP-related training, and those requirements should be sufficient without BSEE creating yet another training program.
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BSEE agrees, however, with the suggestion that a definition of “failure” would clarify the scope and applicability of this provision. Since there are no definitions of “failure” in any of the industry standards (
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Another commenter asserted that proposed § 250.730(d)(1) would allow for potential approval of an alternative quality program (instead of API Spec. Q1) for the manufacture of BOP equipment, but that the path for obtaining such approval does not appear to be available to contractors (unless sponsored by an operator).
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As provided for in the proposed rule, this section consolidates and revises requirements from various former sections for including BOP information in APDs, APMs or other submittals to BSEE. Among other things, paragraphs (a) and (b) require submission of a complete description and schematic drawings of the BOP system. Paragraph (c) requires submission of a certification by a BAVO: That test data demonstrates the BOP shear ram(s) will shear the drill pipe as required; that the BOP was designed, tested, and maintained to perform under the anticipated maximum environmental and operational conditions; and that the accumulator system has sufficient fluid to operate the BOP system without assistance from the charging system. Paragraph (d) requires additional certification by a BAVO regarding the design and functionality of BOPs used in certain circumstances (
Another commenter claimed that this section would be unnecessary given that effective verification processes are already in place, and that the additional verifications required by this rule would not increase the safety of operations or the reliability of equipment.
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BSEE also disagrees with the comment indicating that these verification requirements are unnecessary. BSEE believes that these certification and verification provisions will serve as a useful tool for BSEE and the industry to better ensure—as compared to the current rules and industry practices—that equipment and processes function as intended to protect safety and the environment.
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Another commenter recommended that the equipment manufacturers should demonstrate shearing capability and provide shearing data instead of operators having to do so.
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Other commenters stated that this report is unnecessary, asserting that all of the requested information is already reported in the APD/APM and the BOP and Well Compatibility Certificate.
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In addition, BSEE disagrees that the requested information (
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A commenter asserted that BAVOs provide BSEE with selective powers not generally associated with a regulatory organization in a free market system. Commenters recommended that BSEE remove/delete all references to BAVOs due to potential legal implications and restriction of trade.
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As provided for in the proposed rule, this new section creates a process for BSEE to identify BAVOs and sets out various situations that require verification or a report by a BAVO. Paragraph (a) clarifies that BSEE will develop and maintain a list of BAVOs on its public website, and that compliance with the BAVO-related provisions of the rule will not be required until 1 year after BSEE issues that list. Paragraph (a) also specifies the information (regarding qualifications) that applicants for inclusion on the BAVO list must submit; while paragraph (b) lists the types of actions (
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In addition, while BSEE appreciates the value of operators' existing quality control programs, including those based on API Spec. Q1 or similar standards, BSEE cannot rely on such voluntary programs to provide the information or assurances that BSEE needs. As explained in the proposed rule, § 250.732 is necessary to ensure that BSEE receives accurate information regarding BOP systems so that BSEE may ensure the system is appropriate for the proposed use. In particular, the verification and documentation of such information by a BAVO would enhance BSEE's review of the information in APDs and APMs. (
Similarly, BSEE believes the SEMS regulations are an important step toward building an offshore safety culture that includes oil and gas companies as well as their employees and contractors, and the SEMS rules will result in substantial safety and environmental protection improvements over time. However, the SEMS requirements are very different from, and serve different purposes than, the BAVO-related requirements. The SEMS regulations focus on creating internal safety and environmental management systems that will foster safety and environmental protection by ensuring that offshore personnel comply with policy and procedures identified in a facility's SEMS plan. The SEMS rules lay out largely performance-based elements that the SEMS plan must address in areas such as hazards management, inspections and maintenance, training, and quality assurance and mechanical integrity of critical equipment. (See § 250.1901.) However, the SEMS rules do not prescribe specific technical requirements that the plans must ensure are met. Nor is BSEE routinely informed of the specific results from actual implementation of the SEMS plan at a rig.
By contrast, BAVO verifications or reports under § 250.732 will provide BSEE with important information regarding, among other things: Actual shearing capabilities (through recognized testing protocols and analyses), and pressure integrity testing (
However, in response to commenters' suggestions that BSEE allow the continued use of independent third-parties to perform verifications (as required under provisions of the existing regulations that are being replaced by these final rules),
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In any case, BSEE will publish a list of BAVOs so that choices will be available to operators. BSEE expects that there will also be enough listed BAVOs that operators will be able to base their choices between BAVOs on various factors, such as experience, price, availability, and access to appropriate technology. After the initial BAVO list is published, BSEE will continue to evaluate other verification organizations that apply for approval as BAVOs and will refresh or supplement the list from time to time as necessary to ensure that choices continue to be available to operators.
Concerning the suggestion that BSEE should provide industry with the opportunity to comment on the detailed scope of the work that BSEE intends BAVOs to perform, the final rule, in §§ 250.731 and 250.732, provides the scope of the certifications and verifications that BAVOs must perform. As to how a BAVO will perform each specific task for a specific facility, the BAVO and the operator employing the BAVO will work together to determine the precise nature and execution of the work. BSEE expects that the BAVOs and operators will establish these parameters through the contracting process.
Concerning the comments that industry should have a means of recourse to BSEE on decisions made by BAVOs where there is a difference of opinion regarding application or interpretation of a rule or standard, several means exist for BSEE to resolve such differences of opinion. In the first place, BSEE expects the BAVO and the operator to communicate with each other and attempt to resolve any differences of opinion in a mutually acceptable way. However, if necessary, the operator may refer requests for an interpretation of a specific regulation, or a standard incorporated in the regulations, to BSEE for assistance. In addition, if it appears that there is a broader need for an interpretation to guide BAVOs and operators, BSEE will consider issuing a NTL, an Information to Lessees and Operators, or a similar notice of interpretation or guidance, as appropriate.
BSEE disagrees with the comments suggesting that the proposed requirements imply that the BAVO may make recommendations on how to improve the fabrication, installation, repair, etc., of operator equipment. The rule does not state or imply that a BAVO must or should make recommendations to an operator with respect to the equipment. However, BSEE does expect
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In addition, BSEE disagrees with the suggestion that industry should be consulted in helping to identify BAVO candidates. As explained in the proposal, the purpose of the BAVO concept is to ensure that BOP equipment is monitored during its lifecycle by an “independent third-party” to verify compliance with the regulations, OEM recommendations, and recognized engineering practices. (
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Similarly, while there are some matters covered in an MIA report that are also covered under API Standard 53, there are significant differences and certain types of information required in the MIA report are not covered by API Standard 53.
The comment that the proposed rule would require compliance with non-existent OEM training recommendations does not warrant any change to the final regulation. It is already clear that § 250.732(d)(6) only requires compliance with any OEM training requirements that actually exist.
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As provided for in the proposed rule, this section combines and revises several sections of the former regulations that established technical requirements for surface BOP stacks and related equipment. Paragraph (a) of this section specifies the point at which the surface BOP stack must be installed, sets minimum requirements for numbers and types of key surface stack components and equipment (
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Other comments stated that the rule is not clear about the requirements for existing floating production facilities with surface BOP stacks. Some recommended that BSEE allow “grandfathering” for existing and under-construction facilities, since the proposed requirements could create feasibility issues or additional costs that could make continued activity on such rigs economically unviable. Some commenters also recommended that BSEE allow operators to submit a risk assessment for each existing floating facility to determine whether the facility needs dual shear rams to reduce risk and allow those facilities to “opt-out” of the requirement (as provided in API Standard 53).
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For the same reasons, BSEE disagrees with the recommendation that BSEE do a risk assessment to justify the dual shear ram requirement or allow operators with surface BOPs on floating facilities to opt-out of the requirement if they perform a risk assessment. BSEE already addressed the latter suggestion in the proposed rule in connection with the dual shear ram requirement for subsea BOPs, and stated that an operator whose circumstances make the dual shear ram requirement infeasible can seek approval for alternative equipment or procedures under current § 250.141. (
However, BSEE understands several of the practical concerns related to applying the dual shear ram requirement to existing facilities. For example, BSEE agrees that the dual shear ram requirement, if applied to existing floating production facilities, or facilities under construction or in advanced stages of development, potentially could have negative personnel safety and structural impacts due to the added weight of the dual shear ram equipment and to the height and structural limits of those facilities. Accordingly, BSEE has revised final paragraph (b)(1) to apply the dual shear ram requirements to surface BOPs that are “installed” on floating facilities 3 years after publication of the final rule.
Final § 250.733(b)(1) reasonably balances the practical concerns related to requiring dual shear rams on BOPs at existing floating facilities, or those to be constructed in the near-term, with the importance of improving the capabilities of surface BOPs on such facilities in the longer term. In fact, existing floating production facilities generally are less likely to have an event requiring a dual shear ram BOP, given that the majority of such facilities are located in depleted fields, with lower pressures due to ongoing production from those fields.
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BSEE also has not made the requested change from “dual bore riser” to “dual casing” since “dual bore riser” is an established and well-understood industry term.
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Commenters also pointed out that, in a catastrophic well-control incident, the ability to charge or recharge the hydraulic closing unit may be lost. In addition, commenters also raised concerns regarding the timing and costs related to the proposed requirement, stating that compliance within 3 months would not be achievable for rigs that do not already have hydraulically operated locks and the necessary control systems. Commenters stated that, depending on the timing of the requirement, manufacturing, delivery, and installation of this equipment could lead to downtime for drilling rigs with surface BOPs. Commenters stated further that OEMs would not have the inventory on shelves to fulfill orders within 90 days.
Some commenters suggested an effective date 3 years after publication of the final rule, while others suggested that 5 years would provide enough time to design and manufacture any new components, procure and install, and obtain testing and verification by a BAVO. One commenter suggested that, if BSEE extends the compliance date, it could require an annual status report to BSEE until rigs are in compliance.
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As described in the proposed rule, this section combines and revises provisions of former sections that established requirements for subsea BOP systems. Paragraph (a) requires dual shear rams and specifies the shearing requirements as well as requirements for the BOP control system, subsea accumulator capacity, ROV intervention capabilities, personnel training, and certain BOP equipment and capabilities. Paragraph (b) establishes procedural and testing requirements for resuming operations after operations are suspended to make repairs to the subsea BOP system. Paragraph (c) sets out APD requirements related to drilling a new well with a subsea BOP. BSEE has revised certain provisions in proposed § 250.734 in the final rule as discussed in the comment responses for this section and in parts V.B.2, V.B.5, and V.C of this document.
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However, BSEE is not requiring a risk assessment by the operator as the method for determining the order of the minimum requirements for one blind shear ram and one shear ram. If multiple redundant shearing rams are included, BSEE recommends a risk assessment, but one is not required. If there are unique circumstances that indicate that some configuration other than those specified in this paragraph may be warranted, operators would be able to apply for the use of alternative procedures or equipment under existing § 250.141.
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Commenters also expressed concerns about the proposed timeframe (3 months from publication of the final rule) for complying with the new accumulator requirements, given design and engineering issues and potential problems with acquiring and installing sufficient accumulator bottles and related equipment. Most of those commenters stated that 5 years would be an appropriate timeframe for overcoming those problems.
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Similarly, BSEE does not agree that the other suggested changes to paragraph (a)(11)(ii) are appropriate because such changes could unnecessarily limit the scope of the required personnel knowledge. BSEE does not expect that the “comprehensive knowledge” required by § 250.734(a)(11)(ii) would necessarily include knowledge of BOP hardware and control systems that are so far outside the scope of an individual's current or potential responsibilities that there is no reasonable possibility that the individual would ever be called on to operate such equipment; however, BSEE believes it is important that all personnel operating critical BOP equipment understand how their specific responsibilities fit within the BOP system as a whole. Overly narrow understanding of the whole system, including hardware and controls, could result in personnel not understanding the importance of their own duties to the success of the system in preventing a blowout.
BSEE also does not agree that the compliance timeframe for this paragraph should be changed. Commenters provided no factual basis for such a change. In addition, BSEE expects BOP operating personnel to be familiar with their responsibilities and to be trained in accordance with the applicable requirements of 30 CFR part 250, subparts O and S (
BSEE also does not agree with the suggestion that the responsibility for compliance with § 250.734(a)(11) should be transferred from the facility operator to some “equipment owner” who may not be familiar with the specific circumstances under which the BOP equipment will be used.
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Another commenter emphasized that, because the upper annular is traditionally the working annular, the bleed valves are typically installed below the upper annular. Other commenters asserted that adding another set of gas bleed valves under the lower annular would require additional pilot lines and valves per pod, and that spare pilot lines and valves are limited and may be needed for higher priority pipe ram or shear ram functions. This commenter requested that BSEE clarify the technical reason for adding a set of gas bleed valves under the lower annular in this situation.
Commenters also requested additional time to install the gas bleed line and valves. Commenters asserted that the lead times for engineering, component procurement and installation of an additional valve for gas relief under the lower annular would preclude compliance with the rule within 90 days.
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Commenters also asked why, if the pipe does not need to be centralized to shear it, require centralization of the pipe? Commenters noted that not all OEMs require a mechanism for centering tubulars, and that centralization can be achieved via the geometry of the blade design.
A commenter suggested that the proposed text steers technology development in a specific direction which may inhibit development of other technologies. On the other hand, another commenter stated that BSEE explicitly notes that this requirement is designed to encourage further technological development, driving safety improvements beyond current industry practice.
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Commenters also asserted that the operator should have primary responsibility for certifying the required documentation, and that the BAVO should support such certification by verifying the information provided by the operator. Other commenters recommended changing the requirement to use a BAVO to a requirement to use an “independent third-party.”
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In addition, as previously discussed, this and the other BAVO-related provisions do not eliminate or transfer the operator's regulatory responsibilities to the BAVO; the operator is responsible for ensuring compliance with § 250.734(b). As explained earlier in this document, BSEE has decided that it is necessary that BSEE review and determine the qualifications of organizations that will perform this verification function.
Some commenters agreed, however, that if any part of the deadman or ROV systems is dismantled, repaired, or affected as part of the BOP repair, then it would be prudent to verify functionality of these systems upon re-latching. Commenters recommended that BSEE revise this section to change re-testing of the deadman and ROV intervention functions to re-testing of any functions affected during the repair.
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In addition, the commenters' concern about the possibility that re-testing would increase the probability of a dynamically-positioned rig going off-station is minimized by the fact (as discussed later in this document with regard to proposed § 250.737(d)(13)) that many rigs already have updated BOP control systems that allow power to other systems, including dynamic positioning systems, to remain on during deadman testing.
As provided for in the proposed rule, this section combines and revises provisions from several sections of the existing regulations and consolidates system and equipment requirements applicable to all BOPs. Those requirements cover accumulator systems, control station locations, choke and kill line installation, and remotely-operated locking devices for sealing rams on surface BOPs (except pipe or variable bore rams that already have non-hydraulically operated locks). BSEE has revised certain provisions of proposed § 250.735 in the final rule as discussed in the comment responses for this section and in parts V.B.2 and V.C of this document.
Several commenters asserted that the proposed requirements would increase the number of accumulator bottles needed, would require upgraded accumulator system controls, and would significantly increase costs. Also, the commenters asserted that the extra weight from additional bottles, given limited deck space availability, could cause structural issues with the rig. Further, the commenters asserted that this additional equipment would require additional maintenance and potentially render the systems less reliable. For certain older rigs, the commenters stated that the additional requirements could force the removal of the rigs from service.
For such reasons, multiple commenters recommended deleting the proposed 1.5 times volume capacity requirement and requiring instead that surface accumulator sizing meet the specifications of API Standard 53 or API Spec. 16D (since the methods discussed in API Spec. 16D are also included in API Standard 53).
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For the same reasons, BSEE has also removed the phrases “with the blind shear ram being the last in the sequence” and “enough pressure to shear pipe and seal the well with . . .” from final § 250.735(a). Removing these phrases will eliminate the impression
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Commenters also claimed that, if the proposed requirement for an automatic power source is intended to require a second complete pumping unit, the time needed to procure and install such equipment would preclude compliance within the proposed 90 days. Other commenters recommended that BSEE delete paragraph (b) altogether and instead simply reference API Standard 53 and API Spec. 16D.
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For surface BOPs, however, other locking devices can achieve the same purpose as hydraulic locks with no incremental loss of personnel safety or environmental protection. As suggested by one of the commenters, other types of remotely-controlled locks could also ensure that sealing rams can be locked without exposing rig personnel to unnecessary risk. BSEE has determined that any remotely-controlled lock (whether or not hydraulically operated) is appropriate for blind shear rams on surface BOPs. This requirement will help prevent potential blowouts and reduce the risk of personnel having to be in or near a potentially hazardous area during an emergency event by making it unnecessary for them to manually operate manual locks.
By contrast, pipe rams and VBRs on surface BOPs can be safely and effectively locked manually, as they have been under former § 250.443(f), or remotely. BSEE is not aware of any well-control incident that was directly related to failure of a surface BOP manual lock; nor is BSEE aware of any personnel safety incident resulting from operation of a manual lock on pipe rams or VBRs. Thus, given the past effectiveness of manual locks, BSEE has determined that it is not necessary at this time to require hydraulic or other remotely-controlled locks on surface BOP pipe rams/VBRs.
Accordingly, BSEE has revised final § 250.735(g) to distinguish between surface and subsea BOPs, and to provide operators with more flexibility in their choice of locking mechanisms for sealing rams on surface BOPs. Specifically, the final rule will require hydraulic locks for all subsea BOP sealing rams, remotely-operated locks for surface BOP blind shear rams, and
In addition, BSEE understands that the requirement to install remotely-controlled locks (whether or not hydraulically operated) on surface BOP blind shear rams would take significantly more time than 90 days from publication of the final rule, due to the need to procure enough of the necessary equipment as well as to practical and logistical problems with installation. For example, as implied by the commenters, installation of hydraulic locks on BOP surface stacks that do not have hydraulic rams would take substantially more time because hydraulic systems to control the locks in those cases will also need to be added to the BOP stack. BSEE also agrees that failure to install hydraulic or other remotely-controlled locks by the proposed compliance date could result in significant rig downtime. Accordingly, BSEE has determined that 3 years after publication of the final rule is an appropriate timeframe for acquiring and installing all of the necessary systems and equipment to meet the requirement for surface BOP blind shear rams, and has revised the compliance date in final § 250.735(g)(2) accordingly.
As provided for in the proposed rule, this section reflects a combination of provisions from several sections of the existing regulations that established technical requirements for choke manifolds, kelly valves, inside BOPs, and drill string safety valves. This final rule makes several revisions to the former requirements with respect to choke manifolds and kelly-type valves. BSEE has revised certain provisions of proposed § 250.736 in the final rule as discussed in the comment responses for this section and in part V.C of this document.
Another commenter asked whether it was BSEE's intent, in proposed § 250.736(b), that all choke manifold components, including valves downstream of the chokes, be rated for the full working pressure of the BOP stack.
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As provided for in the proposed rule, this section combines and revises various BOP testing requirements from the existing regulations. Paragraph (a) reorganizes and consolidates the pressure testing frequency requirements for drilling, workovers, completions, and decommissioning. Paragraph (b) requires certain pressure test procedures while paragraph (c) clarifies the duration of the pressure tests. Paragraph (d) further clarifies testing procedures for various situations and equipment (
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• Response BSEE has not made any changes to § 250.737(b)(3). That provision allows the operator to choose between 70 percent of the RWP or 500 psi greater than the calculated MASP for its high pressure test. The operator is free to use the lesser of those pressures if it so chooses, and no changes to the regulatory language are required to allow that. In addition, the hydrostatic pressure is already accounted for in the subsea BOP test, because it is added to the applied surface pressure to equal the MASP at the mudline.
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In addition, BSEE has revised final § 250.737(d)(5)(ii) by replacing the phrase “any additional control stations must be function tested every 14 days” with “remote panels where all BOP functions are not included (
These changes to final § 250.737(d)(5)(i)(C) and (d)(5)(ii) also improve consistency with API Standard 53 and help reduce any potential confusion related to testing of the pods and control stations. BSEE requires pod and control station testing, to ensure proper use of the safety equipment and to reduce the risk of non-functioning equipment, because all control stations have the potential to become critical control mechanisms during well-control events.
BSEE does not agree that there is any need to define “function testing” in the rules. The term has been used in the existing regulations for many years and the industry is familiar with its meaning.
Commenters also noted that the requirement to pressure test annular type BOPs against the smallest pipe in use is a new requirement. Commenters recommended that BSEE require pressure testing of the annular-type BOPs against the largest and smallest drill pipe in use during the stump test; then, for subsea BOP pressure tests, pressure testing the annular BOPs against the smallest outside diameter drill pipe used in the hole section.
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BSEE does not agree, however, with the comment about adopting API Standard 53's testing timeframe or schedule. The final rule will require the initial on-bottom test to verify component operability on the well. This test provides assurance that the system was not damaged while running and latching the BOP on the well, and that it will operate under the conditions that it might confront in an emergency. These requirements are consistent with established longstanding practice, and operators do not need additional time to comply.
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As described in the proposed rule, this section combines and revises requirements from former §§ 250.451 and 250.517 for actions that must be taken when specific situations involving BOP systems arise (
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BSEE disagrees with the commenters' concerns about the term “[functions] properly” in § 250.738(d). BSEE requires two pods so they are not considered redundant equipment under § 250.738(o). BSEE needs to ensure that the pods can operate the required components of the BOP stack in an emergency situation. Therefore no changes are necessary to this paragraph. If there are any concerns about a specific operational limit of your pod functionality, contact the appropriate District Manager for guidance.
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BSEE also agrees with the commenters' concern about testing the ram bonnets and has revised paragraph (f) by replacing “ram bonnets” with “affected connections.” BSEE recognizes that testing the ram bonnets does not properly address the necessary testing to ensure BOP system integrity. Testing the affected connections is a better indicator of proper ram installation that shows system pressure integrity.
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As provided for in the proposed rule, this section combines and revises requirements from several sections of the existing regulations regarding maintenance and inspection of BOPs. This section now requires BOP maintenance and inspection procedures to meet or exceed OEM recommendations, recognized engineering practices, and industry standards incorporated by reference into the regulations. It also establishes procedures for a complete breakdown and inspection of the BOP and associated components every 5 years, which can be done in phased intervals (a change from the proposed rule), and requires that the inspection be documented and that a BAVO be present during the inspection. In addition, the final rule requires frequent visual inspections of all BOPs, and that personnel who maintain, inspect, or repair BOPs or other critical components meet certain training criteria. BSEE has revised proposed § 250.739 in the final rule as discussed in the comment responses for this section and in part V.C of this document.
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As provided for in the proposed rule, this section incorporates and clarifies recordkeeping requirements from former § 250.466 applicable to all operations covered under final subpart G. This section requires that well records, including a daily report for each well, must be kept onsite during well operations. Well records must include, among other things, complete information on: Well operations, all tests conducted, and RTM data; oil, gas and mineral deposits encountered; casings; and significant malfunctions or problems. BSEE has revised proposed § 250.740 in the final rule as discussed in the comment responses for this section and in part V.C of this document.
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BSEE also disagrees with the suggestion that paragraph (a) be limited to “well data” (presumably because the commenter believed that the revision would eliminate the need to retain records onshore related to “remote” RTM). Section 250.724 requires that RTM data be gathered offshore to be transmitted to an onshore location. BSEE may need to review the RTM data at the onshore location if there is an incident. Similarly, BSEE may need to review the retained RTM data onshore after an incident, in order to verify conditions at the time of the incident and to assist in an incident investigation. If the commenter's suggested revision was intended to limit the data BSEE can review onshore, then BSEE rejects that suggestion.
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As provided for in the proposed rule, this section incorporates the same requirements as former § 250.467 regarding how long records related to drilling, casing and liner pressure tests, diverter and BOP tests, and completion and workover activities must be kept. This section also requires that records related to RTM data must be kept for 2 years after completion of operations. There are no changes to this proposed section in the final rule.
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This section contains requirements from former § 250.468 regarding submission to BSEE of records related to well-logging operations, certain well surveys, velocity profiles, and core analyses. The remainder of the requirements from former § 250.468, regarding well activity reporting, are included in final § 250.743. BSEE received no substantive comments on this provision of the proposed rule and made no changes to the proposed language.
As provided for in the proposed rule, this section includes requirements from former § 250.468(b) and (c) regarding submission of WARs for drilling operations in the GOM and Pacific or Alaska regions, respectively. It also codifies reporting procedures contained in BSEE NTL 2009-G20,
BSEE will rescind any NTLs that are superseded by this section in the final rule. BSEE received no substantive comments on this provision of the
As described in the proposed rule, this section combines provisions from several sections of the existing regulations, codifies certain procedures from NTL 2009-G21,
As provided for in the proposed rule, this section incorporates the requirements of former § 250.469 regarding well records that a District Manager or Regional Supervisor may require an operator to submit. BSEE received no substantive comments on this provision of the proposed rule and has made no changes to the proposed language.
As described in the proposed rule, this section combines and clarifies requirements from several sections of the existing regulations regarding recordkeeping for testing of casings, liners and BOPs and for BOP and marine riser inspections. It also specifies information that must be included in the daily report. BSEE has made certain revisions to proposed § 250.746 in the final rule as discussed in the comment responses for this section and in part V.C of this document.
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BSEE also agrees with the comment that it is not necessary, and in some cases may be imprudent, to suspend operations for “any problems” and revised § 250.746(e) to state that “[i]f any problems that cannot be resolved promptly are observed during testing. . .” you must suspend operations. This change will limit the amount of shut-ins that might have occurred under the proposed language even though the problem could have been resolved before posing any significant risk. The problem should be evaluated first, and then, if it is determined that repairs or other resolution are necessary and cannot be completed promptly, operations must be suspended.
BSEE has also deleted the phrase “are considered problems or irregularities and” from final § 250.746(e) because not all leaks are considered problems and some leaks may not affect BOP system operability.
BSEE is not specifically defining what a BOP “control system” consists of, however, BSEE does not want to limit an operator that may have elements in its control system that are not typically found in other BOP control systems. In general, however, BSEE expects that most BOP control systems will be consistent with API Standard 53's description of that term.
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As provided for in the proposed rule, this section updates the references for the drilling crew requirements under final § 250.711. BSEE received no substantive comments on this provision of the proposed rule and has made no changes to the proposed language in the final rule.
As provided for in the proposed rule, paragraph (b) of existing § 250.1703 includes a new requirement that all permanent packers and bridge plugs must comply with API Spec. 11D1. It also requires that decommissioning operations must follow all applicable requirements in new Subpart G. BSEE has revised paragraph (b) in the final rule as discussed in the comment responses for this section and in part V.C of this document.
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As provided for in the proposed rule, paragraph (g) of existing § 250.1704 is revised by removing current paragraphs (g)(2), (4), and (6) and the associated instructions in the third column, as well as by revising the numbering of current paragraphs (g)(3) and (5) to paragraphs (g)(2) and (3), respectively, and by updating the applicable citations. Also paragraph (h) clarifies when operators must submit an EOR rather than an APM. BSEE received no substantive comments on this provision of the proposed rule and made no changes to the proposed language in the final rule.
As provided for in the proposed rule, this section is removed and reserved. The content of this former section is moved to final §§ 250.731 and 250.732. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
This section of the existing regulation was titled “What are the requirements for blowout prevention equipment?” As provided for in the proposed rule, this section is re-titled and moves paragraphs (a) through (e) of the former section to final §§ 250.730, 250.733, 250.734, and 250.735. Remaining paragraphs (f) through (h) of the existing regulation are redesignated as paragraphs (a) through (c). BSEE received no substantive comments on this provision of the proposed rule and made no changes to the proposed language in the final rule.
This section is removed and reserved. As described in the proposed rule, the content of this former section is moved to final §§ 250.711, 250.736, 250.737, and 250.746. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
This section is removed and reserved. As provided for in the proposed rule, the content of this former section is moved to final § 250.739. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
This section is removed and reserved. As provided for in the proposed rule, the content of this former section is moved to final § 250.720. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
As provided for in the proposed rule, BSEE proposed to revise paragraph (a)(3)(iii)(B) of existing § 250.1715 to require that “casing” bridge plugs must be set 50 to 100 feet above the top of the perforated interval. After consideration of comments on the proposed rule, BSEE has made no changes to the proposed language in the final rule.
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This section is removed and reserved. The content of this former section is moved to final § 250.744. BSEE received no comments on the proposed removal and reservation of this section and the final rule implements that action.
As provided for in the proposed rule, paragraph (g) is removed from existing § 250.1721 and former paragraph (h) is redesignated as paragraph (g). The content of former paragraph (g)—regarding submission of an APM within 30 days after temporarily plugging a well—has been moved to final § 250.744. BSEE received no substantive comments on this provision of the proposed rule and made no changes to the proposed language in the final rule.
The following tables are intended to provide information about the derivation of new requirements in subparts A, B, D, E, F, G, P, and Q of part 250. These tables illustrate:
These tables do not provide definitive or exhaustive guidance, and should be used as reference material and in conjunction with the section-by-section discussion and regulatory text of this rule.
The following sections in 30 CFR part 250, subparts D, E, F, and Q have been [Removed and/or Reserved] according to the following table.
The rule makes changes as outlined in the following table:
E.O. 12866 provides that the Office of Information and Regulatory Affairs in the Office of Management and Budget (OMB) will review all significant rules. To determine if this rulemaking is a significant rule, BSEE prepared an economic analysis to assess the anticipated costs and potential benefits of the rulemaking.
Changes to Federal regulations must undergo several types of economic analyses. First, E.O. 12866 and E.O. 13563 direct agencies to assess the costs and benefits of regulatory alternatives and, if regulation is necessary, to select a regulatory approach that maximizes net benefits (including potential economic, environmental, public health, and safety effects; distributive impacts; and equity). Under E.O. 12866, an agency must determine whether a regulatory action is significant and, therefore, subject to the requirements of E.O. 12866, including review by OMB. Section 3(f) of E.O. 12866 defines a “significant regulatory action” as any regulatory action that is likely to result in a rule that:
—Has an annual effect on the economy of $100 million or more, or adversely affects in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or state, local, or tribal governments or communities (also referred to as “economically significant”);
—Creates serious inconsistency or otherwise interferes with an action taken or planned by another agency;
—Materially alters the budgetary impacts of entitlement grants, user fees, loan programs, or the rights and obligations of recipients thereof; or
—Raises novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in E.O. 12866.
BSEE determined that this rule is a significant rulemaking within the definition of E.O. 12866 because the estimated annual costs or benefits would exceed $100 million in at least one year of the 10-year analysis period. Accordingly, OMB has reviewed this regulation.
The following discussion summarizes the economic analysis; for details, please refer to the final RIA, which can be viewed at
BSEE identified a need to amend the existing BOP and well-control regulations to enhance the safety and environmental protection of offshore oil and gas operations on the OCS. This final rule creates 30 CFR part 250, subpart G—Well Operations and Equipment. This new subpart consolidates equipment and operational requirements that are contained in other subparts of part 250 pertaining to offshore oil and gas drilling, completions, workovers, and decommissioning. The rule also revises existing provisions throughout subparts D, E, F, and Q of part 250 to address concerns raised in the investigations, BSEE's internal reviews, the 2012 BSEE public forum and other input from stakeholders and the public. The rule addresses and implements multiple recommendations resulting from various investigations of the
BSEE has considered three regulatory alternatives:
(1) Promulgate the requirements contained in the proposed rule, including decreasing the BOP pressure testing frequency for workover and decommissioning operations from the current requirement of once every 7 days to once every 14 days;
(2) Promulgate the requirements contained within the proposed rule with a change to the required frequency of BOP pressure testing from the existing regulatory requirements (
(3) Take no regulatory action and continue to rely on existing BOP regulations in combination with permit conditions, DWOPs, operator prudence, and industry standards as applicable to BOP systems.
By taking no regulatory action, BSEE would leave unaddressed most of the concerns and recommendations that were raised regarding the safety of offshore oil and gas operations and the potential for another catastrophic event with consequences similar to those of
Alternative 2 (changing the required frequency of BOP pressure testing to once every 21 days for all operations) was not selected because BSEE lacks critical data on testing frequency and equipment reliability to choose this alternative.
BSEE has elected to move forward with Alternative 1—the final rule—which incorporates recommendations provided prior to the proposed rule by government, industry, academia, and other stakeholders. However, as discussed in detail earlier in this preamble, the final rule does include certain revisions based on BSEE consideration of recommendations contained in public comments on the proposed rule, including incorporation of relevant elements of API Standard 53 and related standards. In addition to addressing concerns and aligning with industry standards, BSEE is advancing several of the more critical well-control capabilities beyond current industry standards applicable to BOP systems based on agency knowledge, experience and technical expertise. The rule will also improve efficiency and consistency of the regulations and allow for flexibility in future rulemakings.
BSEE's initial economic analysis, for the proposed rule, and final economic analysis evaluated the expected impacts of the rule as compared to the baseline, which includes current industry practices in accordance with existing regulations, DWOPs, and industry standards with which operators already comply.
The final analysis covers 10 years (2016 through 2025) to ensure it encompasses the significant costs and benefits likely to result from the rule.
We sought to quantify and monetize the costs of the following provisions:
(a) Additional information in the description of well drilling design criteria;
(b) Additional information in the drilling prognosis;
(c) Prohibition of a liner as conductor casing;
(d) Additional capping stack testing requirements;
(e) Additional information in the APM for installed packers;
(f) Additional information in the APM for pulled and reinstalled packers;
(g) Rig movement reporting;
(h) Fitness requirements for MODUs;
(i) Foundation requirements for MODUs;
(j) RTM of well operations for rigs under certain circumstances (
(k) Additional documentation and verification requirements for BOP systems and system components;
(l) Additional information in the APD, APM, or other submittal for BOP systems and system components;
(m) Submission by the operator of an MIA Report completed by a BAVO;
(n) New surface BOP system requirements;
(o) New subsea BOP system requirements;
(p) New accumulator system requirements;
(q) Chart or digital recorders;
(r) Notification and procedures requirements for testing of surface BOP systems;
(s) Alternating BOP control station function testing;
(t) ROV intervention function testing;
(u) Autoshear, deadman, and EDS function testing on subsea BOPs;
(v) Approval for well-control equipment not covered in Subpart G;
(w) Breakdown and inspection of BOP systems and components;
(x) Additional recordkeeping for RTM data;
(y) Industry familiarization with the new rule; and
(z) BAVO application costs.
BSEE also quantified and monetized the potential benefits of the rule, including time savings, reductions in oil spills, and reductions in fatalities. We estimated the benefits derived from time savings associated with § 250.737 of the rule, which streamlines BOP testing for workover. We also estimated time-savings benefits associated with a change in the required frequency of BOP pressure testing under Alternative 1 and Alternative 2, both of which would reduce the number of required BOP pressure tests per year (by reducing test frequency to once every 14 days and 21 days, respectively). In addition, we estimated the benefits derived from the reduction in oil spills and fatalities using the incident-reducing potential of the rule as a whole.
BSEE received comments from the public on various aspects of the economic analysis of the proposed rule. Some commenters expressed concerns about costs that, to them, appeared to be underestimated or not included as impacts of the proposed rule. BSEE reviewed these comments and any new cost information provided by commenters. BSEE then either revised the analysis as appropriate to reflect this new information, or retained the original cost estimates and provided a justification for doing so. With regard to costs that some commenters thought were missing from the initial economic analysis, BSEE notes that many of these costs are actually for items that are included in the regulatory baseline, and thus are not impacts attributable to the rule. In addition, comments on costs were received in reference to some specific requirements in the proposed rule that have not been retained in the final rule. As a result, many of the comments regarding costs of the proposed rule (including but not limited to the potential costs associated with the proposed accumulator capacity requirements and the proposed mandatory 0.5 ppg safe drilling margin) are no longer applicable to the requirements of the final rule.
Another issue regarding the initial economic analysis for the proposed rule related to requirements on various topics that overlapped with each other. In these cases, a particular cost could be attributed to multiple topics. As a result, some comments identified certain costs as missing in the initial RIA, when, in fact, the initial RIA did account for those costs under a related topic to which the commenter may not have attributed the cost. In other cases, however, BSEE found comments on costs to be quite relevant, and made use of the information in those comments to revise the final economic analysis.
In response to comments expressing concern that the 10-year analysis period is too short, BSEE notes that the uncertainty associated with predicting industry activities, the advancement of technical capabilities, and oil price volatility makes it difficult to predict costs that would accrue to industry for a timeframe much longer than 10 years. BSEE also received comments suggesting that other aspects of the rule should be considered, such as the broader, indirect economic impacts that may occur as a result of the rule. BSEE considered and addressed these comments. More details on the public comments on the economic analysis, and BSEE's responses to the comments are in part VI.B.6 of this document.
According to the analytical findings, the time-savings benefits of the final rule result in benefits greater than the costs of the rule. In other words, based on available data, the rule will be cost-beneficial even when only the benefits resulting from time-savings are considered.
The final rule will result in benefits to society by reducing the probability of incidents involving oil spills. The provisions with the highest costs to industry (such as RTM requirements for well operations and alternating BOP control station function testing) would have the largest impact on reducing spills. Benefits of the rule will result from the avoided costs associated with oil spills related to personal injuries, natural resource damages, lost hydrocarbons, spill containment and cleanup, lost recreational opportunities, and impacts to commercial fishing.
To estimate the potential benefits of the rule associated with reducing the risk of oil spill incidents, we examined historical data from the BSEE oil spill database, which contains information for spills greater than 10 barrels of oil for the GOM and Pacific regions. Based upon an analysis of the BSEE oil spill database during the period 1988 to 2010, BSEE identified LWCs associated with oil spills greater than 10 barrels and used this data within the economic analysis.
We reviewed the causes of risk without the rule and how those causes of risk would be affected by the rule. In order not to overstate the potential risk reduction, we assumed a 1 percent risk reduction in the likelihood of all oil spills.
We then multiplied the annual reduction in spilled barrels of oil by the social and private costs of a spilled barrel of oil, which is estimated at $3,658 (in 2014 dollars) per barrel. This estimate was derived from the “Economic Analysis Methodology for the Five Year OCS Oil and Gas Leasing Program for 2012-2017” (hereafter referred to as the “BOEM Case Study”),
In addition to the time-savings and risk reduction benefits, the final rule has other benefits. Due to difficulties in measuring and monetizing these benefits, BSEE does not offer a quantitative assessment of them. BSEE has used a conservative approach (one that seeks to avoid over-estimating the benefits) in the valuation of an oil spill, including only selected costs of such a spill. For example, although the analysis captures the environmental damage associated with a spill, the analysis is limited because it considers only the environmental amenities that researchers could identify and monetize. Therefore, the resulting benefits of avoiding a spill should be considered as a lower bound estimate of the true benefit to society that results from decreasing the risk of oil spills.
Exhibit 1 displays the net benefits of the rule under the assumption that the reduction in the risk of incidents is 1 percent. Although BSEE believes the risk reduction of the rule to be at least 1 percent, and likely higher, there is uncertainty around the level of risk reduction the rule would actually achieve.
This section presents a sensitivity analysis of the potential benefits of the rule that could result from varying the following factors:
a. The level of risk reduction of oil spills achieved by the rule, and
b. The level of risk reduction of fatalities achieved by the rule
Exhibit 2 presents the total 10-year benefits and net benefits under a range of possible annual risk reduction levels for oil spills from 0 to 20 percent. The final rule is expected to have positive net benefits across the full range of risk reduction levels.
In addition to the time-savings and the prevention of oil spills benefits, the rule is anticipated to reduce fatalities among rig workers. The oil and gas extraction industry constitutes a relatively small percentage of the national workforce, but has a fatality rate that is higher than the rate for most industries.
The benefits of occupational risk reduction are usually measured using the
Exhibit 3 presents the resulting total 10-year fatality risk reduction benefit across a range of risk reduction values from 0 to 20 percent. The exhibit also presents the undiscounted and discounted 10-year total net benefits when fatality risk reduction is considered in addition to the benefits of the rule included in the analysis presented above (assuming a 1 percent risk reduction in the probability of incidents involving oil spills).
BSEE has concluded that, after considering all of the impacts of the final rule, the societal benefits justify the societal costs. In fact, as previously explained, BSEE estimates that, over the 10-year economic analysis period, the quantifiable benefits of the rule (
The benefits (and costs) of a regulation are based on the difference between the baseline (
Historically, BSEE has evaluated the reduction of risk based on a
BSEE, however, does not currently collect data that provides a comprehensive basis for a probabilistic risk model. In addition, BSEE is not aware of any current industry-wide efforts to collect data for such a purpose, although BSEE has requested that the Ocean Energy Safety Institute develop a database related to equipment reliability that might provide useful information for the future development of a probabilistic risk assessment.
The Regulatory Flexibility Act (RFA) (5 U.S.C. 601
BSEE identified a need to amend the existing Blowout Preventer (BOP) and well-control regulations to enhance the safety and environmental protection of oil and gas operations on the OCS. In particular, BSEE considers this rule necessary to reduce the likelihood of any oil or gas blowout, which can lead to the loss of life, serious injuries, and harm to the environment. As was evidenced by the
As an agency charged with oversight of offshore operations conducted on the OCS, BSEE seeks to improve safety and mitigate risks associated with such operations. After careful consideration of the various investigations conducted after the
Small entities, as defined by the RFA, consist of small businesses, small governmental jurisdictions, or other small organizations. This analysis focuses on impacts to small businesses (hereafter referred to as “small entities”) because we have not identified any impacts to small governmental jurisdictions or to other small organizations. A small entity is one that is independently owned and operated and which is not dominant in its field of operation.
The rule will affect operators and holders of Federal oil and gas leases, as well as right-of-way holders, on the OCS. This includes 99 businesses with active operations.
BSEE is using the estimated 99 businesses based on activity at the time this economic analysis was developed. The 99 businesses represent the best assessment of the total businesses operating in this arena at the time the economic analysis was developed. BSEE recognizes that this number is a dynamic number and can fluctuate;
BSEE has estimated the incremental costs for small operators, lease holders, and right-of-way holders in the offshore oil and natural gas industry. Costs already incurred as a result of current industry practice in accordance with existing regulations, DWOPs, and API industry standards with which operators already comply were not considered as costs of this rule because they are part of the baseline.
As described in section 5 below, BSEE considered three regulatory alternatives:
(1) Promulgate the requirements contained in the rule, including decreasing the BOP testing frequency for workover and decommissioning operations from the current requirement of once every 7 days to once every 14 days. The following chart identifies the BOP testing changes related to Alternative 1;
(2) Promulgate the requirements contained within the rule with a change to the required frequency of BOP pressure testing from the existing regulatory requirements (
(3) Take no regulatory action and continue to rely on existing BOP regulations in combination with permit conditions, DWOPs, operator prudence, and industry standards as applicable to BOP systems.
By taking no regulatory action (Alternative 3), BSEE would leave unaddressed most of the concerns and recommendations that were raised regarding the safety of offshore oil and gas operations and the potential for another well control event with consequences similar to those of the
Alternative 2 (changing the required frequency of BOP pressure testing to once every 21 days for all operations) was not selected because BSEE lacks critical data on testing frequency and equipment reliability to justify such a change at this time.
BSEE has elected to move forward with Alternative 1, the final rule, which incorporates recommendations provided by government, industry, academia, and other stakeholders prior to the proposed rule, as well as recommendations contained in public comments on the proposed rule. The final rule also incorporates elements of API Standard 53 and related standards. In addition to addressing concerns arising from the Deepwater Horizon incident and aligning with industry standards, the final rule advances several of the more critical well-control capabilities beyond current industry standards applicable to BOP systems based upon agency knowledge, experience and technical expertise. The final rule will also improve efficiency and consistency of the regulations and allow for flexibility in future rulemakings.
We have estimated the costs of the following provisions of the final rule:
(a) Additional information in the description of well drilling design criteria;
(b) Additional information in the drilling prognosis;
(c) Prohibition of a liner as conductor casing;
(d) Additional capping stack testing requirements;
(e) Additional information in the APM for installed packers;
(f) Additional information in the APM for pulled and reinstalled packers;
(g) Rig movement reporting;
(h) Fitness requirements for MODUs;
(i) Foundation requirements for MODUs;
(j) Monitoring of well operations with a subsea BOP;
(k) Additional documentation and verification requirements for BOP systems and system components;
(l) Additional information in the APD, APM, or other submittal for BOP systems and system components;
(m) Submission by the operator of an MIA Report completed by a BAVO;
(n) New surface BOP system requirements;
(o) New subsea BOP system requirements;
(p) New accumulator system requirements;
(q) Chart or digital recorders;
(r) Notification and procedures requirements for testing of surface BOP systems;
(s) Alternating BOP control station function testing;
(t) ROV intervention function testing;
(u) Autoshear, deadman, and EDS function testing on subsea BOPs;
(v) Approval for well-control equipment not covered in subpart G;
(w) Breakdown and inspection of BOP system and components;
(x) Additional RTM-related recordkeeping; and
(y) Industry familiarization with the new rule.
(z) BAVO application costs
These requirements and their associated costs to industry and government are discussed in the sections that follow. (Please note that the descriptions of the rule provisions presented in the RFA seek to mirror the language of the rule; however, only the final regulatory text is legally binding.)
As discussed in detail in the preamble to the final rule, § 250.413(g) requires information on safe drilling margins to be included in the description of the well drilling design criteria. Safe drilling margins are an important parameter in avoiding a fracturing of the formation or a compromise of the casing shoe integrity. Either of these factors could lead to erratic pressures and uncontrolled flows (
Section 250.414 requires industry to provide additional information in the drilling prognosis. New paragraph (j) requires the drilling prognosis to identify the type of wellhead system to be installed with a descriptive schematic, which should include pressure ratings, dimensions, valves, load shoulders, and locking mechanism, if applicable. This information will provide BSEE with data to reference during the approval process and will enable industry and BSEE to confirm that the wellhead system is adequate for the intended use.
The requirement to include additional information in the drilling prognosis will result in increased annual labor costs to industry. BSEE considers the additional information required for the drilling prognosis (submitted as part of the APD) to be readily available. We calculated the annual labor cost for this activity by multiplying the time required to gather and document the information by the average hourly compensation rate of the staff most likely to complete this task. We then multiplied the product of this calculation by the estimated number of wells drilled per year, resulting in an estimated annual labor cost to industry for this documentation requirement of about $7,200.
Former § 250.421(f) is being revised to no longer allow a liner to be installed as conductor casing. This will ensure that the drive pipe is not exposed to wellbore pressures during drilling in subsequent hole sections.
This provision will result in an annual equipment and labor cost to industry for wells that are currently allowed to use a liner as conductor casing. We multiplied the average cost of the casing joints and wellhead per well by the number of affected wells in order to calculate annual equipment installation costs. To calculate the associated annual labor costs, we multiplied the time required to install the equipment per well by the daily labor cost of rig crew time and by the number of wells on which the equipment must be installed. We then summed the equipment and labor costs to estimate the average annual equipment and labor cost to industry for this requirement of $795,000. No additional costs to BSEE are expected as a result of this requirement. This provision will result in an annual equipment and labor cost of about $8,000 per entity.
Section 250.462 addresses source control and containment requirements. New paragraph (e)(1) details requirements for testing of capping stacks. New requirements include the function testing of all critical components on a quarterly basis and the pressure testing of pressure containing critical components on a bi-annual basis. Under the former regulations, there is no testing requirement for capping stacks. These new requirements help ensure that operators are able to contain a subsea blowout.
These new testing requirements will result in new equipment and service costs to industry. We estimated the cost of testing for each capping stack, revised based on industry comments on the proposed rule and initial RIA, and multiplied this cost by the total number of anticipated tests to be performed. These calculations resulted in annual compliance costs to industry associated with these requirements of about $226,000, or $2,300 per entity.
In § 250.518, paragraphs (e) and (f) clarify requirements for installed packers and bridge plugs and require additional information in the APM, including descriptions and calculations for determining production packer setting depth. These new provisions codify existing BSEE policy to ensure consistent permitting. BSEE expects that operators already comply with the design specifications included in this section, because they are based on an established industry standard;
The requirement to include additional information in the APM will result in a labor cost to industry and BSEE. We based the industry labor cost associated with this new requirement on the time required to add the new descriptions and calculations to an APM and on the number of wells with installed packers for which an APM will be submitted per year. We based the new annual labor cost to BSEE on the time that BSEE will spend reviewing the new information in an APM and on the average hourly compensation rate of the BSEE staff most likely to complete this task. We estimated an average annual labor cost of about $5,800 to industry (or about $60 per entity) and an average annual labor cost of about $4,400 to BSEE.
In § 250.619, new paragraphs (e) and (f) clarify requirements for pulled and reinstalled packers and bridge plugs and require additional descriptions and calculations in the APM regarding production packer setting depth. These new requirements codify existing BSEE policy to ensure consistent permitting. BSEE expects that operators already comply with the design specifications included in this section, which incorporate an established industry standard (
Section 250.712 lists requirements for reporting movement of rig units to the BSEE District Manager. Revised paragraph (a) extends the rig movement reporting requirements to all rig units conducting operations covered under this subpart, including MODUs, platform rigs, snubbing units, and coiled tubing units. Paragraphs (c) and (e) are new and require notification if a MODU or platform rig is to be warm or cold stacked and when a drilling rig enters OCS waters. Paragraph (f) is revised to clarify that, if the anticipated date for initially moving on or off location changes by more than 24 hours, an updated Movement Notification Report will be required. Currently, movement reports are only required for drilling operations, but the rule requires operators to submit movement reports for other operations as well, including when rigs are stacked or enter OCS waters. These changes will allow BSEE to better anticipate upcoming operations, locate MODUs and platform rigs in case of emergency, and verify rig fitness. The requirement to notify BSEE of rig unit movement will result in annual labor costs to industry of about $4,000 (or about $40 per entity) and to BSEE of about $3,100.
Section 250.713(a) adds a requirement that operators provide fitness information for a MODU for well operations. Operators must provide information and data to demonstrate the drilling unit's capability to perform at the new drilling location. This information must include the maximum environmental and operational conditions that the unit is designed to withstand, including the minimum air gap (if relevant) that is necessary for both hurricane and non-hurricane seasons. If sufficient environmental information and data are not available at the time the APD or APM is submitted, the District Manager may approve the APD or APM but require operators to collect and report this information during operations. Under this circumstance, the District Manager may revoke the approval of the APD or APM if information collected during operations shows that the drilling unit is not capable of performing at the new location. These costs, in combination with the foundation requirements for MODUs, are discussed at the end of the next section.
Section 250.713(b) introduces foundation requirements for MODUs performing well operations. Operators must provide information to show that site-specific soil and oceanographic conditions are capable of supporting the rig unit.
This requirement will result in labor costs to industry and BSEE. To calculate the industry labor cost, we multiplied the time required to record and report the information by the average hourly compensation rate of the industry staff most likely to complete this task and by the number of APMs per year. To calculate the BSEE labor cost, we multiplied the time that BSEE will spend to review the information by the average hourly compensation rate of the BSEE staff most likely to complete this task and by the number of APMs per year. The new requirements under § 250.713 to notify BSEE of rig unit movement and foundation requirement for MODUs will result in labor costs to industry and BSEE, based on the labor required per report and the number of reports per year. We estimated these annual labor costs to be about $208,000 to industry (about $2,100 per entity) and about $158,000 to BSEE.
Section 250.724 is a new section that establishes requirements for:
(1) RTM of well operations on rigs that have a subsea BOP, floating facilities using surface BOPs, and rigs
(2) Storing RTM data onshore, and
(3) An RTM plan addressing RTM capabilities and procedures.
In order to comply with this section, industry will incur annual equipment and labor costs associated with gathering, recording, transmitting, and storing data (as well as minimal one-time labor costs to develop RTM plan).
Section 250.730 lists general requirements for BOP systems and system components and adds new documentation and verification requirements.
Section 250.731(c) requires verification by a BAVO of specified aspects of equipment design, equipment tests, shear tests, and pressure integrity tests; all certification documentation must be made available to BSEE. The requirements laid out in § 250.731(c) regarding certification for BOP systems and system components will result in new equipment and service costs to industry. We estimated a one-time cost to industry for equipment and service and multiplied the cost by the number of wells that will incur this new cost. This calculation resulted in one-time equipment and service costs for this certification requirement of $12.8 million to industry.
Section 250.732(c) requires a comprehensive review by a BAVO of BOP and related equipment for use in high temperature and high pressure conditions. The requirements in new § 250.732(c) surrounding a review of BOP systems and system components in HPHT conditions will result in new annual costs to industry. To calculate the costs associated with the required verifications of BOP systems and components by BSEE-approved verification organizations, we estimated the annual cost for performing the verification and multiplied the annual cost by the number of wells that will incur this new cost. This calculation resulted in annual equipment and labor costs for this verification requirement of $500,000 to industry.
In total, all of the annual equipment and labor costs associated with these new documentation and certification requirements are estimated to be $18,005 per entity.
Section 250.731 lists the descriptions of BOP systems and system components that must be included in the applicable APD, APM, or other submittal for a well. Revised paragraph (a) requires the submittal to include descriptions of the rated capacities for the fluid-gas separator system, control fluid volumes, control system pressure to achieve a seal of each ram BOP, number of accumulator bottles and bottle banks, and control fluid volume calculations for the accumulator system.
New paragraph (e) requires a listing of the functions with sequences and timing of autoshear, deadman, and EDS for subsea BOPs. Paragraph (b) adds schematic drawing requirements, including labeling for the control system alarms and set points, control stations, and riser cross section. For subsea BOPs, surface BOPs on floating facilities, and BOPs operating under HPHT conditions, new paragraph (f) requires submission of a certification that an MIA Report has been submitted within the past 12 months. New paragraphs (c) and (d) include a change in required certifications; the paragraphs require submission of certification from a BAVO (rather than a “qualified third-party”)
(1) Test data demonstrate that the shear ram(s) will shear the drill pipe at the water depth, and
(2) The BOP has been designed, tested, and maintained to perform under the maximum environmental and operational conditions anticipated to occur at the well, and
(3) That the accumulator systems have sufficient fluid to function the BOP system without assistance from the charging system.
The requirements to provide additional documentation about the BOP system and system components in the APD, APM, or other submittal will result in labor costs to industry and BSEE. To calculate the industry labor cost associated with these new requirements, we multiplied the estimated time it will take to document the required information in an APD, APM, or other submittal by the average hourly compensation rate of the industry staff most likely to complete this task. We then multiplied the product by the estimated number of wells drilled per year.
Likewise, to calculate the new annual labor cost to BSEE, we multiplied the time that BSEE will spend to process each submittal by the average hourly compensation rate of the BSEE staff most likely to complete this task and by the estimated number of wells drilled per year. These calculations resulted in average annual labor costs for this documentation requirement of about $29,000 (about $300 per entity) to industry and about $22,000 to BSEE.
Sections 250.732(d) and (e) include new requirements on the submission of an MIA Report on the BOP stack and systems. New paragraph (d) outlines the requirements for this report, which must be completed by a BAVO and submitted by the operator for operations that require the use of a subsea BOP, a surface BOP on a floating facility, or a BOP that is being used in HPHT operations. We calculate this annual cost by multiplying the time required to complete the task by the number of submittals per year and by the hourly compensation rate of the industry staff most likely to complete the task. These calculations result in an annual labor cost to industry of about $80,000.
Section 250.731(f) requires a certification stating that this report was submitted to BSEE prior to beginning any operations (to include maintenance and repairs) involving these BOPs. The BAVO report will enhance BSEE's review and permitting process and ensure that BSEE is aware of repairs or other changes to the operating BOPs.
These reporting requirements will result in new capital costs to industry and new labor costs to industry associated with the submission and review of reports. To calculate the capital costs to industry of submitting MIA reports, we multiplied the annual capital cost of submitting the report by the estimated number of wells that will be affected. This calculation resulted in annual capital costs for reporting of $4.8 million to industry. To calculate the industry labor cost, we multiplied the time required to submit a report by the average hourly compensation rate of the industry staff most likely to complete this task and then multiplied this cost by the number of additional reports expected per year. These calculations result in average annual labor costs of about $45,000 to industry and about $11,000 to BSEE. Overall, all of the requirements under this section result in an annual cost per entity of about $50,000.
Section 250.735 includes new requirements for surface BOP stacks. Specifically, new § 250.735(g)(2)(i) requires that remotely-operated locking devices be installed on blind shear rams on surface BOPs. BSEE recognizes that the equipment and labor costs associated with this new requirement will be case-specific (since every BOP stack is unique). In any case, BSEE estimates that this new requirement will create a new one-time equipment cost to industry for the installation of remotely-operated locks. Operators may choose, although they are not required, to use hydraulically operated locks to comply with this requirement. Because we cannot predict how many operators will use hydraulic locks, rather than alternative (and typically less costly) locking devices, we have continued to estimate the cost of this provision based on the cost for installing hydraulic locks, even though that may result in an overestimation of actual costs. We estimate this cost by multiplying the cost per equipment part by the number of rigs with surface BOPs. This results in a one-time cost to industry of $2.50 million, or about $2,500 per entity per year (over a 10-year period).
Section 250.734 includes new requirements for subsea BOP systems, based on recommendations from the Deepwater Horizon incident investigations. Revised paragraph (a) requires that BOPs be equipped with dual shear rams and outlines the requirements for the shear rams.
BSEE recognizes that the equipment costs associated with these new subsea BOP system requirements will be case-specific. For example, the costs will depend on the age of the rig and BOP system, the BOP system type, and the size of the rig, among other factors. In order to estimate the cost to industry associated with these new shear ram requirements, we multiplied the estimated cost of compliance per rig by the estimated number of affected rigs. Since API Standard 53 covers the requirements under paragraph (a) for all rigs with the exception of moored rigs, the costs of these requirements, except the costs associated with moored rigs, are included in the baseline. We multiplied the cost of compliance for a moored rig by the number of moored rigs in order to calculate the one-time equipment costs of $50 million for this requirement.
Section 250.735(a) lists new requirements for the accumulator system of a BOP. The accumulator system must operate all BOP functions against MASP with at least 200 pounds per square inch remaining on the bottles
The requirement that the accumulator system operate all functions for all BOP systems will result in a total one-time cost to industry of about $2.4 million, or about $2,500 per entity per year over 10 years.
Section 250.737(c), which addresses BOP testing requirements, will introduce a requirement that each test must hold the required pressure for five minutes while using a four-hour chart. This chart will contain sufficient detail to show if a leak occurred during the test.
This testing requirement will result in a one-time equipment and labor cost to industry for those operators that do not already have the required equipment. Some operators will have to purchase the equipment (a chart recorder or digital recorder) to be able to comply with the testing requirement. To calculate the equipment cost, we multiplied the estimated cost of equipment per rig by the estimated total number of rigs that may need it. To calculate the one-time labor cost to industry, we multiplied the time required per rig to install the chart recorder by the average hourly compensation rate of the industry staff most likely to complete this task and by the total number of rigs. This calculation resulted in a one-time cost to industry of about $90,000, or about $90 per entity per year over 10 years.
Section 250.737(d)(2) expands notification and procedural requirements regarding the use of water to test a surface BOP system on the initial test. These expanded notification and procedural requirements will result in increased annual costs to industry of about $5,400 (about $50 per entity) and to BSEE of about $4,100.
Section 250.737(d)(5) expands the requirements for function testing BOP control stations. It requires that the operator designate the BOP control stations as primary and secondary and alternate function testing of each station weekly. This testing requirement will result in increased operating costs to industry. To calculate the annual operations costs associated with this requirement, we multiplied the time required to conduct the testing per rig by the daily rig operating cost and by the estimated number of rigs affected per year. Because subsea and surface BOPs have different daily rig operating costs, we performed separate calculations for the costs for subsea and surface BOP rigs. We estimated an increased annual operating cost to industry associated with this provision of $25 million, or an annual operations cost of about $250,000 per entity.
Section 250.737(d)(4) establishes requirements for testing ROV intervention functions to include testing and verifying the closure of the selected ram(s) on a subsea BOP. This testing requirement will result in an annual operations cost to industry of about $417,000, or about $4,200 per entity.
Section 250.737(d)(12) expands the requirements for function testing of autoshear, deadman, and EDSs on subsea BOPs. It requires the test procedures submitted for the BSEE District Manager's approval to include schematics of the actual controls and circuitry of the system, the approved schematics of the BOP control system, and a description of how the ROV is used during the operation. It also outlines the requirements for the deadman system test, including a requirement that the testing must indicate the discharge pressure of the subsea accumulator system throughout the test. It requires that the blind shear rams be tested to verify closure. The operator must document the plan to verify closure of the casing shear ram(s), if installed, as well as all test results.
These documentation and testing requirements will result in a one-time equipment cost and increased annual operating costs to industry. The industry will incur a one-time equipment cost to purchase a sensing device to detect the discharge pressure during deadman system testing. We multiplied the average cost per rig of the sensing device by the estimated number of subsea BOP rigs required to comply. We assumed installation costs to be negligible because the sensing device will be installed as part of routine servicing. In order to calculate the annual operations cost, we multiplied the estimated time per subsea BOP rig required to comply with the documentation and testing requirements by the daily operating cost for a subsea BOP rig and by the estimated number of subsea BOP rigs affected per year. These calculations resulted in a one-time equipment cost to industry of $100,000 and an average annual increased operating cost to industry of $5 million, or an annual cost of about $51,000 per entity.
Section 250.738 describes the required actions for specified situations involving BOP equipment or systems. Paragraphs (b), (i), and (o) include requirements for reports from BAVOs. Reports previously required to be prepared by a “qualified third-party” under these sections will be required to be prepared by a BAVO. Paragraph (m) includes a similar change and introduces a requirement that an operator request approval from the BSEE District Manager if the operator plans to use well-control equipment not covered in Subpart G. The operator must submit a report from a BAVO, as well as any other information required by the District Manager. This new approval request requirement will result in annual labor costs to industry and BSEE of about $13,000 and about $10,000, respectively, and annual costs per entity of about $100.
Section 250.739(b) introduces a requirement for a complete breakdown and inspection of the BOP and every associated component every 5 years, which may be performed in phased intervals. During this complete breakdown and inspection, a BAVO must document the inspection and any problems encountered. This BAVO report must be available to BSEE upon request. This additional requirement is necessary to ensure that the components on the BOP stack will be regularly inspected. In the past, BSEE has, in some cases, seen components of BOP stacks go more than 10 years without this type of inspection.
This inspection and documentation requirement will result in cost to industry associated with generating reports by BAVOs. To calculate this report cost, we multiplied the estimated report cost per rig by the number of reports completed per rig annually and by the estimated number of rigs in operation per year. Because subsea and surface BOPs differ in structure, they incur different costs to break down and inspect. In order to reflect these differences, we performed separate calculations of the costs for subsea and surface BOP rigs. Assuming staggered inspections, we estimated that, in each year, an average of eight subsea BOP rigs would undergo inspections, thereby enabling all 40 subsea BOP rigs to undergo such inspections over a five-year period. Similarly, we estimated that 10, of a total of 50, surface BOP rigs would undergo inspections each year. This resulted in annual costs to industry of $4.3 million, or about $43,000 per entity.
The proposed rule contained a requirement that operators breakdown the entire BOP system every five years for recertification, without the option to phase or stagger recertification. BSEE received comments that this requirement would cause rigs to be out of service for extended periods of time, at substantial opportunity costs to industry. BSEE revised the requirement in the final rule to allow for staggered inspections over the course of five years. This change eliminates the need for rigs to be brought out of service for extended periods of time.
Sections 250.740(a) and 250.741(b) introduce requirements for additional recordkeeping of RTM data for well operations. These additional requirements will create an annual labor cost of about $1,500 to industry, or about $15 per entity.
When the new regulation takes effect, operators will need to read and interpret the rule. Through this review, operators will familiarize themselves with the structure of the new rule and identify any new provisions relevant to their operations. Operators will evaluate whether any new action must be taken to achieve compliance with the rule. Reviewing the new regulations will require staff time, representing a one-time labor cost of about $20,000 or annual cost of $20 per entity.
Qualified third-parties currently perform verifications under BSEE's existing regulations and current industry practice that are similar to the certifications and verifications that a BAVO will be required to perform under § 250.732(a) of the final rule. BSEE expects that many of these existing third-party organizations will become BAVOs. To become a BAVO, organizations will need to apply to BSEE and have their applications approved by BSEE. Those that are approved as BAVOs will then be placed on a list for operators to use in finding a BAVO that will enable the operators to obtain the required certifications and verifications.
We estimated the number of BAVO applications to be 15 in the first year (2016), three in the second year (2017), and two per year for each of the remaining eight years (2018 to 2025). We further estimated that organizations would require, on average, about 100 hours of a mid-level engineer's time to complete and submit each application. We also estimated that BSEE would require, on average, about 40 hours of a mid-level engineer's time to review and process each application, except during the first year in which BSEE would require 80 hours per application (since BSEE will need additional time in the first year to develop and begin implementing the approval process). These estimates result in average annual costs to industry of about $30,000 per year (about $300 per entity) and to BSEE of about $13,000 per year, for a total average annual cost of $44,000.
To estimate the cost burden for small entities, BSEE scaled the per-entity costs
Exhibit 2 displays estimates of costs to small entities as a percentage of revenues.
The costs of the rule as a proportion of small entity revenue range from 0.29 percent in most years to 0.52 percent in the first year. BSEE considers a rule to have a “significant economic impact” when the total annual cost associated with the rule for a small entity is equal to or exceeds 1 percent of annual revenue. Thus, the rule is not expected to have a significant economic impact on the participating small operators, lease holders, and pipeline right-of-way holders. Therefore, BSEE has concluded that this rule will not have a significant economic impact on a substantial number of small entities.
The rule does not conflict with any relevant Federal rules or duplicate or overlap with any Federal rules in any way that will unnecessarily add cumulative regulatory burdens on small entities without any gain in regulatory benefits.
BSEE considered three regulatory alternatives:
(1) Promulgate the requirements contained within the rule, including decreasing the BOP testing frequency for workover and decommissioning operations from current 7 day to 14 day testing frequency. The following chart identifies the BOP testing changes related to Alternative 1:
(2) Promulgate the requirements contained within the rule with a change to the required frequency of BOP pressure testing from the existing regulatory requirements (
(3) Take no regulatory action and continue to rely on existing BOP regulations in combination with permit conditions, DWOPs, operator prudence, and industry standards.
BSEE has elected to move forward with Alternative 1—the final rule—which incorporates recommendations provided by government, industry, academia, and other stakeholders prior to the proposed rule or contained in public comments on the proposed rule. In addition to addressing concerns and aligning with industry standards, BSEE is advancing several of the more critical capabilities beyond current industry standards applicable to BOP systems based on agency knowledge, experience and technical expertise. The rule will also improve efficiency and consistency of the regulations and allow for flexibility in future rulemakings.
The rule is a major rule under the Small Business Regulatory Enforcement Fairness Act, 5 U.S.C. 801
(1) Will have an annual effect on the economy of $100 million or more; or
(2) Will cause a major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions; or
(3) Will have significant adverse effects on competition, employment, investment, productivity, innovation, or the ability of U.S.-based enterprises to compete with foreign-based enterprises.
BSEE has determined that this rule is a major rule because it will have an annual effect on the economy of $100 million or more in at least one year of the 10-year period analyzed. The requirements apply to all entities operating on the OCS regardless of company designation as a small business. For more information on costs affecting small businesses, see the
In accordance with UMRA, BSEE has determined that this rule will not impose an unfunded mandate on State, local, or tribal governments of more than $100 million in a single year and will not have a significant or unique effect on State, local, or tribal governments. BSEE has determined that this rule will impose costs on the private sector of more than $100 million in a single year. Although these costs do not appear to trigger the requirement to prepare a written statement under UMRA, DOI has chosen to prepare such a written statement satisfying the requirements of UMRA. Those requirements are addressed and the required statements are found in the final RIA and final RFA analysis or in the preamble of this final rule.
Specifically, the final RIA, the final RFA analysis, or this document:
1. Identify the provisions of Federal law (OCSLA) under which this rule is being promulgated;
2. Include a quantitative assessment of the anticipated costs to the private sector (
3. Include qualitative and quantitative assessments of the anticipated benefits of the final rule.
Since all of the anticipated expenditures by the private sector analyzed in the final RIA and the final RFA analysis would be borne by the offshore oil and gas exploration industry, the final RIA and final RFA analysis satisfy the UMRA requirement to estimate any disproportionate budgetary effects of the proposed rule on a particular segment of the private sector (
As discussed in the Regulatory Planning and Review section (regarding E.O. 12866 and the RFA), and as explained fully in the final RIA, BSEE considered three regulatory alternatives for dealing with the safety and environmental concerns raised by past and potential future losses of well control. BSEE has decided to move forward with this final rule (Alternative 1) because the other alternatives would not as efficiently or effectively address the safety or environmental concerns raised by various investigations and studies related to the
Under the criteria in E.O. 12630, this rule does not have significant takings implications. The rule is not a governmental action capable of interference with constitutionally protected property rights. A Takings Implication Assessment is not required.
Under the criteria in E.O. 13132, this rule does not have federalism implications. This rule will not substantially and directly affect the relationship between the Federal and State governments. To the extent that State and local governments have a role in OCS activities, this rule will not affect that role. A federalism assessment is not required.
This rule complies with the requirements of E.O. 12988. Specifically, this rule:
(1) Meets the criteria of section 3(a) requiring that all regulations be reviewed to eliminate errors and ambiguity and be written to minimize litigation; and
(2) Meets the criteria of section 3(b)(2) requiring that all regulations be written in clear language and contain clear legal standards.
The BSEE is committed to regular and meaningful consultation and collaboration with tribes on policy decisions that have tribal implications. Under the criteria in E.O. 13175 and DOI's Policy on Consultation with Indian Tribes (Secretarial Order 3317, Amendment 2, dated December 31, 2013), we have evaluated this final rule and determined that it has no substantial direct effects on federally recognized Indian tribes.
This rule contains a collection of information that was submitted to the Office of Management and Budget (OMB) for review and approval under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
Potential respondents comprise Federal OCS oil, gas, and sulfur operators and lessees. The frequency of response varies depending upon the requirement. Responses to this collection of information are mandatory, or are required to obtain or retain a benefit. The information collection (IC) does not include questions of a sensitive nature. BSEE will protect proprietary information according to the Freedom of Information Act (5 U.S.C. 552) and DOI's implementing regulations (43 CFR part 2), 30 CFR 250.197,
As stated in the preamble, BSEE received 172 sets of comments from individual entities (companies, industry organizations, or private citizens), of which 12 comments pertained to IC. The commenters discussed the additional burden and felt, in some cases, that the burden was not necessarily sufficient. Therefore, based on these comments there are changes to the paperwork requirements and/or burdens and these changes are as follows:
Applications for Permit to Drill (APD)—we increased the burden hours (+510 hours);
Applications for Permit to Modify—we increased the burden hours (+2,411 hours);
Also, while reviewing comments on the final rule it became more clear that under § 250.712(a), (b), and (f), we were counting the number of physical rigs on the OCS rather than counting the number of rig movement forms submitted. Therefore, we increased the number of response and burden to accurately reflect the number of forms submitted (+681 responses and +166 hours);
Under § 250.712(c), (e)—we increased the burden hours relating to notifications if rigs are warm or cold stacked (+25 responses and +12 hours);
The burden hours for § 250.713(a), (b)—information on MODUs—we revised the burden for collecting and reporting additional information (+466 responses and +2,330 hours);
Under § 250.724—RTM burden hours were increased (−20 responses and +64,200 hours);
Under § 250.724(c)—we added burden hours for the requirement to develop and implement an RTM plan (+130 responses and +650 hours);
Under § 250.732(a)—we increased burden hours for the requirement to submit a verification and supporting information for BAVO (+2 responses and +675 hours);
The burden hours in §§ 250.740, 250.741, and 250.724(b) for retention of drilling records and RTM data were increased (+95 responses and +35 hours);
During the proposed rule, we inadvertently entered the wrong hour burden under the subtotal for subpart G (Rig. Req. 1,783 hours should have been 1,633 hours); therefore, we have decreased the subtotal (−150 hours);
Also, between the proposed rule and the final rule numerous ICs were submitted to OMB resulting in increases/decreases in OMB approved burdens and responses of various regulatory requirements associated with the proposed rule (+577 responses and +22,797 hours) (
Due to the IC renewals, the number of responses changed, which also affected two revised burdens: subpart B—DWOP (−4 hours) and subpart D—EOR (+40 hours).
This rule affects ICs under 30 CFR part 250, subpart A (1014-0022, expiration 8/31/2017); subpart B (1014-0024, expiration 11/30/2018; renewal for this subpart is currently at OMB for approval); Applications for Permits to Drill (1014-0025, expiration 4/30/17); Applications for Permits to Modify (1014-0026, expiration 5/31/17); subpart D (1014-0018, expiration 10/31/17); subpart E, (1014-0004, expiration 12/31/16); subpart F, (1014-0001, expiration 12/31/16); subpart P, (1014-0006, expiration 12/31/16); and subpart Q, (1014-0010, expiration 10/31/16). Once this final rule becomes effective, the paperwork burdens associated with the various other subparts will be removed from this collection of information (subpart G) and consolidated with the respective IC burdens under their OMB Control Numbers.
This rule also codifies NTL 2013-G01, Global Positioning Systems (GPS) for Mobile Offshore Drilling Units (MODUs) (1014-0013, expiration 11/30/2018 (renewal for this collection is currently at OMB for approval)) into subpart G. Once this final rule becomes effective, the IC for that NTL will be discontinued.
An agency may not conduct or sponsor, and you are not required to respond to, a collection of information unless it displays a currently valid OMB control number. The public may comment, at any time, on the accuracy of the IC burden in this rule and may submit any comments to DOI/BSEE; ATTN: Regulations and Standards Branch; VAE-ORP; 45600 Woodland Road, Sterling, VA 20166; or email at
We prepared a final environmental assessment that concludes that this final rule would not have a significant impact on the quality of the human environment under NEPA. A copy of the Environmental Assessment and Finding of No Significant Impact can be viewed at
In developing this rule, we did not conduct or use a study, experiment, or survey requiring peer review under the Data Quality Act (Pub. L. 106-554, app. C, sec. 515, 114 Stat. 2763, 2763A-153-154).
This rule is not a significant energy action under the definition in E.O. 13211. Although the rule is a significant regulatory action under E.O. 12866, it is not likely to have a significant adverse effect on the supply, distribution, or use of energy. A Statement of Energy Effects is not required.
Administrative practice and procedure, Continental shelf, Environmental impact statements, Environmental protection, Incorporation by reference, Oil and gas exploration, Outer Continental Shelf—mineral resources, Outer Continental Shelf—rights-of-way, Penalties, Reporting and recordkeeping requirements, Sulfur.
For the reasons stated in the preamble, the Bureau of Safety and Environmental Enforcement (BSEE) amends 30 CFR part 250 as follows:
30 U.S.C. 1751, 31 U.S.C. 9701, 43 U.S.C. 1334.
The revisions and addition read as follows:
(b) * * *
The additions read as follows:
(a) * * *
(3) Utilizing recognized engineering practices that reduce risks to the lowest level practicable when conducting design, fabrication, installation, operation, inspection, repair, and maintenance activities; and
(4) Complying with all lease, plan, and permit terms and conditions.
(e) BSEE may issue orders to ensure compliance with this part, including, but not limited to, orders to produce and submit records and to inspect, repair, and/or replace equipment. BSEE may also issue orders to shut-in operations of a component or facility because of a threat of serious, irreparable, or immediate harm to health, safety, property, or the environment posed by those operations or because the operations violate law, including a regulation, order, or provision of a lease, plan, or permit.
(a) * * *
The revisions and additions read as follows:
(h) * * *
(51) API Recommended Practice 2RD, Design of Risers for Floating Production Systems (FPSs) and Tension-Leg Platforms (TLPs), First Edition, June 1998; Reaffirmed May 2006, including Errata June 2009, incorporated by reference at §§ 250.292, 250.733, 250.800, 250.901, and 250.1002;
(63) API Standard 53, Blowout Prevention Equipment Systems for Drilling Wells, Fourth Edition, November 2012, incorporated by reference at §§ 250.730, 250.735, 250.737, and 250.739;
(68) ANSI/API Specification Q1, Specification for Quality Programs for the Petroleum, Petrochemical and Natural Gas Industry, Eighth Edition, December 2007, incorporated by reference at §§ 250.730 and 250.806;
(70) ANSI/API Specification 6A, Specification for Wellhead and Christmas Tree Equipment, Nineteenth Edition, July 2004, including Errata 1 (September 2004), Errata 2 (April 2005), Errata 3 (June 2006), Errata 4 (August 2007), Errata 5 (May 2009), Addendum 1 (February 2008), Addenda 2, 3, and 4 (December 2008), incorporated by reference at §§ 250.730, 250.806, and 250.1002;
(89) ANSI/API Specification 11D1, Packers and Bridge Plugs, Second Edition, July 2009, incorporated by reference at §§ 250.518, 250.619, and 250.1703;
(90) ANSI/API Specification 16A, Specification for Drill-through Equipment, Third Edition, June 2004, Reaffirmed August 2010, incorporated by reference at § 250.730;
(91) ANSI/API Specification 16C, Specification for Choke and Kill Systems, First Edition, January 1993, Reaffirmed July 2010; incorporated by reference at § 250.730;
(92) API Specification 16D, Specification for Control Systems for Drilling Well Control Equipment and Control Systems for Diverter Equipment, Second Edition, July 2004, Reaffirmed August 2013, incorporated by reference at § 250.730;
(93) ANSI/API Specification 17D, Design and Operation of Subsea Production Systems—Subsea Wellhead and Tree Equipment, Second Edition; May 2011, incorporated by reference at § 250.730; and
(94) ANSI/API Recommended Practice 17H, Remotely Operated Vehicle Interfaces on Subsea Production Systems, First Edition, July 2004, Reaffirmed January 2009, incorporated by reference at § 250.734.
(e) BSEE is collecting this information for the reasons given in the following table:
The addition reads as follows:
(p) If you propose to use a pipeline free standing hybrid riser (FSHR) on a permanent installation that utilizes a critical chain, wire rope, or synthetic tether to connect the top of the riser to a buoyancy air can, provide the following information in your DWOP in the discussions required by paragraphs (f) and (g) of this section:
(1) A detailed description and drawings of the FSHR, buoy and the tether system;
(2) Detailed information on the design, fabrication, and installation of the FSHR, buoy and tether system, including pressure ratings, fatigue life, and yield strengths;
(3) A description of how you met the design requirements, load cases, and allowable stresses for each load case according to API RP 2RD (as incorporated by reference in § 250.198);
(4) Detailed information regarding the tether system used to connect the FSHR to a buoyancy air can;
(5) Descriptions of your monitoring system and monitoring plan to monitor the pipeline FSHR and tether for fatigue, stress, and any other abnormal condition (
(6) Documentation that the tether system and connection accessories for the pipeline FSHR have been certified by an approved classification society or equivalent and verified by the CVA required in subpart I of this part; and
Drilling operations must be conducted in a safe manner to protect against harm or damage to life (including fish and other aquatic life), property, natural resources of the Outer Continental Shelf (OCS), including any mineral deposits (in areas leased and not leased), the National security or defense, or the marine, coastal, or human environment. In addition to the requirements of this subpart, you must also follow the applicable requirements of subpart G of this part.
In addition to forms BSEE-0123 and BSEE-0123S, you must include the information required in this subpart and subpart G of this part, including the following:
(g) A single plot containing curves for estimated pore pressures, formation fracture gradients, proposed drilling fluid weights, planned safe drilling margin, and casing setting depths in true vertical measurements;
The revisions and additions read as follows:
(c) Planned safe drilling margin that is between the estimated pore pressure and the lesser of estimated fracture gradients or casing shoe pressure integrity test and that is based on a risk assessment consistent with expected well conditions and operations.
(1) Your safe drilling margin must also include use of equivalent downhole mud weight that is:
(i) Greater than the estimated pore pressure; and
(ii) Except as provided in paragraph (c)(2) of this section, a minimum of 0.5 pound per gallon below the lower of the casing shoe pressure integrity test or the lowest estimated fracture gradient.
(2) In lieu of meeting the criteria in paragraph (c)(1)(ii) of this section, you may use an equivalent downhole mud weight as specified in your APD, provided that you submit adequate documentation (such as risk modeling
(3) When determining the pore pressure and lowest estimated fracture gradient for a specific interval, you must consider related off-set well behavior observations.
(h) A list and description of all requests for using alternate procedures or departures from the requirements of this subpart in one place in the APD. You must explain how the alternate procedures afford an equal or greater degree of protection, safety, or performance, or why the departures are requested;
(i) Projected plans for well testing (refer to § 250.460);
(j) The type of wellhead system and liner hanger system to be installed and a descriptive schematic, which includes but is not limited to pressure ratings, dimensions, valves, load shoulders, and locking mechanisms, if applicable; and
(k) Any additional information required by the District Manager needed to clarify or evaluate your drilling prognosis.
(a) The following well design information:
(1) Hole sizes;
(2) Bit depths (including measured and true vertical depth (TVD));
(3) Casing information, including sizes, weights, grades, collapse and burst values, types of connection, and setting depths (measured and TVD) for all sections of each casing interval; and
(4) Locations of any installed rupture disks (indicate if burst or collapse and rating);
You must include in the diverter description:
(a) A description of the diverter system and its operating procedures;
(b) A schematic drawing of the diverter system (plan and elevation views) that shows:
(1) The size of the element installed in the diverter housing;
(2) Spool outlet internal diameter(s);
(3) Diverter-line lengths and diameters; burst strengths and radius of curvature at each turn; and
(4) Valve type, size, working pressure rating, and location.
(g) A request for approval, if you plan to wash out or displace cement to facilitate casing removal upon well abandonment. Your request must include a description of how far below the mudline you propose to displace cement and how you will visually monitor returns;
(h) Certification of your casing and cementing program as required in § 250.420(a)(7); and
The revisions and additions read as follows:
You must case and cement all wells. Your casing and cementing programs must meet the applicable requirements of this subpart and of subpart G of this part.
(a) * * *
(5) Support unconsolidated sediments;
(6) Provide adequate centralization to ensure proper cementation; and
(b) * * *
(4) If you need to substitute a different size, grade, or weight of casing than what was approved in your APD, you must contact the District Manager for approval prior to installing the casing.
(c)
(2) You must use a weighted fluid during displacement to maintain an overbalanced hydrostatic pressure during the cement setting time, except when cementing casings or liners in riserless hole sections.
You must ensure proper installation of casing in the subsea wellhead or liner in the liner hanger.
(a) You must ensure that the latching mechanisms or lock down mechanisms are engaged upon successfully installing and cementing the casing string. If there is an indication of an inadequate cement job, you must comply with § 250.428(c).
(b) If you run a liner that has a latching mechanism or lock down mechanism, you must ensure that the latching mechanisms or lock down mechanisms are engaged upon successfully installing and cementing the liner. If there is an indication of an inadequate cement job, you must comply with § 250.428(c).
(c) You must perform a pressure test on the casing seal assembly to ensure proper installation of casing or liner. You must perform this test for the intermediate and production casing strings or liners.
(1) You must submit for approval with your APD, test procedures and criteria for a successful test.
(2) You must document all your test results and make them available to BSEE upon request.
(b) While drilling, you must maintain the safe drilling margins identified in § 250.414. When you cannot maintain the safe margins, you must suspend drilling operations and remedy the situation.
The revisions and addition read as follows:
For drilling operations using a subsea BOP or surface BOP on a floating facility, you must have the ability to control or contain a blowout event at the sea floor.
(a) To determine your required source control and containment capabilities you must do the following:
(1) Consider a scenario of the wellbore fully evacuated to reservoir fluids, with no restrictions in the well.
(2) Evaluate the performance of the well as designed to determine if a full shut-in can be achieved without having reservoir fluids broach to the sea floor. If your evaluation indicates that the well can only be partially shut-in, then you must determine your ability to flow and capture the residual fluids to a surface production and storage system.
(b) You must have access to and the ability to deploy Source Control and Containment Equipment (SCCE) and all other necessary supporting and collocated equipment to regain control of the well. SCCE means the capping stack, cap-and-flow system, containment dome, and/or other subsea and surface devices, equipment, and vessels, which have the collective purpose to control a spill source and stop the flow of fluids into the environment or to contain fluids escaping into the environment. This SCCE, supporting equipment, and collocated equipment must include, but is not limited to, the following:
(1) Subsea containment and capture equipment, including containment domes and capping stacks;
(2) Subsea utility equipment including hydraulic power sources and hydrate control equipment;
(3) Collocated equipment including dispersant injection equipment;
(4) Riser systems;
(5) Remotely operated vehicles (ROVs);
(6) Capture vessels;
(7) Support vessels; and
(8) Storage facilities.
(c) You must submit a description of your source control and containment capabilities to the Regional Supervisor and receive approval before BSEE will approve your APD, Form BSEE-0123. The description of your containment capabilities must contain the following:
(1) Your source control and containment capabilities for controlling and containing a blowout event at the seafloor;
(2) A discussion of the determination required in paragraph (a) of this section; and
(3) Information showing that you have access to and the ability to deploy all equipment required by paragraph (b) of this section.
(d) You must contact the District Manager and Regional Supervisor for reevaluation of your source control and containment capabilities if your:
(1) Well design changes; or
(2) Approved source control and containment equipment is out of service.
(e) You must maintain, test, and inspect the source control, containment, and collocated equipment identified in the following table according to these requirements:
(b) * * *
(3) Within 30 days after completing this work, you must submit an End of Operations Report (EOR), Form BSEE-0125, as required under § 250.744.
Well-completion operations must be conducted in a manner to protect against harm or damage to life (including fish and other aquatic life), property, natural resources of the OCS, including any mineral deposits (in areas leased and not leased), the National security or defense, or the marine, coastal, or human environment. In addition to the requirements of this subpart, you must also follow the applicable requirements of subpart G of this part.
(b) * * *
(4) All applicable information required in § 250.731.
The additions read as follows:
(e) When installed, packers and bridge plugs must meet the following:
(1) All permanently installed packers and bridge plugs must comply with API Spec. 11D1 (as incorporated by reference in § 250.198);
(2) The production packer must be set at a depth that will allow for a column of weighted fluids to be placed above the packer that will exert a hydrostatic force greater than or equal to the force created by the reservoir pressure below the packer;
(3) The production packer must be set as close as practically possible to the perforated interval; and
(4) The production packer must be set at a depth that is within the cemented interval of the selected casing section.
(f) Your APM must include a description and calculations for how you determined the production packer setting depth.
Well-workover operations must be conducted in a manner to protect against harm or damage to life (including fish and other aquatic life), property, natural resources of the Outer Continental Shelf (OCS) including any mineral deposits (in areas leased and not leased), the National security or defense, or the marine, coastal, or human environment. In addition to the requirements of this subpart, you must also follow the applicable requirements of subpart G of this part.
(b) * * *
(3) All information required in § 250.731.
The revision reads as follows:
The additions read as follows:
(e) If you pull and reinstall packers and bridge plugs, you must meet the following requirements:
(1) All permanently installed packers and bridge plugs must comply with API Spec. 11D1 (as incorporated by reference in § 250.198);
(2) The production packer must be set at a depth that will allow for a column of weighted fluids to be placed above the packer that will exert a hydrostatic force greater than or equal to the force created by the reservoir pressure below the packer;
(3) The production packer must be set as close as practically possible to the perforated interval; and
(4) The production packer must be set at a depth that is within the cemented interval of the selected casing section.
(f) Your APM must include a description and calculations for how you determined the production packer setting depth.
This subpart covers operations and equipment associated with drilling, completion, workover, and decommissioning activities. This subpart includes regulations applicable to drilling, completion, workover, and decommissioning activities in addition to applicable regulations contained in subparts D, E, F, and Q of this part unless explicitly stated otherwise.
You may use alternate procedures or equipment during operations after receiving approval as described in § 250.141. You must identify and discuss your proposed alternate procedures or equipment in your Application for Permit to Drill (APD) (Form BSEE-0123) (see § 250.414(h)) or your Application for Permit to Modify (APM) (Form BSEE-0124). Procedures for obtaining approval of alternate procedures or equipment are described in § 250.141.
You may apply for a departure from these requirements as described in § 250.142. Your request must include a justification showing why the departure is necessary. You must identify and discuss the departure you are requesting in your APD (see § 250.414(h)) or your APM.
You must take the necessary precautions to keep wells under control at all times, including:
(a) Use recognized engineering practices to reduce risks to the lowest level practicable when monitoring and evaluating well conditions and to minimize the potential for the well to flow or kick;
(b) Have a person onsite during operations who represents your interests and can fulfill your responsibilities;
(c) Ensure that the toolpusher, operator's representative, or a member of the rig crew maintains continuous surveillance on the rig floor from the beginning of operations until the well is completed or abandoned, unless you have secured the well with blowout preventers (BOPs), bridge plugs, cement plugs, or packers;
(d) Use personnel trained according to the provisions of subparts O and S of this part;
(e) Use and maintain equipment and materials necessary to ensure the safety and protection of personnel, equipment, natural resources, and the environment; and
(f) Use equipment that has been designed, tested, and rated for the maximum environmental and operational conditions to which it may be exposed while in service.
Prior to engaging in well operations, personnel must be instructed in:
(a)
(b)
You must conduct a weekly well-control drill with all personnel engaged in well operations. Your drill must familiarize personnel engaged in well operations with their roles and functions so that they can perform their
(a)
(b)
(1) Date, time, and type of drill conducted;
(2) The amount of time it took to be ready to close the diverter or use each well-control component of BOP system; and
(3) The total time to complete the entire drill.
(c)
(a) You must report the movement of all rig units on and off locations to the District Manager using Form BSEE-0144, Rig Movement Notification Report. Rig units include MODUs, platform rigs, snubbing units, wire-line units used for non-routine operations, and coiled tubing units. You must inform the District Manager 24 hours before:
(1) The arrival of a rig unit on location;
(2) The movement of a rig unit to another slot. For movements that will occur less than 24 hours after initially moving onto location (
(3) The departure of a rig unit from the location.
(b) You must provide the District Manager with the rig name, lease number, well number, and expected time of arrival or departure.
(c) If a MODU or platform rig is to be warm or cold stacked, you must inform the District Manager:
(1) Where the MODU or platform rig is coming from;
(2) The location where the MODU or platform rig will be positioned;
(3) Whether the MODU or platform rig will be manned or unmanned; and
(4) If the location for stacking the MODU or platform rig changes.
(d) Prior to resuming operations after stacking, you must notify the appropriate District Manager of any construction, repairs, or modifications associated with the drilling package made to the MODU or platform rig.
(e) If a drilling rig is entering OCS waters, you must inform the District Manager where the drilling rig is coming from.
(f) If you change your anticipated date for initially moving on or off location by more than 24 hours, you must submit an updated Form BSEE-0144, Rig Movement Notification Report.
If you plan to use a MODU for well operations, you must provide:
(a)
(b)
(c)
(2) If you plan to conduct operations in a frontier area, you must have a contingency plan that addresses design and operating limitations of the MODU. Your plan must identify the actions necessary to maintain safety and prevent damage to the environment. Actions must include the suspension, curtailment, or modification of operations to remedy various operational or environmental situations (
(d)
(e)
(f)
(g)
(1) A description of the specific current speeds that will cause you to implement rig shutdown, move-off procedures, or both; and
(2) A discussion of the specific measures you will take to curtail rig operations and move off location when such currents are encountered. You may use criteria, such as current velocities, riser angles, watch circles, and remaining rig power to describe when these procedures or measures will be implemented.
If you use a floating rig unit in an area with subsea infrastructure, you must develop a dropped objects plan and make it available to BSEE upon request. This plan must be updated as the infrastructure on the seafloor changes. Your plan must include:
(a) A description and plot of the path the rig will take while running and pulling the riser;
(b) A plat showing the location of any subsea wells, production equipment, pipelines, and any other identified debris;
(c) Modeling of a dropped object's path with consideration given to metocean conditions for various material forms, such as a tubular (
(d) Communications, procedures, and delegated authorities established with the production host facility to shut-in any active subsea wells, equipment, or pipelines in the event of a dropped object; and
(e) Any additional information required by the District Manager as appropriate to clarify, update, or evaluate your dropped objects plan.
All MODUs must have a minimum of two functioning GPS transponders at all times, and you must provide to BSEE real-time access to the GPS data prior to and during each hurricane season.
(a) The GPS must be capable of monitoring the position and tracking the path in real-time if the MODU moves from its location during a severe storm.
(b) You must install and protect the tracking system's equipment to minimize the risk of the system being disabled.
(c) You must place the GPS transponders in different locations for redundancy to minimize risk of system failure.
(d) Each GPS transponder must be capable of transmitting data for at least 7 days after a storm has passed.
(e) If the MODU is moved off location in the event of a storm, you must immediately begin to record the GPS location data.
(f) You must contact the Regional Office and allow real-time access to the MODU location data. When you contact the Regional Office, provide the following:
(1) Name of the lessee and operator with contact information;
(2) MODU name;
(3) Initial date and time; and
(4) How you will provide GPS real-time access.
(a) Whenever you interrupt operations, you must notify the District Manager. Before moving off the well, you must have two independent barriers installed, at least one of which must be a mechanical barrier, as approved by the District Manager. You must install the barriers at appropriate depths within a properly cemented casing string or liner. Before removing a subsea BOP stack or surface BOP stack on a mudline suspension well, you must conduct a negative pressure test in accordance with § 250.721.
(1) The events that would cause you to interrupt operations and notify the District Manager include, but are not limited to, the following:
(i) Evacuation of the rig crew;
(ii) Inability to keep the rig on location;
(iii) Repair to major rig or well-control equipment; or
(iv) Observed flow outside the well's casing (e.g., shallow water flow or bubbling).
(2) The District Manager may approve alternate procedures or barriers, in accordance with § 250.141, if you do not have time to install the required barriers or if special circumstances occur.
(b) Before you displace kill-weight fluid from the wellbore and/or riser, thereby creating an underbalanced state, you must obtain approval from the District Manager. To obtain approval, you must submit with your APD or APM your reasons for displacing the kill-weight fluid and provide detailed step-by-step written procedures describing how you will safely displace these fluids. The step-by-step displacement procedures must address the following:
(1) Number and type of independent barriers, as described in § 250.420(b)(3), that are in place for each flow path that requires such barriers;
(2) Tests you will conduct to ensure integrity of independent barriers;
(3) BOP procedures you will use while displacing kill-weight fluids; and
(4) Procedures you will use to monitor the volumes and rates of fluids entering and leaving the wellbore.
(a) You must test each casing string that extends to the wellhead according to the following table:
(b) You must test each drilling liner and liner-top to a pressure at least equal to the anticipated leak-off pressure of the formation below that liner shoe, or subsequent liner shoes if set. You must conduct this test before you continue operations in the well.
(c) You must test each production liner and liner-top to a minimum of 500 psi above the formation fracture pressure at the casing shoe into which the liner is lapped.
(d) The District Manager may approve or require other casing test pressures as appropriate under the circumstances to ensure casing integrity.
(e) If you plan to produce a well, you must:
(1) For a well that is fully cased and cemented, pressure test the entire well to maximum anticipated shut-in tubing pressure, not to exceed 70% of the burst rating limit of the weakest component before perforating the casing or liner; or
(2) For an open-hole completion, pressure test the entire well to maximum anticipated shut-in tubing pressure, not to exceed 70% of the burst rating limit of the weakest component before you drill the open-hole section.
(f) You may not resume operations until you obtain a satisfactory pressure test. If the pressure declines more than 10 percent in a 30-minute test, or if there is another indication of a leak, you must submit to the District Manager for approval your proposed plans to re-cement, repair the casing or liner, or run additional casing/liner to provide a proper seal. Your submittal must include a PE certification of your proposed plans.
(g) You must perform a negative pressure test on all wells that use a subsea BOP stack or wells with mudline suspension systems.
(1) You must perform a negative pressure test on your final casing string
(2) You must perform a negative pressure test prior to unlatching the BOP at any point in the well. The negative pressure test must be performed on those components, at a minimum, that will be exposed to the negative differential pressure that will occur when the BOP is disconnected.
(3) The District Manager may require you to perform additional negative pressure tests on other casing strings or liners (e.g., intermediate casing string or liner) or on wells with a surface BOP stack as appropriate to demonstrate casing or liner integrity.
(4) You must submit for approval with your APD or APM, test procedures and criteria for a successful negative pressure test. If any of your test procedures or criteria for a successful test change, you must submit for approval the changes in a revised APD or APM.
(5) You must document all your test results and make them available to BSEE upon request.
(6) If you have any indication of a failed negative pressure test, such as, but not limited to, pressure buildup or observed flow, you must immediately investigate the cause. If your investigation confirms that a failure occurred during the negative pressure test, you must:
(i) Correct the problem and immediately notify the appropriate District Manager; and
(ii) Submit a description of the corrective action taken and receive approval from the appropriate District Manager for the retest.
(7) You must have two barriers in place, as described in § 250.420(b)(3), at any time and for any well, prior to performing the negative pressure test.
(8) You must include documentation of the successful negative pressure test in the End-of-Operations Report (Form BSEE-0125).
If wellbore operations continue within a casing or liner for more than 30 days from the previous pressure test of the well's casing or liner, you must:
(a) Stop operations as soon as practicable, and evaluate the effects of the prolonged operations on continued operations and the life of the well. At a minimum, you must:
(1) Evaluate the well casing with a pressure test, caliper tool, or imaging tool. On a case-by-case basis, the District Manager may require a specific method of evaluation of the effects on the well casing of prolonged operations; and
(2) Report the results of your evaluation to the District Manager and obtain approval of those results before resuming operations. Your report must include calculations that show the well's integrity is above the minimum safety factors, if an imaging tool or caliper is used.
(b) If well integrity has deteriorated to a level below minimum safety factors, you must:
(1) Obtain approval from the District Manager to begin repairs or install additional casing. To obtain approval, you must also provide a PE certification showing that he or she reviewed and approved the proposed changes;
(2) Repair the casing or run another casing string; and
(3) Perform a pressure test after the repairs are made or additional casing is installed and report the results to the District Manager as specified in § 250.721.
You must take the following safety measures when you conduct operations with a rig unit or lift boat on or jacked-up over a platform with producing wells or that has other hydrocarbon flow:
(a) The movement of rig units and related equipment on and off a platform or from well to well on the same platform, including rigging up and rigging down, must be conducted in a safe manner;
(b) You must install an emergency shutdown station for the production system near the rig operator's console;
(c) You must shut-in all producible wells located in the affected wellbay below the surface and at the wellhead when:
(1) You move a rig unit or related equipment on and off a platform. This includes rigging up and rigging down activities within 500 feet of the affected platform;
(2) You move or skid a rig unit between wells on a platform; or
(3) A MODU or lift boat moves within 500 feet of a platform. You may resume production once the MODU or lift boat is in place, secured, and ready to begin operations.
(d) All wells in the same well-bay which are capable of producing hydrocarbons must be shut-in below the surface with a pump-through-type tubing plug and at the surface with a closed master valve prior to moving rig units and related equipment, unless otherwise approved by the District Manager.
(1) A closed surface-controlled subsurface safety valve of the pump-through-type may be used in lieu of the pump-through-type tubing plug provided that the surface control has been locked out of operation.
(2) The well to which a rig unit or related equipment is to be moved must be equipped with a back-pressure valve prior to removing the tree and installing and testing the BOP system.
(3) The well from which a rig unit or related equipment is to be moved must be equipped with a back pressure valve prior to removing the BOP system and installing the production tree.
(e) Coiled tubing units, snubbing units, or wireline units may be moved onto and off of a platform without shutting in wells.
(a) No later than April 29, 2019, when conducting well operations with a subsea BOP or with a surface BOP on a floating facility, or when operating in an high pressure high temperature (HPHT) environment, you must gather and monitor real-time well data using an independent, automatic, and continuous monitoring system capable of recording, storing, and transmitting data regarding the following:
(1) The BOP control system;
(2) The well's fluid handling system on the rig; and
(3) The well's downhole conditions with the bottom hole assembly tools (if any tools are installed).
(b) You must transmit these data as they are gathered, barring unforeseeable or unpreventable interruptions in transmission, and have the capability to monitor the data onshore, using qualified personnel in accordance with a real-time monitoring plan, as provided in paragraph (c) of this section. Onshore personnel who monitor real-time data must have the capability to contact rig personnel during operations. After operations, you must preserve and store these data onshore for recordkeeping purposes as required in §§ 250.740 and 250.741. You must provide BSEE with access to your designated real-time monitoring data onshore upon request. You must include in your APD a certification that you have a real-time monitoring plan that meets the criteria in paragraph (c) of this section.
(c) You must develop and implement a real-time monitoring plan. Your real-time monitoring plan, and all real-time monitoring data, must be made available to BSEE upon request. Your real-time monitoring plan must include the following:
(1) A description of your real-time monitoring capabilities, including the types of the data collected;
(2) A description of how your real-time monitoring data will be transmitted onshore during operations, how the data will be labeled and monitored by qualified onshore personnel, and how it will be stored onshore;
(3) A description of your procedures for providing BSEE access, upon request, to your real-time monitoring data including, if applicable, the location of any onshore data monitoring or data storage facilities;
(4) The qualifications of the onshore personnel monitoring the data;
(5) Your procedures for, and methods of, communication between rig personnel and the onshore monitoring personnel; and
(6) Actions to be taken if you lose any real-time monitoring capabilities or communications between rig and onshore personnel, and a protocol for how you will respond to any significant and/or prolonged interruption of monitoring or onshore-offshore communications, including your protocol for notifying BSEE of any significant and/or prolonged interruptions.
(a) You must ensure that the BOP system and system components are designed, installed, maintained, inspected, tested, and used properly to ensure well control. The working-pressure rating of each BOP component (excluding annular(s)) must exceed MASP as defined for the operation. For a subsea BOP, the MASP must be taken at the mudline. The BOP system includes the BOP stack, control system, and any other associated system(s) and equipment. The BOP system and individual components must be able to perform their expected functions and be compatible with each other. Your BOP system (excluding casing shear) must be capable of closing and sealing the wellbore at all times, including under anticipated flowing conditions for the specific well conditions, without losing ram closure time and sealing integrity due to the corrosiveness, volume, and abrasiveness of any fluids in the wellbore that the BOP system may encounter. Your BOP system must meet the following requirements:
(1) The BOP requirements of API Standard 53 (incorporated by reference in § 250.198) and the requirements of §§ 250.733 through 250.739. If there is a conflict between API Standard 53, and the requirements of this subpart, you must follow the requirements of this subpart.
(2) Those provisions of the following industry standards (all incorporated by reference in § 250.198) that apply to BOP systems:
(i) ANSI/API Spec. 6A;
(ii) ANSI/API Spec. 16A;
(iii) ANSI/API Spec. 16C;
(iv) API Spec. 16D; and
(v) ANSI/API Spec. 17D.
(3) For surface and subsea BOPs, the pipe and variable bore rams installed in the BOP stack must be capable of effectively closing and sealing on the tubular body of any drill pipe, workstring, and tubing (excluding tubing with exterior control lines and flat packs) in the hole under MASP, as defined for the operation, with the proposed regulator settings of the BOP control system.
(4) The current set of approved schematic drawings must be available on the rig and at an onshore location. If you make any modifications to the BOP or control system that will change your BSEE-approved schematic drawings, you must suspend operations until you obtain approval from the District Manager.
(b) You must ensure that the design, fabrication, maintenance, and repair of your BOP system is in accordance with the requirements contained in this part, Original Equipment Manufacturers (OEM) recommendations unless otherwise directed by BSEE, and recognized engineering practices. The training and qualification of repair and maintenance personnel must meet or exceed any OEM training recommendations unless otherwise directed by BSEE.
(c) You must follow the failure reporting procedures contained in API Standard 53, ANSI/API Spec. 6A, and ANSI/API Spec 16A (all incorporated by reference in § 250.198), and:
(1) You must provide a written notice of equipment failure to the Chief, Office of Offshore Regulatory Programs, and the manufacturer of such equipment within 30 days after the discovery and identification of the failure. A failure is any condition that prevents the equipment from meeting the functional specification.
(2) You must ensure that an investigation and a failure analysis are performed within 120 days of the failure to determine the cause of the failure. You must also ensure that the results and any corrective action are documented. If the investigation and analysis are performed by an entity other than the manufacturer, you must ensure that the Chief, Office of Offshore Regulatory Programs and the manufacturer receive a copy of the analysis report.
(3) If the equipment manufacturer notifies you that it has changed the design of the equipment that failed or if you have changed operating or repair procedures as a result of a failure, then you must, within 30 days of such changes, report the design change or modified procedures in writing to the Chief, Office of Offshore Regulatory Programs.
(4) You must send the reports required in this paragraph to: Chief, Office of Offshore Regulatory Programs; Bureau of Safety and Environmental Enforcement; 45600 Woodland Road, Sterling, VA 20166.
(d) If you plan to use a BOP stack manufactured after the effective date of this regulation, you must use one manufactured pursuant to an API Spec. Q1 (as incorporated by reference in § 250.198) quality management system. Such quality management system must be certified by an entity that meets the requirements of ISO 17011.
(1) BSEE may consider accepting equipment manufactured under quality assurance programs other than API Spec. Q1, provided you submit a request to the Chief, Office of Offshore Regulatory Programs for approval, containing relevant information about the alternative program.
(2) You must submit this request to the Chief, Office of Offshore Regulatory Programs; Bureau of Safety and Environmental Enforcement; 45600 Woodland Road, Sterling, Virginia 20166.
For any operation that requires the use of a BOP, you must include the information listed in this section with your applicable APD, APM, or other submittal. You are required to submit this information only once for each well, unless the information changes from what you provided in an earlier approved submission or you have moved off location from the well. After you have submitted this information for a particular well, subsequent APMs or other submittals for the well should reference the approved submittal containing the information required by this section and confirm that the information remains accurate and that you have not moved off location from that well. If the information changes or you have moved off location from the well, you must submit updated information in your next submission.
(a) BSEE will maintain a list of BSEE-approved verification organizations (BAVOs) on its public website that you must use to satisfy any provision in this subpart that requires a BAVO certification, verification, report, or review. You must comply with all requirements in this subpart for BAVO certification, verification, or reporting no later than 1 year from the date BSEE publishes a list of BAVOs.
(1) Until such time as you use a BAVO to perform the actions that this subpart requires to be performed by a BAVO, but not after 1 year from the date BSEE publishes a list of BAVOs, you must use an independent third-party meeting the criteria specified in paragraph (a)(2) of this section to prepare certifications, verifications, and reports as required by §§ 250.731(c) and (d), 250.732 (b) and (c), 250.734(b)(1), 250.738(b)(4), and 250.739(b).
(2) The independent third-party must be a technical classification society, or a licensed professional engineering firm, or a registered professional engineer capable of providing the certifications, verifications, and reports required under paragraph (a)(1) of this section.
(3) For an organization to become a BAVO, it must submit the following information to the Chief, Office of Offshore Regulatory Programs; Bureau of Safety and Environmental Enforcement; 45600 Woodland Road, Sterling, Virginia, 20166, for BSEE review and approval:
(i) Previous experience in verification or in the design, fabrication, installation, repair, or major modification of BOPs and related systems and equipment;
(ii) Technical capabilities;
(iii) Size and type of organization;
(iv) In-house availability of, or access to, appropriate technology. This should include computer programs, hardware, and testing materials and equipment;
(v) Ability to perform the verification functions for projects considering current commitments;
(vi) Previous experience with BSEE requirements and procedures; and
(vii) Any additional information that may be relevant to BSEE's review.
(b) Prior to beginning any operation requiring the use of any BOP, you must submit verification by a BAVO and supporting documentation as required by this paragraph to the appropriate
(c) For wells in an HPHT environment, as defined by § 250.807(b), you must submit verification by a BAVO that the verification organization conducted a comprehensive review of the BOP system and related equipment you propose to use. You must provide the BAVO access to any facility associated with the BOP system or related equipment during the review process. You must submit the verifications required by this paragraph (c) to the appropriate District Manager and Regional Supervisor before you begin any operations in an HPHT environment with the proposed equipment.
(d) Once every 12 months, you must submit a Mechanical Integrity Assessment Report for a subsea BOP, a BOP being used in an HPHT environment as defined in § 250.807, or a surface BOP on a floating facility. This report must be completed by a BAVO. You must submit this report to the Chief, Office of Offshore Regulatory Programs; Bureau of Safety and Environmental Enforcement; 45600 Woodland Road, Sterling, VA 20166. This report must include:
(1) A determination that the BOP stack and system meets or exceeds all BSEE regulatory requirements, industry standards incorporated into this subpart, and recognized engineering practices.
(2) Verification that complete documentation of the equipment's service life exists that demonstrates that the BOP stack has not been compromised or damaged during previous service.
(3) A description of all inspection, repair and maintenance records reviewed, and verification that all repairs, replacement parts, and maintenance meet regulatory requirements, recognized engineering practices, and OEM specifications.
(4) A description of records reviewed related to any modifications to the equipment and verification that any such changes do not adversely affect the equipment's capability to perform as designed or invalidate test results.
(5) A description of the Safety and Environmental Management Systems (SEMS) plans reviewed related to assurance of quality and mechanical integrity of critical equipment and verification that the plans are comprehensive and fully implemented.
(6) Verification that the qualification and training of inspection, repair, and maintenance personnel for the BOP
(7) A description of all records reviewed covering OEM safety alerts, all failure reports, and verification that any design or maintenance issues have been completely identified and corrected.
(8) A comprehensive assessment of the overall system and verification that all components (including mechanical, hydraulic, electrical, and software) are compatible.
(9) Verification that documentation exists concerning the traceability of the fabrication, repair, and maintenance of all critical components.
(10) Verification of use of a formal maintenance tracking system to ensure that corrective maintenance and scheduled maintenance is implemented in a timely manner.
(11) Identification of gaps or deficiencies related to inspection and maintenance procedures and documentation, documentation of any deferred maintenance, and verification of the completion of corrective action plans.
(12) Verification that any inspection, maintenance, or repair work meets the manufacturer's design and material specifications.
(13) Verification of written procedures for operating the BOP stack and Lower Marine Riser Package (LMRP) (including proper techniques to prevent accidental disconnection of these components) and minimum knowledge requirements for personnel authorized to operate and maintain BOP components.
(14) Recommendations, if any, for how to improve the fabrication, installation, operation, maintenance, inspection, and repair of the equipment.
(e) You must make all documentation that supports the requirements of this section available to BSEE upon request.
(a) When you drill or conduct operations with a surface BOP stack, you must install the BOP system before drilling or conducting operations to deepen the well below the surface casing and after the well is deepened below the surface casing point. The surface BOP stack must include at least four remote-controlled, hydraulically operated BOPs, consisting of one annular BOP, one BOP equipped with blind shear rams, and two BOPs equipped with pipe rams.
(1) The blind shear rams must be capable of shearing at any point along the tubular body of any drill pipe (excluding tool joints, bottom-hole tools, and bottom hole assemblies that include heavy-weight pipe or collars), workstring, tubing provided that the capability to shear tubing with exterior control lines is not required prior to April 30, 2018, and any electric-, wire-, and slick-line that is in the hole and sealing the wellbore after shearing. If your blind shear rams are unable to cut any electric-, wire-, or slick-line under MASP as defined for the operation and seal the wellbore, you must use an alternative cutting device capable of shearing the lines before closing the BOP. This device must be available on the rig floor during operations that require their use.
(2) The two BOPs equipped with pipe rams must be capable of closing and sealing on the tubular body of any drill pipe, workstring, and tubing under MASP, as defined for the operation, except for tubing with exterior control lines and flat packs, a bottom hole assembly that includes heavy-weight pipe or collars, and bottom-hole tools.
(b) If you plan to use a surface BOP on a floating production facility you must:
(1) For BOPs installed after April 29, 2019, follow the BOP requirements in § 250.734(a)(1).
(2) For risers installed after July 28, 2016, use a dual bore riser configuration before drilling or operating in any hole section or interval where hydrocarbons are, or may be, exposed to the well. The dual bore riser must meet the design requirements of API RP 2RD (as incorporated by reference in § 250.198), including appropriate design for the maximum anticipated operating and environmental conditions.
(i) For a dual bore riser configuration, the annulus between the risers must be monitored for pressure during operations. You must describe in your APD or APM your annulus monitoring plan and how you will secure the well in the event a leak is detected.
(ii) The inner riser for a dual riser configuration is subject to the requirements at § 250.721 for testing the casing or liner.
(c) You must install separate side outlets on the BOP stack for the kill and choke lines. If your stack does not have side outlets, you must install a drilling spool with side outlets. The outlet valves must hold pressure from both directions.
(d) You must install a choke and a kill line on the BOP stack. You must equip each line with two full-bore, full-opening valves, one of which must be remote-controlled. On the kill line, you may install a check valve and a manual valve instead of the remote-controlled valve. To use this configuration, both manual valves must be readily accessible and you must install the check valve between the manual valves and the pump.
(a) When you drill or conduct operations with a subsea BOP system, you must install the BOP system before drilling to deepen the well below the surface casing or before conducting operations if the well is already deepened beyond the surface casing point. The District Manager may require you to install a subsea BOP system before drilling or conducting operations below the conductor casing if proposed casing setting depths or local geology indicate the need. The following table outlines your requirements.
(b) If operations are suspended to make repairs to any part of the subsea BOP system, you must stop operations at a safe downhole location. Before resuming operations you must:
(1) Submit a revised permit with a verification report from a BAVO documenting the repairs and that the BOP is fit for service;
(2) Upon relatch of the BOP, perform an initial subsea BOP test in accordance with § 250.737(d)(4), including deadman. If repairs take longer than 30 days, once the BOP is on deck, you must test in accordance with the requirements of § 250.737; and
(3) Receive approval from the District Manager.
(c) If you plan to drill a new well with a subsea BOP, you do not need to submit with your APD the verifications required by this subpart for the open water drilling operation. Before drilling out the surface casing, you must submit for approval a revised APD, including the verifications required in this subpart.
All BOP systems must include the following associated systems and related equipment:
(a) An accumulator system (as specified in API Standard 53, and incorporated by reference in § 250.198) that provides the volume of fluid capacity (as specified in API Standard 53, Annex C) necessary to close and hold closed all BOP components against MASP. The system must operate under MASP conditions as defined for the operation. You must be able to operate the BOP functions as defined in API Standard 53, without assistance from a charging system, and still have a minimum pressure of 200 psi remaining on the bottles above the pre-charge pressure. If you supply the accumulator regulators by rig air and do not have a secondary source of pneumatic supply, you must equip the regulators with manual overrides or other devices to ensure capability of hydraulic operations if rig air is lost;
(b) An automatic backup to the primary accumulator-charging system. The power source must be independent from the power source for the primary accumulator-charging system. The independent power source must possess sufficient capability to close and hold closed all BOP components under MASP conditions as defined for the operation;
(c) At least two full BOP control stations. One station must be on the rig floor. You must locate the other station in a readily accessible location away from the rig floor;
(d) The choke line(s) installed above the bottom well-control ram;
(e) The kill line must be installed beneath at least one well-control ram, and may be installed below the bottom ram;
(f) A fill-up line above the uppermost BOP;
(g) Locking devices for all BOP sealing rams (i.e., blind shear rams, pipe rams and variable bore rams), as follows:
(1) For subsea BOPs, hydraulic locking devices must be installed on all sealing rams;
(2) For surface BOPs:
(i) Remotely-operated locking devices must be installed on blind shear rams no later than April 29, 2019;
(ii) Manual or remotely-operated locking devices must be installed on pipe rams and variable bore rams; and
(h) A wellhead assembly with a RWP that exceeds the maximum anticipated wellhead pressure.
(a) Your BOP system must include a choke manifold that is suitable for the anticipated surface pressures, anticipated methods of well control, the surrounding environment, and the corrosiveness, volume, and abrasiveness of drilling fluids and well fluids that you may encounter.
(b) Choke manifold components must have a RWP at least as great as the RWP of the ram BOPs. If your choke manifold has buffer tanks downstream of choke assemblies, you must install isolation valves on any bleed lines.
(c) Valves, pipes, flexible steel hoses, and other fittings upstream of the choke manifold must have a RWP at least as great as the RWP of the ram BOPs.
(d) You must use the following BOP equipment with a RWP and temperature of at least as great as the working pressure and temperature of the ram BOP during all operations:
(1) The applicable kelly-type valves as described in API Standard 53 (incorporated by reference in § 250.198);
(2) On a top-drive system equipped with a remote-controlled valve, a strippable kelly-type valve must be installed below the remote-controlled valve;
(3) An inside BOP in the open position located on the rig floor. You must be able to install an inside BOP for each size connection in the pipe;
(4) A drill string safety valve in the open position located on the rig floor. You must have a drill-string safety valve available for each size connection in the pipe;
(5) When running casing, a safety valve in the open position available on the rig floor to fit the casing string being run in the hole;
(6) All required manual and remote- controlled kelly-type valves, drill-string safety valves, and comparable-type valves (i.e., kelly-type valve in a top-drive system) that are essentially full opening; and
(7) A wrench to fit each manual valve. Each wrench must be readily accessible to the drilling crew.
Your BOP system (this includes the choke manifold, kelly-type valves, inside BOP, and drill string safety valve) must meet the following testing requirements:
(a)
(1) When installed;
(2) Before 14 days have elapsed since your last BOP pressure test, or 30 days since your last blind shear ram BOP pressure test. You must begin to test your BOP system before midnight on the 14th day (or 30th day for your blind shear rams) following the conclusion of the previous test;
(3) Before drilling out each string of casing or a liner. You may omit this pressure test requirement if you did not remove the BOP stack to run the casing string or liner, the required BOP test pressures for the next section of the hole are not greater than the test pressures for the previous BOP test, and the time elapsed between tests has not exceeded 14 days (or 30 days for blind shear rams). You must indicate in your APD which casing strings and liners meet these criteria;
(4) The District Manager may require more frequent testing if conditions or your BOP performance warrant.
(b)
(c)
(d)
(e) Prior to conducting any shear ram tests in which you will shear pipe, you must notify the District Manager at least 72 hours in advance, to ensure that a BSEE representative will have access to the location to witness any testing.
The table in this section describes actions that you must take when certain situations occur with BOP systems.
(a) You must maintain and inspect your BOP system to ensure that the equipment functions as designed. The BOP maintenance and inspections must meet or exceed any OEM recommendations, recognized engineering practices, and industry standards incorporated by reference into the regulations of this subpart, including API Standard 53 (incorporated by reference in § 250.198). You must document how you met or exceeded the provisions of API Standard 53, maintain complete records to ensure the traceability of BOP stack equipment beginning at fabrication, and record the results of your BOP inspections and maintenance actions. You must make all records available to BSEE upon request.
(b) A complete breakdown and detailed physical inspection of the BOP and every associated system and component must be performed every 5 years. This complete breakdown and inspection may be performed in phased intervals. You must track and document all system and component inspection dates. These records must be available on the rig. A BAVO is required to be present during each inspection and must compile a detailed report documenting the inspection, including descriptions of any problems and how they were corrected. You must make these reports available to BSEE upon request. This complete breakdown and inspection must be performed every 5 years from the following applicable dates, whichever is later:
(1) The date the equipment owner accepts delivery of a new build drilling rig with a new BOP system;
(2) The date the new, repaired, or remanufactured equipment is initially installed into the system; or
(3) The date of the last 5 year inspection for the component.
(c) You must visually inspect your surface BOP system on a daily basis. You must visually inspect your subsea BOP system, marine riser, and wellhead at least once every 3 days if weather and sea conditions permit. You may use cameras to inspect subsea equipment.
(d) You must ensure that all personnel maintaining, inspecting, or repairing BOPs, or critical components of the BOP system, are trained in accordance with applicable training requirements in subpart S of this part, any applicable OEM criteria, recognized engineering practices, and industry standards incorporated by reference in this subpart.
(e) You must make all records available to BSEE upon request. You must ensure that the rig unit owner maintains the BOP maintenance, inspection, and repair records on the rig unit for 2 years from the date the records are created or for a longer period if directed by BSEE. You must ensure that all equipment schematics, maintenance, inspection, and repair records are located at an onshore location for the service life of the equipment.
You must keep a daily report consisting of complete, legible, and accurate records for each well. You must keep records onsite while well operations continue. After completion of operations, you must keep all operation and other well records for the time periods shown in § 250.741 at a location of your choice, except as required in § 250.746. The records must contain complete information on all of the following:
(a) Well operations, all testing conducted, and any real-time
(b) Descriptions of formations penetrated;
(c) Content and character of oil, gas, water, and other mineral deposits in each formation;
(d) Kind, weight, size, grade, and setting depth of casing;
(e) All well logs and surveys run in the wellbore;
(f) Any significant malfunction or problem; and
(g) All other information required by the District Manager as appropriate to ensure compliance with the requirements of this section and to enable BSEE to determine that the well operations are consistent with conservation of natural resources and protection of safety and the environment on the OCS.
You must keep records for the time periods shown in the following table.
You must submit to BSEE copies of logs or charts of electrical, radioactive, sonic, and other well logging operations; directional and vertical well surveys; velocity profiles and surveys; and analysis of cores. Each Region will provide specific instructions for submitting well logs and surveys.
(a) For operations in the BSEE Gulf of Mexico (GOM) OCS Region, you must submit Form BSEE-0133, Well Activity Report (WAR), to the District Manager on a weekly basis. The reporting week is defined as beginning on Sunday (12 a.m.) and ending on the following Saturday (11:59 p.m.). This reporting week corresponds to a week (Sunday through Saturday) on a standard calendar. Report any well operations that extend past the end of this weekly reporting period on the next weekly report. The reporting period for the weekly report is never longer than 7 days, but could be less than 7 days for the first reporting period and the last reporting period for a particular well operation. Submit each WAR and accompanying Form BSEE-0133S, Open Hole Data Report, to the BSEE GOM OCS Region no later than close of business on the Friday immediately after the closure of the reporting week. The District Manager may require more frequent submittal of the WAR on a case-by-case basis.
(b) For operations in the Pacific or Alaska OCS Regions, you must submit Form BSEE-0133, WAR, to the District Manager on a daily basis.
(c) The WAR must include a description of the operations conducted, any abnormal or significant events that affect the permitted operation each day within the report from the time you begin operations to the time you end operations, any verbal approval received, the well's as-built drawings, casing, fluid weights, shoe tests, test pressures at surface conditions, and any other information concerning well activities required by the District Manager. For casing cementing operations, indicate type of returns (i.e., full, partial, or none). If partial or no returns are observed, you must indicate how you determined the top of cement. For each report, indicate the operation status for the well at the end of the reporting period. On the final WAR, indicate the status of the well (completed, temporarily abandoned, permanently abandoned, or drilling suspended) and the date you finished such operations.
(a) Within 30 days after completing operations, except routine operations as defined in § 250.601, you must submit Form BSEE-0125, End of Operations Report (EOR), to the District Manager. The EOR must include: a listing, with top and bottom depths, of all hydrocarbon zones and other zones of porosity encountered with any cored intervals; details on any drill-stem and formation tests conducted; documentation of successful negative pressure testing on wells that use a subsea BOP stack or wells with mudline suspension systems; and an updated schematic of the full wellbore configuration. The schematic must be clearly labeled and show all applicable top and bottom depths, locations and sizes of all casings, cut casing or stubs, casing perforations, casing rupture discs (indicate if burst or collapse and rating), cemented intervals, cement plugs, mechanical plugs, perforated zones, completion equipment, production and isolation packers, alternate completions, tubing, landing nipples, subsurface safety devices, and any other information required by the District Manager regarding the end of well operations. The EOR must indicate the status of the well (completed, temporarily abandoned, permanently abandoned, or drilling suspended) and the date of the well status designation. The well status date is subject to the following:
(1) For surface well operations and riserless subsea operations, the operations end date is subject to the discretion of the District Manager; and
(2) For subsea well operations, the operations end date is considered to be the date the BOP is disconnected from the wellhead unless otherwise specified by the District Manager.
(b) You must submit public information copies of Form BSEE-0125 according to § 250.186(b).
The District Manager or Regional Supervisor may require you to submit copies of any or all of the following well records:
(a) Well records as specified in § 250.740;
(b) Paleontological interpretations or reports identifying microscopic fossils by depth and/or washed samples of drill cuttings that you normally maintain for paleontological determinations. The Regional Supervisor may issue a Notice to Lessees that sets forth the manner, timeframe, and format for submitting this information;
(c) Service company reports on cementing, perforating, acidizing, testing, or other similar services; or
(d) Other reports and records of operations.
You must record the time, date, and results of all casing and liner pressure tests. You must also record pressure tests, actuations, and inspections of the BOP system, system components, and marine riser in the daily report described in § 250.740. In addition, you must:
(a) Record test pressures on pressure charts or digital recorders;
(b) Require your onsite lessee representative, designated rig or contractor representative, and pump operator to sign and date the pressure charts or digital recordings and daily reports as correct;
(c) Document on the daily report the sequential order of BOP and auxiliary equipment testing and the pressure and duration of each test. For subsea BOP systems, you must also record the closing times for annular and ram BOPs. You may reference a BOP test plan if it is available at the facility;
(d) Identify on the daily report the control station and pod used during the test (identifying the pod does not apply to coiled tubing and snubbing units);
(e) Identify on the daily report any problems or irregularities observed during BOP system testing and record actions taken to remedy the problems or irregularities. Any leaks associated with the BOP or control system during testing must be documented in the WAR. If any problems that cannot be resolved promptly are observed during testing, operations must be suspended until the District Manager determines that you may continue; and
(f) Retain all records, including pressure charts, daily reports, and referenced documents pertaining to tests, actuations, and inspections at the rig unit for the duration of the operation. After completion of the operation, you must retain all the records listed in this section for a period of 2 years at the rig unit. You must also retain the records at the lessee's field office nearest the facility or at another location available to BSEE. You must make all the records available to BSEE upon request.
Well-control drills must be conducted for each drilling crew in accordance with the requirements set forth in § 250.711 or as approved by the District Manager.
The revisions and addition read as follows:
(b) Permanently plug all wells. Permanently installed packers and bridge plugs must comply with API Spec. 11D1 (as incorporated by reference in § 250.198);
(e) Clear the seafloor of all obstructions created by your lease and pipeline right-of-way operations;
(f) Follow all applicable requirements of subpart G of this part; and
The revision and addition read as follows:
The revision reads as follows:
(a) * * *
Environmental Protection Agency (EPA).
Final rule.
This action finalizes the federal plan for existing sewage sludge incineration (SSI) units. This final action implements the Environmental Protection Agency's (EPA) emission guidelines (EG) adopted on March 21, 2011, in states that do not have an approved state plan implementing the EG in place by the effective date of this federal plan. The federal plan will result in emissions reductions of certain pollutants from all affected units covered.
The effective date of this rule is May 31, 2016. The incorporation by reference (IBR) of certain publications listed in the rule is approved by the Director of the Federal Register as of May 31, 2016.
The EPA has established a docket for this action under Docket ID No. EPA-HQ-OAR-2012-0319. The EPA previously established a docket for the March 21, 2011, original SSI new source performance standards (NSPS) and EG under Docket ID No. EPA-HQ-OAR-2009-0559. All documents in these dockets are listed on the World Wide Web (www),
Ms. Amy Hambrick, Fuels and Incineration Group, Sector Policies and Programs Division (E143-05), Environmental Protection Agency, Research Triangle Park, North Carolina 27711; telephone number: (919) 541-0964; fax number: (919) 541-3470; email address:
This table is not intended to be exhaustive, but rather provides a general guide for identifying entities likely to be affected by the final action. To determine whether a facility would be affected by this action, please examine the applicability criteria in 40 CFR 62.15855 through 62.15870 of subpart LLL being finalized here. Questions regarding the applicability of this action to a particular entity should be directed to the person listed in the preceding
In addition to being available in the docket, an electronic copy of the final action is available on the Internet through the Technology Transfer Network (TTN) Web site. Following signature by the Administrator, the EPA will post a copy of this final action at
Under CAA section 307(b)(1), judicial review of this final rule is available only by filing a petition for review in the U.S. Court of Appeals for the District of Columbia Circuit (the Court) by June 28, 2016.
Section 129 of the CAA, titled, “Solid Waste Combustion,” requires the EPA to develop and adopt standards for solid waste incineration units pursuant to CAA sections 111 and 129. On March 21, 2011, the EPA promulgated NSPS and EG for SSI units located at wastewater treatment facilities designed to treat domestic sewage sludge. See 76 FR 15372. Codified at 40 CFR part 60, subparts LLLL and MMMM, respectively, these final rules set limits for nine pollutants under section 129 of the CAA: Cadmium (Cd), carbon monoxide (CO), hydrogen chloride (HCl), lead (Pb), mercury (Hg), nitrogen oxides (NO
Sections 111(b) and 129(a) of the CAA address emissions from new units (
Section 129(b)(2) of the CAA directs states with existing SSI unit(s) subject to the EG to submit plans to the EPA that implement and enforce the EG. The deadline for states to submit state plans to the EPA for review was March 21, 2012.
On August 20, 2013, the Court remanded portions of the 2011 SSI rule for further explanation.
Section 129 of the CAA calls upon states as the preferred implementers of the EG for existing SSI units. States with existing SSI units were to submit to the EPA within 1 year (by March 21, 2012) following promulgation of the EG state plans that are at least as protective as the EG. Sections 111 and 129 of the CAA and 40 CFR 60.27(c) and (d) require the EPA to develop, implement and enforce a federal plan within 2 years following promulgation of the EG for sources in states which have not submitted an approvable plan (by March 21, 2013). The EPA is finalizing the SSI federal plan now so that a promulgated federal plan will go into place for any such states, thus ensuring implementation and enforcement of the SSI EG.
States without any existing SSI units are directed to submit to the Administrator a letter of negative declaration certifying that there are no SSI units in the state. No plan is required for states that do not have any SSI units. SSI units located in states that mistakenly submit a letter of negative declaration would be subject to the federal plan until a state plan regulating those SSI units becomes approved. State plans that have been submitted to implement the March 21, 2011, EG, have either been approved or are
Incineration of sewage sludge causes the release of a wide array of air pollutants, some of which exist in the waste feed material and are released unchanged during combustion, and some of which are generated as a result of the combustion process itself.
Sections 111(d) and 129(b)(3) of the CAA, 42 U.S.C. 7411(d) and 7429(b)(3), authorize and require the EPA to develop and implement a federal plan for SSI units located in states with no approved and effective state plan. Table 2 below lists states and territories that have an EPA-approved plan in effect on the date this final federal plan is signed by the EPA Administrator. Additionally, Table 2 lists states and local agencies that submitted negative declarations and or those which the EPA anticipates taking delegation of the federal plan.
As the EPA regional offices approve implementation plans, they will also, in the same action, amend the appropriate subpart of 40 CFR part 62 to codify their approvals. The EPA will maintain a list of implementation plan submittals and approvals on the TTN Air Toxics Web site at
Sewage sludge incinerator owners and operators can also contact the EPA regional office for the state in which their SSI units are located to determine whether there is an approved and effective state plan in place. Table 3 lists the names, email addresses and telephone numbers of the EPA regional office contacts and the states and territories that they cover.
Sections 111(d) and 129 of the CAA, as amended, 42 U.S.C. 7411(d) and 7429(b)(2), require states to develop and implement state plans for SSI units to implement and enforce the promulgated EG. Accordingly, subpart MMMM of 40 CFR part 60 requires states to submit state plans that include specified elements. Because this federal plan takes the place of state plans, where approved state plans are not effective, it includes the same essential elements: (1) Identification of legal authority and mechanisms for implementation; (2) inventory of SSI units; (3) emissions inventory; (4) compliance schedules; (5) emissions limits and operating limits; (6) operator training and qualification; (7) testing, monitoring, recordkeeping and reporting; (8) public hearing; and (9) progress reporting. See 40 CFR part 62, subpart LLL, and sections 111 and 129 of the CAA. Each element was discussed in detail as it relates to the federal plan in the preamble of the proposed rule (80 FR 23406). The EPA received a total of ten unique public comment letters. A summary of these comments and the EPA's responses is presented in section IV, “Summary of Changes Since Proposal and Response to Public Comments” of this preamble.
The term “SSI” means any unit
The combustion of sewage sludge that is not burned in an SSI unit located at a wastewater treatment facility designed to treat domestic sewage sludge may be subject to other standards under the CAA.
The federal plan would apply to the owner or operator of an existing SSI unit that was constructed on or before October 14, 2010, and that is not already regulated by an approved and effective state plan as of the effective date in this notice.
This action will not preclude states from submitting a state plan at a later time. If a state submits a plan after the promulgation of the SSI federal plan, the EPA will review and approve or disapprove the state plan.
Part 62 of title 40 of the CFR identifies the status of approval and promulgation of CAA section 111(d) and CAA section 129(b) state plans for designated facilities in each state. However, 40 CFR part 62 is updated only once per year. Thus, if 40 CFR part 62 does not indicate that a state has an approved and effective plan, please contact the state environmental agency's air director or the EPA's regional office (see Table 3 in section II.C of this preamble) to determine if approval occurred since publication of the most recent version of 40 CFR part 62.
This rule will be finalized as proposed except where the EPA revised the regulatory text to make certain clarifications. After consideration of all the public comments received, in the response to public comments below, the EPA clarified the compliance date, operator training requirements, the federal plan delegation process, certain performance monitoring and testing provisions, status of state plan submittals, and the inventory of units. The EPA received a total of ten unique public comment letters on the proposed federal plan rulemaking. (Note, one letter was inadvertently duplicated and submitted to the docket.
The EPA believes that it is critical to highlight that the final compliance date remains, as proposed, March 21, 2016. Commenters raised concerns that the two proposed pathways for compliance implied that the compliance date was longer than statutorily allowed. Therefore, the EPA removed these pathways in the regulatory text to clarify the final compliance date.
Commenters raised numerous comments on the federal plan's monitoring and testing provisions, most of which the EPA did not propose to revise or otherwise solicit comment on in the proposed federal plan. Section 129 of the CAA requires the EPA to develop a federal plan to assure that existing units are in compliance with the EG. Many of the comments received on the proposed federal plan's monitoring and testing provisions recommended changes to the EG, which are outside the scope of this action. For that reason, we are not making these changes at this time in the federal plan. An example of these changes is adjusting the minimum percent of the maximum permitted capacity during testing, which is currently promulgated in the EG at 85-percent. In the April 27, 2015, federal plan proposal the EPA did solicit comment on a potential revision to this provision.
A full summary of the public comments and responses to the public comments is provided below in section IV.A. of this preamble.
In this section, we provide the EPA's responses to all of the public comments received.
Two commenters (11, 12) specifically request that the EPA revise 40 CFR 62.15875 as follows:
• One (1) year after publication of the final federal plan in the
• For affected sources planning to comply more than one (1) year after the final federal plan, meeting increments of progress for submitting a final control plan within six (6) months after the final federal plan is published and final compliance by two (2) years after the publication of the final federal plan in the
Commenters (11, 12) express concern that, due to the delays from the petitioned SSI reconsideration and the federal plan development, the federal plan will negatively affect utilities' efforts to plan for compliance. Another commenter (14) reiterates this concern notably for smaller to mid-size wastewater utilities. The commenter (14) further highlights the short window for compliance and that facilities will likely have to take further regulatory action in areas such as greenhouse gas emissions, industrial pretreatment, anti-terrorism safeguards, and nutrient removal in addition to the numerous other rules and requirements that they are currently required to follow. The commenter states the financial impact this regulation has already had on its facility (estimated at $45,000 for administration and reporting, $25,000 for fees, $65,000 for third-party audits, and $50,000 for a compilation of reports for state and federal agency reporting) and anticipates ongoing cost to ratepayers. A separate commenter (12) asks that the final federal plan contain a mechanism modeled on the provisions at 40 CFR 62.14536, which allow operators to petition for compliance extensions on a case-by-case basis.
Therefore, the EPA is revising the final rule to require that all SSI unit owners or operators submit a final control plan and achieve final compliance by March 21, 2016. The EPA has concluded that most facilities already have a final control plan in place and know what measures they are required to take in order to achieve compliance.
The EPA disagrees with the commenter's suggested framework for allowing facilities to achieve final compliance up to 2 years after the publication of the final federal plan in the
The EPA disagrees with using a mechanism modeled on the provision at 40 CFR 62.14536 as there is no statutory authority under CAA section 129 for providing compliance extensions (
Other commenters (11, 12) express appreciation of the EPA's flexibility on who can administer the SSI operator training program and the examination. Commenter (12) requests that the EPA verify its interpretation of the operator training requirements. Specifically, the commenter raises that, based on email correspondence with the EPA, they understand that the proposed operator training requirements mean that a third-party or utility could develop a training program and exam and it need not be approved by the state or the EPA as long as it meets the requirements in 40 CFR 62.15920(c). The commenter states that they understand that this interpretation is only with respect to states that do not have approved state plans in place and that, once a state plan is approved by the EPA, upon the effective date of a state plan, the federal plan would no longer apply as of the effective date of a state plan. Any operator training requirements would have to comply with the state plan.
Another commenter (14) is concerned that it will be difficult to meet the operator training requirements when no state training program exists.
Section 62.15920(b) of 40 CFR part 62 clearly states that there are two options for complying with the operator training requirements. The first option is to obtain training and qualification through a state-approved program. The second option is to obtain training and qualification through completing an incinerator operator training course that includes at a minimum the topics listed in 40 CFR 62.15920(c). The rule further requires operators to complete an examination designed and administered by the state-approved program or an instructor administering the training topics listed in the rule. The rule also states that operators are required to conduct initial training and annual refresher trainings in addition to retaining documentation on-site of completed operator training. The EPA provides the following examples of how a training and examination program could work in order to comply with the requirements:
• Example 1: A third party administers an SSI operator training course and examination. The training course and examination syllabus cover the topics as described in 40 CFR 62.15920(c).
• Example 2: An affected SSI facility with necessary technical expertise administers an “in-house” SSI operator training course and examination. The training course and examination syllabus cover the topics as described in 40 CFR 62.15920(c).
• Example 3: SSI operators complete an SSI operator training course and examination through a state-approved training program (
The EPA further clarifies that “state approved training program” is not a “state implementation plan”. The EPA recognizes that different states may have their own requirements for professional trainers in their states even if they do not have a state implementation plan in place. SSI unit owners and operators are encouraged to contact their state to find out if their state has its own requirements for trainers. Once a state plan is approved by the EPA, upon the effective date of a state plan, the federal plan would no longer apply to SSIs in that state. The state or local agency would implement and enforce the approved state plan in lieu of the federal plan and operator training requirements would have to conform with the state plan.
As the EPA discussed in the federal plan proposal, we will not address comments on the underlying SSI EG, since those comments address issues
Commenters (12 and 18) provide the example that an SSI unit with a higher feed rate will have a higher air flow and, therefore, a higher pressure drop; pressure drop is one of the operating parameters that must be established. Under normal feed rates, SSIs will have lower air flows and lower pressure drops. They state that it may be necessary for some utilities attempting to achieve combustion zone temperature limits established for higher loading conditions to use auxiliary fuel to artificially increase bed temperature to meet the operating limit at lower loading conditions.
Commenters (12 and 18) discuss that it is not practical or economical for many SSIs to maintain a level of 85-percent during normal operations in order to ensure that operating parameters set at this level are consistently met. The commenters discuss that operation at this higher level will require frequent start/stop cycles, which accelerates the thermal aging of the system, shortens the useful life of the unit, results in highly variable feed composition, and uses more auxiliary fuel for stable operation. The commenters believe that these adverse impacts further increase the operating cost and adversely impact emissions from SSIs due to excessive fuel use and increased frequency of startup and shutdown modes. In other words, this would result in increased energy consumption and greenhouse gas emissions.
One commenter (12) explains that some SSI facilities have had to store sludge for extended periods of time to accumulate enough material to meet this requirement, as many SSIs routinely operate significantly below their maximum permitted capacity. If an operating facility has to store sludge to meet the 85-percent feed rate, the characteristics of the sludge will change, resulting in different operating requirements and performance for stored sludge than non-stored sludge processed during average conditions. The commenter further explains that many utilities simply do not generate enough sludge to burn at 85-percent of permitted capacity consistently. The commenter describes how sludge is fed at a rate to maintain a specific and narrow combustion temperature range. Variations in sludge composition will vary the feed rate as the commenter describes. During one SSI facility's recent performance test run, the sludge's percent volatile solids and British Thermal Unit (BTU) content were significantly higher than normal, which resulted in feed rates less than 85-percent as the SSI's BTU input capacity was reached. In other cases, SSI units have not been able to maintain feed rates at 85-percent of their permitted maximum capacity and also maintain other operating conditions during testing, resulting in test runs that do not meet the regulatory requirements (
One commenter (12) reminds the EPA of their comments submitted on the October 14, 2010, proposal of the EG and NSPS (75 FR 63260) in which they stated that EPA's assumption that SSIs operate at 75-percent of the rated capacity was too high and that the EPA needed to consider other options.
Commenter (11) discusses that their unit is rated by the manufacturer at a sludge feed rate of 2.0 dry-tons-per-hour. The rating was based on assumptions during its design, including volatile solids percentage in sludge. The commenter states that the SSI unit has never achieved the design sludge feed rate, much in part because the measured volatile solids content has been consistently higher than the design
Commenter (13) recommends that the 85-percent threshold be replaced with a requirement that the minimum feed rate be based on historical operating average. The commenter explains that this suggestion is primarily due to the variability of the sludge feed (
It is important for monitoring equipment to meet minimum specifications in order to return data of known quality. While the monitor may be working, without data of known and satisfactory quality, neither the owner or operator nor the EPA can be assured that the facility is in compliance.
Commenter (13) states that unlike other industries, all of the WESPs located at publicly owned treatment works (POTWs) are preceded by wet scrubbing systems and the gas stream entering the WESP is saturated with moisture. As a result, there is no need to install water sprays prior to the WESP's inlet. The commenter asks whether the use of water sprays in other industries is the reason that the minimum water effluent limit was included in the SSI rules. The commenter explains that unless flushing water is being utilized, the water effluent flow rate recorded during the performance test will only consist of a small amount of moisture that has been carried over from the wet scrubbers and the condensation that occurs within the WESP. A number of POTWs combine the effluent from their wet scrubbers and WESPs into a single pipe, making it almost impossible to accurately measure the WESP water effluent. The commenter requests that POTWs be allowed to monitor the WESP's flushing water inflow in lieu of measuring the WESP's effluent, if this requirement is retained in the final federal plan.
Commenter (12) states that the rule requires a minimum water flow rate for the WESP in gallons-per-minute (gpm), just like the scrubber water flow rate. Scrubber water, however, flows continuously while WESPs are only flushed once every 6 hours. Since the flushing water is not continuous, SSI unit owners and operators have difficulty developing a minimum flow rate. In addition, a WESP gravity effluent pipe with a diameter of 4 inches or 6 inches, necessary to avoid clogging in some configurations, is too large for a meter to accurately measure the low rate of flow. In some cases, WESP effluent flows into a common drain pipe where backflow into the drain can affect the accuracy of the reading. One SSI unit owner/operator requests that they be allowed to measure the water feed to the WESP, instead of measuring the flow at the outlet of the WESP. The influent flow rate will be greater than or equal to the effluent rate due to possible evaporation within the unit. However, the commenter has a more basic question as to why the rule requires a minimum WESP effluent water flow rate as a site-specific operating parameter. Based on the information the commenter has collected, water flow does not change the WESP's collection efficiency. In fact, at some times, there can be more water draining out of the WESP then is being added to it. The exception is when flushing occurs, which is due to the condensation of the moisture in the exhaust gases that have been saturated in the wet scrubbers. The commenter requests clarification on this topic in the final federal plan.
Similarly, another commenter (16) believes that 40 CFR 62.15985 as proposed is impractical. The commenter states that 40 CFR 62.15985 indicates that water flow rate at the outlet of the WESP must be monitored. The commenter remarks that water usage by the WESP is intermittent and at many times too minimal for a mag-meter of the size necessary on the effluent pipe to accurately measure. A pressurized influent pipe supplying water to the WESP is much smaller, improving the accuracy of the mag-meter. The commenter describes that a WESP gravity effluent pipe with a diameter of 4 inches to 6 inches, necessary to avoid clogging, is too large for a mag-meter to accurately measure the low rate of flow.
Commenter (13) references EPA guidance document for “Compliance Assurance Monitoring” (CAM) that covered WESPs used for particulate matter control; voltage was listed as the prime and only measurement for compliance monitoring. The commenter states that this document also acknowledged that wash water is only used on an intermittent basis and results
First, commenters note that the lowest 4-hour average effluent water flow rate at the outlet of the WESP, recorded during the most recent performance test demonstrating compliance with the PM, Pb, and Cd limits, becomes the WESP's minimum water effluent flow rate, but that the regulation only requires three 1-hour performance test runs, which means that the minimum water effluent flow rate will actually be the lowest 1-hour average. The EPA notes that the regulation requires a minimum sample volume for each test run, not a minimum sample time. It is possible that some performance tests for PM and metals may not require 4 hours in total to achieve the minimum sample volume for the three runs. However, because the operating parameters must be set based on a 4-hour average from the performance test, the EPA has concluded that it is necessary to test for at least 4 hours (in total, not per run), even if this means collecting more than the minimum sample volume prescribed in the rule.
Second, the EPA is clarifying why effluent water flow is an appropriate operating parameter for a WESP and why it accurately reflects a WESP's ability to efficiently collect PM. All ESPs operate under the principle that opposite charges exist between the plates and the particles. When the plates become too caked with collected particles, there will no longer be enough pull from the plates to attract the particles from the incoming gas stream. The plates must be continuously or intermittently (at regular intervals) washed to maintain the attraction. In some situations, either influent or effluent water flow can provide an adequate indicator of performance. However, as one commenter noted, sometimes the influent flow rate is maintained at greater than or equal to the effluent rate due to possible evaporation within the unit. In this type of situation, it is important to monitor the effluent flow rather than the influent flow. If the water evaporates and does not make it all the way through the system and does not clean all of the plate surfaces, than the water flow is not adequate, but this would not be reflected if measuring inlet flow rate. Further, the commenter's assertion that the EPA's CAM guidance lists voltage as the prime and only measurement for compliance monitoring is incorrect. The CAM guidance is meant only to provide examples for operating parameters for different control devices; it is not meant to be all inclusive. However, the second example for WESP in the CAM guidance lists three different monitoring parameters: secondary voltage, quench inlet temperature, and WESP outlet temperature. The WESP outlet temperature measurement serves as an indicator of water flow through the system, thereby demonstrating that even in the CAM guidance the EPA has acknowledged the importance of water flow in a WESP.
The EPA also reminds commenters that if a particular operating parameter is inappropriate for their site-specific configuration, under 40 CFR 62.16050, 40 CFR 60.8 and 60.13 the facility may submit an alternative monitoring plan to the appropriate EPA regional office.
While 40 CFR part 60, subpart MMMM, do not provide for the plus or minus 30-percent allowance that is in 40 CFR part 60, subpart O, the EPA notes that the operating parameter averaging times in subpart MMMM are much longer than the averaging times in subpart O. This is meant to account for the short-term fluctuations in the operating parameter readings and serves a similar purpose to the 30-percent allowance. The EPA does not think that providing the 30-percent allowance on top of the long averaging times is appropriate for ensuring continuous compliance.
Section 62.15985 of 40 CFR part 62 describes how operating limits are established and Table 4 of the federal plan regulatory text describes how to demonstrate compliance with operating parameters limits. For example, minimum combustion chamber temperature is equal to the lowest 4-hour average combustion chamber temperature during the performance test. This is likely the combustion chamber measured over one test run, as the test run for dioxins and furans is likely to last around 4 hours. If this 4-hour average is 1,802 degrees Fahrenheit, the limit is 1,802 degrees Fahrenheit, not 1,800 degrees Fahrenheit. On a continuous basis, the combustion temperature would be measured and recorded at least once every 15 minutes, and those data would be used to calculate hourly arithmetic averages. The hourly average would then be used to calculate a 12-hour block average. The 12-hour block average would be compared to the lowest 4-hour average recorded during the test (1,802 degrees Fahrenheit in this example) to determine compliance. Compliance with the other operating parameter limits are demonstrated similarly according to the specific timeframes noted in 40 CFR 62.15985 and Table 4 for each operating parameter.
The commenter (16) further identified that 40 CFR 62.15970 appears to conflict with 40 CFR 62.15955. Section 62.15970 of 40 CFR part 62 reads, “emission limits and standards apply at all times and during period of malfunction.” Section 62.15955 of 40 CFR part 62 includes the proviso “at all times the unit is operating.” The commenter interprets the statement, “at all times” as written in 40 CFR 62.15970 to conflict with the implication in 40 CFR 62.15955 that emissions limits and standards apply to a bypass stack while sewage sludge is in the combustion chamber. The commenter points out that the term “operating” as used in the proposed federal plan is not defined. The commenter asks the EPA to clarify if the term “operating” is the period of time when sludge is being combusted in the incinerator, or is the term to mean any period of time that burners are on in the incinerator, regardless of whether or not sludge is being combusted. The commenter also points out that the term “operating limits” is used in the regulations, but the definition of “operating” is not clearly defined.
Similarly, the commenter cites a discussion at 80 FR 23411, which states that “any incident of deviation, resumed operation following shutdown, force majeure . . . are required to be reported to the Administrator.” The commenter reiterates that the term “shut-down” is defined as “the period of time after all sewage sludge has been combusted in the primary chamber.” The commenter explains that it is common practice for an SSI facility to run out of sludge to incinerate, and is therefore “shutdown” on a regular basis, either weekly or possibly more frequently until they have enough sludge to incinerate. The commenter asks the EPA to clarify whether this discussion in the preamble of the federal plan proposal means that each time an SSI facility runs out of sludge and/or temporarily shuts off the sludge feed to the incinerator for operational reasons, and then resumes burning sludge, the Administrator must be notified. The commenter asserts that “shutdown” by definition can exist with the burners on but with no sludge being combusted. The commenters interprets that this could mean that the term “operation” should be defined as any time sludge is being combusted in the incinerator.
The commenter further states that 40 CFR 62.15970 conflicts with their understanding that, during the time when sludge is not being combusted in the incinerator, it is not a deviation if the natural draft damper is open. Section 62.15970 of 40 CFR part 62 states that for determining compliance with the carbon monoxide (CO) concentration limit using CO CEMS, the correction to 7-percent oxygen does not apply during periods of startup or shutdown. Use the measured CO concentration without correcting for oxygen concentration in averaging with other CO concentrations (corrected to 7-percent oxygen) to determine the 24-hour average value. The commenter explains that CEMS obtain samples from the main incinerator stack, after pollution control equipment. The CEMS does not sample from the natural draft stack, therefore while the natural draft stack is open the CEMS is in essence sampling ambient air and therefore inclusion of the CO concentrations during these times seems irrelevant. The commenter states that CO is still required to be monitored when sludge is not being combusted in the incinerator during a period of shutdown. The commenter asks EPA to clarify why, if emission limits do not apply when sludge is not being combusted, CO must continue to be monitored, which requires the constant operation of a scrubber, a WESP, and an afterburner to obtain a valid CO reading.
Defining terms in the federal plan that are not defined in the underlying EG is beyond the scope of this rulemaking. CAA section 129 clearly directs the EPA to structure the rule to include monitoring provisions of parameters relating to the operation of the unit and its pollution control equipment. Furthermore, we believe that the term “operating limit” is sufficiently understood by the regulated community. The EPA points out that the federal plan does define the term “operating day” to mean a 24-hour period between 12:00 midnight and the following midnight during which any
Regarding the differing language “at all times when the unit is operating” in 40 CFR 62.15955 and the language “at all times” in 40 CFR 62.15970, we do not believe that the underlying EG intended any significance to this difference. As discussed in the preamble to that rule, we are clear that the emissions limits and standards apply at all times (see 75 FR 63265 and 75 FR 63282).
The EPA is finalizing the notification requirements as proposed to require that sources notify the Administrator following any incident of deviation, force majeure, intent to stop or start use of CMS, and intent of conducting or rescheduling a performance test. EPA clarifies that notification of resumed operation following shutdown as cited by the commenter at 80 FR 23411 is clear in the rule text. Specifically, the notification of resumed operation following shutdown of the unit is in the context of a qualified operator deviation. See 40 CFR 62.15945(b)(i) and (ii), 40 CFR 62.16030(e), and table 6 in the rule. Please note that the rule requires other notifications associated with a unit ceasing operations or going “offline”.
Lastly, 40 CFR 62.15970 clearly states that operating limits only apply when sludge is being combusted including residence time, but the emission limits apply at all times. The definition of bypass stack indicates that the bypass stack's intended purpose is to avoid severe damage to air pollution control devices or other equipment.
A performance evaluation and a calibration are not meant to be the same thing, although a calibration could certainly suffice in lieu of a performance evaluation. The intent of a performance evaluation is to demonstrate that the equipment is still functioning within a specific degree of accuracy. It is akin to performing a calibration check of a CEMS in lieu of performing a CEMS calibration; in the former, the facility would merely show that the CEMS is still within a certain accuracy of a known standard, but the CEMS would not be adjusted in any way. The EPA has not provided specific examples of a pH meter performance evaluation, but one such example is performing a one-point check on a known buffer solution. The facility, in conjunction with the equipment manufacturer should determine the best manner for demonstrating that the pH meter is reading accurately each day.
The commenter states that the proposed federal plan appears to imply that now any SSI unit owner or operator can never shut the induced draft fan off and coast the incinerator in a cool standby condition with the natural draft damper open even if sludge is not being combusted in the SSI. The commenter believes that this is implied because SSI unit owners and operators are directed to average CO at 7-percent oxygen while combusting sludge and with CO while not combusting sludge, to obtain the 24-hour CO average. CO monitoring probes, however, are only installed on the induced draft fan stack, not on the natural draft stack, so in order to obtain the “average” CO reading, the induced draft fan has to be on-line at all times. Further, the commenter believes it is implied that if the induced draft fan is shut off (even when not combusting sludge), this is a reportable deviation that could subject the facility to enforcement action. The commenter further describes that any facility has to be able to shut off the induced draft fan for preventative maintenance, for other scheduled maintenance, and to save fuel without having it considered a deviation or violation. Additionally, the commenter states that it is not practical to run the induced draft fan when first turning on the burners (start-up) after a cold shutdown. The induced draft fan is not sized for cold air, and the temperatures inside the MH incinerator must be raised slowly, in most cases not more than 50 degrees per hour with several extended periods of “soak” that are intended to protect the refractory and brick. Running the induced draft fan during “start-up” from a cold start requires more fuel and requires electricity, and makes it difficult to properly raise temperatures to the proper burning range. However, 40 CFR 62.15970 implies that CO readings must be obtained at all times after start-up, not just when combusting sludge in the SSI. In order to do this, the induced draft fan must be turned on before the burners are even lit.
As the EPA discussed in the proposed federal plan the EG are not directly enforceable; they are only fully implemented when the EPA either approves a state plan or adopts a federal plan that implements and enforces the EG.
The EPA directs states, tribes, and locals that intend to take delegation of the federal plan to submit to the appropriate EPA regional office a written request for delegation of authority.
Agencies that have taken delegation, as well as the EPA, will have responsibility for bringing enforcement actions against sources violating federal plan provisions. Specifically, the proposed federal plan requires that an acceptable delegation request must include the following: a demonstration of adequate resources and legal authority to administer and enforce the federal plan (
Neither the SSI EG nor the proposed federal plan define “state.” “State” is defined in 40 CFR 60.2, however, to mean all non-Federal authorities, including local agencies, interstate associations, and state-wide programs, that have delegated authority to implement: (1) the provisions of the part; and/or (2) the permit program established under part 70 of the chapter. The term state shall have its conventional meaning where clear from the context. Because “state” is not defined in either the SSI EG or proposed federal plan, the broader definition of “state” in 40 CFR 60.2 applies in the SSI federal plan. This is because, as provided in 40 CFR 62.01, all terms not defined therein have the meaning given to them in the CAA and in part 60 of the chapter. Based on the lack of a more specific definition of “state” in the SSI federal plan and the definition of “state” in 40 CFR part 60, we are confirming here that local agencies may directly request delegation of authority to implement the SSI federal plan with respect to sources within their jurisdiction provided they have
The EPA strongly encourages state and local agencies in states that do not submit approvable state plans to request delegation of the federal plan so that they can have primary responsibility for implementing the EG, consistent with the intent of Congress. Approved and effective state plans or delegation of the federal plan is the EPA's preferred outcome because states, tribes, territories, and local agencies not only have the responsibility to carry out the EG, but also have the practical knowledge and enforcement resources critical to achieving the highest rate of compliance. It is generally preferable for state and local agencies to be the implementing agencies. The EPA reiterates that we will do all that we can to expedite delegation of the federal plan to state and local agencies, whenever possible, in cases where states are unable to develop and submit approvable state plans.
The EPA also disagrees that the agency must respond to one commenter's 2014 petition for Reconsideration of the SSI rule, submitted following the NACWA decision, before issuing the federal plan. Nothing in the CAA, and specifically nothing in CAA section 129, suggests that the EPA should postpone promulgation of a rule required to be issued by the CAA by a date certain in order to address a petition for reconsideration. Nor does the commenter point to any such authority. Additionally, the petition at issue requests that the EPA withdraw the SSI rule and instead issue a different rule for SSI units under section 112 of the CAA. The EPA notes that the NACWA decision upheld our authority to regulate SSI units under CAA section 129, against a challenge claiming that the EPA must regulate the units under CAA section 112.
As proposed, this final action does not include an affirmative defense to malfunction events. In the 2011 SSI rule, the EPA included an affirmative defense that provided that civil penalties would not be assessed if a source demonstrated in a judicial or administrative proceeding that it had met certain requirements. However, in 2014 the Court vacated such an affirmative defense in one of the EPA's CAA section 112(d) regulations.
The SSI federal plan requirements are described below. Table 4 lists each element and identifies where it is located or codified.
The EPA finalizes the federal plan applicability requirements as proposed. The federal plan applies to existing SSI units meeting the applicability of 40 CFR 62.15855 through 62.15870 that are located in any state that does not currently have an approved state plan in place by the effective date of this federal plan. Existing SSI units are considered to be all SSI units for which construction commenced on or before October 14, 2010. All SSI units for which construction commenced after October 14, 2010, or for which modification commenced after September 21, 2011, are considered “new” sources subject to NSPS emissions limits (40 CFR part 60, subpart LLLL).
The federal plan requirements apply to owners and operators of SSI units (as defined in 40 CFR 62.16045) located at wastewater treatment facilities designed to treat domestic sewage sludge. Two subcategories are defined for existing units: MH incinerators and FB incinerators. The combustion of sewage sludge that is not burned in an SSI unit located at a wastewater treatment facility designed to treat domestic sewage sludge may be subject to other incineration standards under the CAA.
The EPA finalizes the compliance date as proposed. The final compliance date remains March 21, 2016. However, as discussed in section IV.A. of this preamble, the EPA is revising this section to require that all SSI unit owners or operators submit a final control plan and achieve compliance by March 21, 2016. (See 40 CFR 62.15875 through 62.15915).
The owner or operator must notify the EPA and permitting authority or delegated authority when they have submitted their final control plan and have come into compliance, as well as when and if these requirements are missed. The notification must identify the requirement and the date the requirement is achieved (or missed). If an owner or operator misses the deadline, the owner or operator must also notify the EPA and permitting authority or delegated authority when the requirement is achieved. The owner or operator must submit the notification to the applicable EPA regional office and permitting authority or delegated authority within 10 business days after the date that is defined in the federal plan. (See Table 3 under section II.C. of this preamble for a list of EPA regional offices.)
The definition of each requirement, along with its required completion date, follows.
Consistent with CAA section 129(f)(3), an SSI unit which does not achieve final compliance by March 21, 2016, would be in violation of the federal plan and subject to enforcement action. See Section VI of this preamble which discusses SSI units that have shut down or will shut down. The discussion in those sections includes an explanation of requirements for units if they plan to permanently close, units that have been rendered inoperable, and units that have shut down but plan to restart before or after the compliance date.
The EPA finalizes the emissions and operating limits as proposed. These limits remain the same as the limits in the 2011 EG. Table 5 of this preamble summarizes the EG emissions limits promulgated. Existing sources may comply with either the PCDD/PCDF toxicity equivalence or total mass balance emission limits. These standards apply at all times. Facilities will be required to establish site-specific operating limits derived from the results of performance testing. The site-specific operating limits are established as the minimum (or maximum, as appropriate) operating parameter value measured during the performance test. These operating limits will result in achievable operating ranges that will ensure that the control devices used for compliance will be operated to achieve continuous compliance with the emissions limits. Further discussion on performance testing can be found in section V.D. of this preamble.
The EPA finalizes the performance testing and monitoring provisions as proposed. The following paragraphs list a number of testing and monitoring requirements in the 2011 EG that are being finalized in the SSI federal plan.
The performance testing provisions reflect those in the SSI EG. The federal plan requires all existing SSI units to demonstrate initial and annual compliance with the emission limits using EPA-approved emission test methods. Additionally, there is an option for less frequent testing if sources demonstrate that their emissions of regulated pollutants are below thresholds of the emission limits.
This federal plan requires initial and annual emissions performance tests (or continuous emissions monitoring or continuous sampling as an alternative), bag leak detection systems for fabric filter (FF) controlled units, and continuous parameter monitoring, if they are used to meet the emission limits. All SSI units are also required to conduct initial and annual inspections of air pollution control devices. Additional monitoring includes the Method 22 (see 40 CFR part 60, appendix A-7) visible emissions test of the ash handling operations during each compliance test to demonstrate compliance with the visible emissions limit. For existing SSI units, use of Cd, CO, HCl, NO
The federal plan allows sources to use results of their previous emissions tests to meet the initial compliance performance test requirement if those tests were conducted within the 2 previous years and were conducted
The federal plan incorporates by reference three alternatives to the EPA reference test methods as shown in Table 6 below.
These tests are discussed further in section IX.I. of this preamble, titled “National Technology Transfer and Advancement Act (NTTAA).”
Monitoring of operating limits can be used to indicate whether air pollution control equipment and practices are functioning properly to minimize air pollution. The 2011 EG and the federal plan include the following parameter monitoring requirements for good combustion, wet scrubbers, afterburners, electrostatic precipitators (ESP), activated carbon injection (ACI) or FF:
• All units must establish a minimum operating temperature or afterburner temperature, site-specific operating requirements for fugitive ash, and monitor feed rate and moisture content of the sludge.
• If using a scrubber to comply with the emissions limits for PM, Pb and Cd, continuously monitor minimum pressure drop.
• If using a scrubber to comply with any of the emissions limits, continuously monitor minimum scrubber liquid flow rate.
• If using a scrubber to comply with the emissions limits for SO
• If using an afterburner to comply with the emissions limits, continuously monitor the minimum temperature of the afterburner combustion chamber.
• If using an ESP to comply with PM, Pb and Cd emissions limits, continuously monitor minimum power input to the ESP collection plates. Power input must be calculated as the product of the secondary voltage and secondary amperage to the ESP collection plates. Both the secondary voltage and secondary amperage must be recorded during the performance test.
• If using an ESP to comply with PM, Pb and Cd emissions limits, monitor hourly minimum effluent water flow rate at the outlet of the ESP.
• If using ACI to comply with the emissions limits, monitor hourly minimum Hg sorbent inject rate, minimum PCDD/PCDF sorbent injection rate, and continuously monitor minimum carrier gas flow rate or minimum carrier gas pressure drop for the applicable emission limit.
• If using a FF, install a bag leak detection system and operate the bag leak detection system such that the alarm does not sound more than 5-percent of the operating time during a 6-month period.
• If using something other than a wet scrubber, ESP, ACI, FF or afterburner, petition the Administrator for other site-specific operating parameters, operating limits, and averaging periods to be established during the initial performance test and continuously thereafter.
Owners or operators are not required to establish operating limits for the operating parameters for a control device if a CMS is used to demonstrate compliance with the emissions limits.
The EPA is finalizing as proposed that owners and operators of SSI units are required to submit electronic copies of certain required performance test reports through the EPA's Central Data Exchange (CDX) using the Compliance and Emissions Data Reporting Interface (CEDRI). This mirrors the 2011 EG for SSI units. As stated in the proposed preamble, electronic submittal of the reports addressed in this rulemaking will increase the usefulness of the data contained in those reports, is in keeping with current trends in data availability, will further assist in the protection of public health and the environment and will ultimately result in less burden on the regulated community. Electronic reporting can also eliminate paper-based, manual processes, thereby saving time and resources, simplifying data entry, eliminating redundancies, minimizing data reporting errors and providing data quickly and accurately to the affected facilities, air agencies, the EPA and the public.
As mentioned in the preamble of the proposal, the EPA Web site that stores the submitted electronic data, WebFIRE, will be easily accessible and will provide a user-friendly interface that any stakeholder could access. By making the records, data and reports addressed in this rulemaking readily available, the EPA, the regulated community and the public will benefit when the EPA conducts its CAA-required technology and risk-based reviews. As a result of having reports readily accessible, our ability to carry out comprehensive reviews will be increased and achieved within a shorter period of time.
We anticipate fewer or less substantial information collection requests (ICRs) in conjunction with prospective CAA-required technology and risk-based reviews may be needed. We expect this to result in a decrease in time spent by industry to respond to data collection requests. We also expect the ICRs to contain less extensive stack testing provisions, as we will already have stack test data electronically. Reduced testing requirements would be a cost savings to industry. The EPA should also be able to conduct these required reviews more quickly. While the regulated community may benefit from a reduced burden of ICRs, the general public benefits from the agency's ability to provide these required reviews more
Air agencies could benefit from more streamlined and automated review of the electronically submitted data. Having reports and associated data in electronic format will facilitate review through the use of software “search” options, as well as the downloading and analyzing of data in spreadsheet format. The ability to access and review air emission report information electronically will assist air agencies to more quickly and accurately determine compliance with the applicable regualtions, potentially allowing a faster response to violations which could minimize harmful air emissions. This benefits both air agencies and the general public.
For a more thorough discussion of electronic reporting required by this rule, see the discussion in the preamble of the proposal. In summary, in addition to supporting regulation development, control strategy development, and other air pollution control activities, having an electronic database populated with performance test data will save industry, air agencies, and the EPA significant time, money, and effort while improving the quality of emission inventories, air quality regulations, and enhancing the public's access to this important information.
The EPA finalizes the recordkeeping and reporting requirements as proposed. These requirements reflect those finalized in the 2011 EG. The federal plan requires that records of all initial and all subsequent stack or performance specification (PS) tests, deviation reports, operating parameter data, continuous monitoring data, maintenance and inspections of air pollution control devices, monitoring plan, and operator training and qualification must be maintained for 5 years. The results of the stack tests and PS test and values for operating parameters are required to be included in initial and subsequent compliance reports. Any incident of deviation, resumed operation following shutdown, force majeure, intent to stop or start use of CMS, and intent of conducting or rescheduling a performance test are required to be reported to the Administrator. Furthermore, final compliance reports are required following the completion of each requirement and identifying any missed requirement. See section V.B of this preamble for a more detailed discussion of the compliance schedules.
The EPA finalizes other requirements as proposed. First, owners and operators of existing SSI units are required to meet operator training and qualification requirements, which include: Ensuring that at least one operator or supervisor per facility complete the operator training course, that qualified operator(s) or supervisor(s) complete an annual review or refresher course specified in the regulation and that they maintain plant-specific information, updated annually, regarding training.
Second, owners or operators of existing SSI units are required to submit a monitoring plan for any CMS or bag leak detection system used to comply with the rule. Third, they must also submit a monitoring plan for their ash handling system that specifies the operating procedures they will follow to ensure that they meet the fugitive ash emissions limit.
The federal plan establishes that if owners or operators plan to permanently close currently operating SSI units, they must do so and submit a closure notification to the Administrator by the date the final control plan is due. The requirements for closing an SSI unit will be set forth at 40 CFR 62.15915, subpart LLL. The requirements to close an SSI unit also apply to “mothballed unit” or inactive unit situations which a unit does not operate and is not rendered inoperable. Until such time as a unit is permanently closed, it must comply with any applicable requirements of the federal plan. In addition, while still in operation, the SSI unit is subject to the same requirements for title V operating permits that apply to units that will not shut down.
The federal plan provides that in cases where an SSI unit has already shut down permanently and has been rendered inoperable (
The unit inventory for this federal plan includes any SSI unit that are known to have already shut down (but are not known to be inoperable).
If the owner or operator of an inactive SSI unit plans to restart before the final compliance date, the owner or operator must submit the final control plan and achieve final compliance by the final date specified in the federal plan. Final compliance is required for all pollutants and all SSI units no later than the final compliance date, March 21, 2016.
As proposed, if the owner or operator of an SSI unit closes the SSI unit, but restarts the unit after the final compliance date of March 21, 2016, the owner or operator must complete emission control retrofits and meet the emissions and operating limits on the date the SSI unit restarts operation. Within 6 months of the unit startup, operator(s) of these SSI units would have to complete the operator training and qualification requirements. Within 60 days of installing an air pollution control device, operator(s) must conduct a unit inspection. Performance testing to demonstrate initial compliance would also be required as described at 40 CFR 62.15980. An SSI unit that operates out of compliance after the final compliance date would be in violation of the federal plan and subject to enforcement action.
Under sections 111(d) and 129(b) of the CAA, the EPA is required to adopt EG that are applicable to existing solid waste incineration units. These EG are fully implemented when the EPA approves a state plan or adopts a federal plan that implements and enforces the EG. As discussed above, the federal plan regulates SSI units in states that do not have approved plans in effect to implement the EG.
Congress has determined that the primary responsibility for air pollution prevention and control rests with state and local agencies. (See section 101(a)(3) of the CAA.) Consistent with that overall determination, Congress established sections 111 and 129 of the CAA with the intent that the state and local agencies take the primary responsibility for ensuring that the emissions limitations and other requirements in the EG are achieved.
Approved and effective state plans or delegation of the federal plan to state, tribal, and local agencies is the EPA's preferred outcome because state, tribal, and local agencies not only have the responsibility to carry out the revised EG, but also have the practical knowledge and enforcement resources critical to achieving the highest rate of compliance. It is generally preferable for the state and local agencies to be the implementing agency. For these reasons, the EPA will do all that it can to expedite delegation of the federal plan to state, tribal, and local agencies, whenever possible, in cases where states are unable to develop and submit approvable state plans.
There are two mechanisms for transferring implementation authority to state, tribal, and local agencies: (1) The EPA approval of a state plan after the federal plan is in effect; and (2) if a state does not submit or obtain approval of its own plan, the EPA delegation to a state, tribe, or local of the authority to implement certain portions of this federal plan to the extent appropriate and if allowed by state law. Both of these options are described in more detail below.
After SSI units in a state become subject to the federal plan, the state or tribal agency may still adopt and submit a state or tribal plan to the EPA. If the EPA determines that the state or tribal plan is as protective as the EG, the EPA will approve the state or tribal plan. If the EPA determines that the plan is not as protective as the EG, the EPA will partially approve or disapprove the plan (or portion of the plan) and the SSI units covered in the plan would remain subject to the federal plan until a plan covering those SSI units is approved and effective. Prior to disapproval, the EPA will work with states and tribes to attempt to reconcile areas of the plan that remain not as protective as the EG.
Upon the effective date of a state or tribal plan, the federal plan would no longer apply to SSI units covered by such a plan and the state, tribe, territory, or local agency would implement and enforce the state plan in lieu of the federal plan. When an EPA regional office approves a state or tribal plan, it will amend the appropriate subpart of 40 CFR part 62 to indicate such approval.
The EPA, in its discretion, may delegate to state, tribe, territorial, or local agencies the authority to implement this federal plan. As discussed above, the EPA has concluded that it is advantageous and the best use of resources for states, tribes, territories, or local agencies to agree to undertake, on the EPA's behalf, administrative and substantive roles in implementing the federal plan to the extent appropriate and where authorized by state, tribal, territorial or local law. If a state, tribe, territory, or local requests delegation, the EPA will generally delegate the entire federal plan to the state, tribe, territory, or local agency. These functions include administration and oversight of compliance reporting and recordkeeping requirements, SSI unit inspections and preparation of draft notices of violation, but will not include any authorities retained by the EPA. Agencies that have taken delegation, as well as the EPA, will have responsibility for bringing enforcement actions against sources violating federal plan provisions.
The EPA Regional Administrators have been delegated the authority for implementing the SSI federal plan. All reports required by the federal plan should be submitted to the appropriate Regional Administrator. Section II.C of this preamble includes Table 3 that lists names and addresses of the EPA regional office contacts and the states they cover.
If a state, tribe, territory, or local agency intends to take delegation of the federal plan, the state, tribe, territory, or local agency should submit to the appropriate EPA regional office a written request for delegation of authority. The state, tribe, territory, or local agency should explain how it meets the criteria for delegation. See generally “Good Practices Manual for Delegation of NSPS and NESHAP” (EPA, February 1983). The letter requesting delegation of authority to implement the federal plan should: (1) demonstrate that the state, tribe, territory, or local agency has adequate resources, as well as the legal and enforcement authority to administer and enforce the program, (2) include an inventory of affected SSI units, which includes those that have ceased operation, but have not been dismantled or rendered inoperable, include an inventory of the affected units' air emissions and a provision for state progress reports to the EPA, (3) certify that a public hearing is held on the state, tribe, territory, or local agency delegation request, and (4) include a memorandum of agreement between the state, tribe, territory, or local agency and the EPA that sets forth the terms and conditions of the delegation, the effective date of the agreement and the mechanism to transfer authority. Upon signature of the agreement, the appropriate EPA regional office would publish an approval notice in the
If authority is not delegated to a state, tribe, territory, or local agency the EPA will implement the federal plan. Also, if a state, tribe, territory, or local agency fails to properly implement a delegated portion of the federal plan, the EPA will assume direct implementation and enforcement of that portion. The EPA will continue to hold enforcement authority along with the state, tribe, territory, or local agency even when the agency has received delegation of the federal plan. In all cases where the federal plan is delegated, the EPA will retain and will not transfer authority to a state, tribe, or local to approve the following items promulgated in the 2011 EG and NSPS:
1. Alternatives to the emissions limits in Table 5 of this document
2. Approval of major alternatives to monitoring;
3. Approval of major alternatives to recordkeeping and reporting;
4. Alternative site-specific operating parameters established by facilities using controls other than a scrubber, ESP, afterburner, ACI or FF;
5. Approval of operation of an SSI unit and receipt of status reports when a qualified operator is not accessible for 2 weeks or more; and
6. Performance test and data reduction waivers under 40 CFR 60.8(b).
SSI unit owners or operators who wish to petition the agency for any alternative requirement should submit a
All existing SSI units regulated under state, tribal, or federal plans implementing the 2011 EG must apply for and obtain a title V permit. These title V operating permits assure compliance with all applicable requirements for regulated SSI units, including all applicable CAA section 129 requirements.
The permit application deadline for a CAA section 129 source applying for a title V operating permit depends on when the source first becomes subject to the relevant title V permits program. For example, if the SSI unit is an existing unit and is not subject to an earlier permit application deadline, the source must submit a complete title V permit application by the earliest of the following dates:
• Twelve months after the effective date of any applicable EPA-approved CAA sections 111(d)/129 plan (
• Twelve months after the effective date of any applicable federal plan; or
• Thirty-six months after promulgation of 40 CFR part 60, subpart MMMM (
For any existing SSI unit not subject to an earlier permit application deadline, the application deadline of March 21, 2014, applies regardless of whether or when any applicable federal plan is effective, or whether or when any applicable CAA sections 111(d)/129 plan is approved by the EPA and becomes effective. (See CAA sections 129(e), 503(c), 503(d), 502(a), and 40 CFR 70.5(a)(1)(i) and 71.5(a)(1)(i).)
If the SSI unit is subject to title V as a result of some triggering requirement(s) other than those mentioned above (for example, an SSI unit may be a major source or part of a major source), then the owner/operator of the source may be required to apply for a title V permit prior to the deadlines specified above. If more than one requirement triggers a source's obligation to apply for a title V permit, the 12-month time frame for filing a title V permit application is triggered by the requirement which first causes the source to be subject to title V.
For more background information on the interface between CAA section 129 and title V, including the EPA's interpretation of CAA section 129(e), as well as information on submitting title V permit applications, updating existing title V permit applications and reopening existing title V permits, see the final federal plan for Commercial and Industrial Solid Waste Incinerators, October 3, 2003 (68 FR 57518, 57532). See also the final federal plan for Hospital Medical Infectious Waste Incinerators, August 15, 2000 (65 FR 49868, 49877).
As noted previously, issuance of a title V permit is not equivalent to the approval of a state or tribal plan or delegation of a federal plan.
As mentioned above, a state, local, or tribe may have the authority under state, local, or tribal law to incorporate CAA section 111/129 requirements into its title V permits, and implement and enforce these requirements in that context without first taking delegation of the CAA section 111/129 federal plan.
However, if a state or tribe can provide an AG's opinion delineating its authority to incorporate CAA section 111/129 requirements into its title V permits, and then implement and enforce these requirements through its title V permits without first taking delegation of the requirements, then a state, local, or tribe does not need to take delegation of the CAA section 111/129 requirements for purposes of title V permitting.
In addition, if a permitting authority chooses to rely on an AG's opinion and not take delegation of a federal plan, a CAA section 111/129 source subject to the federal plan in that state must simultaneously submit to both the EPA and the state, local, or tribe all reports required by the standard to be submitted
In the situation where a permitting authority chooses to rely on an AG's opinion and not take delegation of a federal plan, the EPA regional offices will be responsible for implementing and enforcing CAA section 111/129 requirements outside of any title V permits. Moreover, in this situation, the EPA regional offices will continue to be responsible for developing progress reports and conducting any other administrative functions required under this federal plan or any other CAA section 111/129 federal plan. See,
It is important to note that the EPA is not using its authority under 40 CFR 70.4(i)(3) to request that all states, locals, and tribes which do not take delegation of this federal plan submit supplemental AG's opinions at this time. However, the EPA regional offices shall request, and permitting authorities shall provide, such opinions when the EPA questions a state's or tribe's authority to incorporate CAA section 111/129 requirements into a title V permit and implement and enforce these requirements in that context without delegation.
Additional information about these statutes and Executive Orders can be found at
This action is not a significant regulatory action and was, therefore, not submitted to the Office of Management and Budget for review.
This action does not impose an information collection burden under the PRA. This action rather finalizes the SSI federal plan to implement the EG adopted on March 21, 2011,
I certify that this action will not have a significant economic impact on a substantial number of small entities under the RFA. This action will not impose any requirements on small entities. EG for owners of existing SSI units were established by the March 21, 2011, final rule (76 FR 15372), and that rule was certified as not having a significant economic impact on a substantial number of small entities. This action establishes a federal plan to implement and enforce those requirements in those states that do not have their own EPA-approved state plan for implementing and enforcing the requirements.
This action does not contain an unfunded mandate of $100 million or more as described in UMRA, 2 U.S.C. 1531-1538, and does not significantly or uniquely affect small governments. The action imposes no enforceable duty or any state, local, or tribal government or the private sector.
This action does not have federalism implications. It will not have substantial direct effects on the states, on the relationship between the national government and the states, or on the distribution of power and responsibilities among the various levels of government.
This action does not have tribal implications as specified in Executive Order 13175. The EPA is not aware of any SSI units owned or operated by Indian tribal governments. Thus, Executive Order 13175 does not apply to this action.
The EPA interprets Executive Order 13045 as applying only to those regulatory actions that concern environmental health or safety risks that the EPA has reason to believe may disproportionately affect children, per the definition of “covered regulatory action” in section 2-202 of the Executive Order. This action is not subject to Executive Order 13045 because it does not concern an environmental health risk or safety risk.
This action is not subject to Executive Order 13045 because it is not economically significant as defined in Executive Order 12866, and because the EPA does not believe the environmental health or safety risks addressed by this action present a disproportionate risk to children.
This action is not subject to Executive Order 13211 because it is not a significant regulatory action under Executive Orders 12866.
This action is not a “significant energy action” because it is not likely to have a significant adverse effect on the supply, distribution or use of energy.
This action involves technical standards. Please reference Table 6 of this preamble for the locations where these standards are available. The EPA has decided to use ANSI/ASME PTC 19.10-1981, “Flue and Exhaust Gas Analyses,” for its manual methods of measuring the oxygen or carbon dioxide content of the exhaust gas. These parts of ASME PTC 19.10-1981 are acceptable alternatives to EPA Methods 6, 7 for the manual procedures only. The EPA determined that this standard is reasonably available because it is available for purchase. Another voluntary consensus standards (VCS), ASTM D6784-02 (Reapproved 2008), “Standard Test Method for Elemental, Oxidized, Particle-Bound and Total Mercury Gas Generated from Coal-Fired Stationary Sources (Ontario Hydro Method)” for its manual method of measuring mercury is an acceptable alternative to Method 29 and 30B. The EPA determined that this standard is reasonably available because it is available for purchase. The EPA further determined to use OAQPS Fabric Filter Bag Leak Detection Guidance, EPA-454/R-98-015, September 1997, for its guidance on the use of tiboelectic monitors as bag leak detectors for a fabric filter air pollution control device and monitoring system decriptions, selection, installation, set up, adjustment, operation, and quality assurance procedures. The EPA determined that this standard is reasonably available because it is freely available from the EPA. Lastly, the EPA decided to use EPA Methods 5, 6, 6C, 7, 7E, 9, 10, l0A, l0B, 22, 23, 26A, 29 and 30B. No VCS were found for EPA Method 9 and 22.
While the EPA has identified 23 VCS as being potentially applicable to the rule, we have decided not to use these VCS in this rulemaking. The use of
Under 40 CFR 62.16050, the EPA Administrator retains the authority of approving alternate methods of demonstrating compliance as established under 40 CFR 60.8(b) and 40 CFR 60.13(i), subpart A (NSPS General Provisions). A source may apply to the EPA for permission to use alternative test methods or alternative monitoring requirements in place of any required EPA test methods, performance specifications, or procedures.
The EPA has concluded that the human health or environmental risk addressed by this action will not have potential disproportionately high and adverse human health or environmental effects on minority, low-income, or indigenous populations. This finding is based on an analysis of demographic data conducted for the 2011 EG. This federal plan implements the 2011 EG. The previous analysis of demographic data showed that the average of populations in close proximity to the sources, and, thus, most likely to be effected by the sources, were similar in demographic composition to national averages. The results of the demographic analysis are presented in
This action is subject to the CRA, and the EPA will submit a rule report to each House of the Congress and to the Comptroller General of the United States. This action is not a “major rule” as defined by 5 U.S.C. 804(2).
Environmental protection, Administrative practice and procedure, Air pollution control, Incorporation by reference, Intergovernmental relations, Reporting and recordkeeping requirements.
For the reasons stated in the preamble, title 40, chapter I, part 62 of the Code of Federal Regulations (CFR) is amended as follows:
42 U.S.C. 7401
(a) You are subject to this subpart if your SSI unit meets all three criteria described in paragraphs (a)(1) through (3) of this section.
(1) You own or operate an SSI unit(s) that commenced construction on or before October 14, 2010.
(2) You own or operate an SSI unit(s) that meet the definition of an SSI unit as defined in § 62.16045.
(3) You own or operate an SSI unit(s) not exempt under § 62.15860.
(b) If you own or operator an SSI unit(s) and make changes that meet the definition of modification after September 21, 2011, the SSI unit becomes subject to 40 CFR part 60, subpart LLLL, and the federal plan no longer applies to that unit.
(c) If you own or operate an SSI unit(s) and make physical or operational changes to the SSI unit(s) for which construction commenced on or before September 21, 2011 primarily to comply with the federal plan, 40 CFR part 60, subpart LLLL, does not apply to the unit(s). Such changes do not qualify as modifications under 40 CFR part 60, subpart LLLL.
This subpart exempts combustion units that incinerate sewage sludge and are not located at a wastewater treatment facility designed to treat domestic sewage sludge. These units may be subject to another subpart of this part (
This part contains a list of all states and tribal areas with approved Clean Air Act (CAA) section 111(d)/129 plans in effect. However, this part is only updated once a year. Thus, if this part does not indicate that your state or tribal area has an approved and effective plan, you should contact your state environmental agency's air director or your EPA regional office to determine if approval occurred since publication of the most recent version of this part. A state may also meet its CAA section 111(d)/129 obligations by submitting an acceptable written request for delegation of the federal plan that meets the requirements of this section. This is the only other option for a state to meet its 111(d)/129 obligations.
(a) An acceptable federal plan delegation request must include the following:
(1) A demonstration of adequate resources and legal authority to administer and enforce the federal plan.
(2) The items under § 60.5015(a)(1), (2), and (7) of this chapter.
(3) Certification that the hearing on the state delegation request, similar to the hearing for a state plan submittal, was held, a list of witnesses and their organizational affiliations, if any, appearing at the hearing, and a brief written summary of each presentation or written submission.
(4) A commitment to enter into a Memorandum of Agreement with the Regional Administrator who sets forth the terms, conditions and effective date of the delegation and that serves as the mechanism for the transfer of authority. Additional guidance and information is given in the EPA's “Delegations Manual, Item 7-139, Implementation and Enforcement of 111(d)(2) and 111(d)(2)/129(b)(3) federal plans.”
(b) A state with an already approved SSI CAA section 111(d)/129 state plan is not precluded from receiving EPA approval of a delegation request for the federal plan, providing the requirements of paragraph (a) of this section are met, and at the time of the delegation request, the state also requests withdrawal of the EPA's previous state plan approval.
(c) A state's CAA section 111(d)/129 obligations are separate from its obligations under title V of the CAA.
Not necessarily. Sources subject to this subpart include, but are not limited to, the inventory of sources listed in Docket ID Number EPA-HQ-OAR-2012-0319 for the federal plan. Review the applicability of § 62.15855 to determine if you are subject to this subpart.
Except as provided in paragraph (b) of this section, you must submit a final control plan and achieve final compliance specified by the date in paragraph (a) of this section:
(a) March 21, 2016, as specified in Table 1 of this subpart.
(b) March 21, 2017, for East Bank Wastewater Treatment Plant, 6501 Florida Avenue, New Orleans, Louisiana 70117, and for the Bayshore Regional Wastewater Treatment Plant, 100 Oak Street, Union Beach, New Jersey 07735.
Your notification of achievement of compliance must include the three items specified in paragraphs (a) through (c) of this section:
(a) Notification that the final control plan has been submitted and final compliance has been achieved;
(b) Any items required to be submitted with the final control plan and final compliance; and
(c) Signature of the owner or operator of the SSI unit.
Notifications for achieving compliance must be postmarked no later than 10 business days after the compliance date.
If you fail to submit a final control plan and achieve final compliance, you must submit a notification to the Administrator postmarked within 10 business days after the compliance date in Table 1 to this subpart. You must inform the Administrator that you did not achieve compliance, and you must
For your control plan, you must satisfy the two requirements specified in paragraphs (a) and (b) of this section.
(a) Submit the final control plan to your EPA regional office and permitting authority or delegated authority that includes the four items described in paragraphs (a)(1) through (4) of this section:
(1) A description of the devices for air pollution control and process changes that you will use to comply with the emission limits and standards and other requirements of this subpart;
(2) The type(s) of waste to be burned, if waste other than sewage sludge is burned in the unit;
(3) The maximum design sewage sludge burning capacity; and
(4) If applicable, the petition for site-specific operating limits under § 62.15965.
(b) Maintain an onsite copy of the final control plan.
For achieving final compliance, you must complete all process changes and retrofit construction of control devices, as specified in the final control plan, so that, if the affected SSI unit is brought online, all necessary process changes and air pollution control devices would operate as designed.
(a) If you close your SSI unit but will restart it prior to the final compliance, you must submit a final control plan and achieve final compliance as specified in § 62.15875.
(b) If you close your SSI unit but will restart it after the final compliance date, you must complete emission control retrofits and meet the emission limits, emission standards, and operating limits on the date your unit restarts operation.
If you plan to close your SSI unit rather than comply with the federal plan, submit a closure notification, including the date of closure, to the Administrator by the date your final control plan is due.
(a) An SSI unit cannot be operated unless a fully trained and qualified SSI unit operator is accessible, either at the facility or can be at the facility within 1 hour. The trained and qualified SSI unit operator may operate the SSI unit directly or be the direct supervisor of one or more other plant personnel who operate the unit. If all qualified SSI unit operators are temporarily not accessible, you must follow the procedures in § 62.15945.
(b) Operator training and qualification must be obtained through a state-approved program or by completing the requirements included in paragraph (c) of this section.
(c) Training must be obtained by completing an incinerator operator training course that includes, at a minimum, the three elements described in paragraphs (c)(1) through (3) of this section:
(1) Training on the 10 subjects listed in paragraphs (c)(1)(i) through (x) of this section:
(i) Environmental concerns, including types of emissions;
(ii) Basic combustion principles, including products of combustion;
(iii) Operation of the specific type of incinerator to be used by the operator, including proper startup, sewage sludge feeding and shutdown procedures;
(iv) Combustion controls and monitoring;
(v) Operation of air pollution control equipment and factors affecting performance (if applicable);
(vi) Inspection and maintenance of the incinerator and air pollution control devices;
(vii) Actions to prevent malfunctions or to prevent conditions that may lead to malfunctions;
(viii) Bottom and fly ash characteristics and handling procedures;
(ix) Applicable federal, state and local regulations, including Occupational Safety and Health Administration workplace standards; and
(x) Pollution prevention.
(2) An examination designed and administered by the state-approved program or instructor administering the subjects in paragraph (c)(1) of this section.
(3) Written material covering the training course topics that may serve as reference material following completion of the course.
The operator training course must be completed by the later of the three dates specified in paragraphs (a) through (c) of this section:
(a) The final compliance date;
(b) Six months after your SSI unit startup; and
(c) Six months after an employee assumes responsibility for operating the SSI unit or assumes responsibility for supervising the operation of the SSI unit.
(a) You must obtain operator qualification by completing a training course that satisfies the criteria under § 62.15920(b).
(b) Qualification is valid from the date on which the training course is completed and the operator successfully passes the examination required under § 62.15920(c)(2).
To maintain qualification, you must complete an annual review or refresher course covering, at a minimum, the five topics described in paragraphs (a) through (e) of this section:
(a) Update of regulations;
(b) Incinerator operation, including startup and shutdown procedures, sewage sludge feeding and ash handling;
(c) Inspection and maintenance;
(d) Prevention of malfunctions or conditions that may lead to malfunction; and
(e) Discussion of operating problems encountered by attendees.
You must renew a lapsed operator qualification before you begin operation of an SSI unit by one of the two methods specified in paragraphs (a) and (b) of this section:
(a) For a lapse of less than 3 years, you must complete a standard annual refresher course described in § 62.15935; and
(b) For a lapse of 3 years or more, you must repeat the initial qualification requirements in § 62.15920.
If a qualified operator is not at the facility and cannot be at the facility within 1 hour, you must meet the criteria specified in either paragraph (a) or (b) of this section, depending on the length of time that a qualified operator is not accessible:
(a) When a qualified operator is not accessible for more than 8 hours, the SSI unit may be operated for less than 2 weeks by other plant personnel who are
(b) When a qualified operator is not accessible for 2 weeks or more, you must take the two actions that are described in paragraphs (b)(1) and (2) of this section:
(1) Notify the Administrator of this deviation in writing within 10 days. In the notice, state what caused this deviation, what you are doing to ensure that a qualified operator is accessible, and when you anticipate that a qualified operator will be accessible; and
(2) Submit a status report to the Administrator every 4 weeks outlining what you are doing to ensure that a qualified operator is accessible, stating when you anticipate that a qualified operator will be accessible and requesting approval from the Administrator to continue operation of the SSI unit. You must submit the first status report 4 weeks after you notify the Administrator of the deviation under paragraph (b)(1) of this section:
(i) If the Administrator notifies you that your request to continue operation of the SSI unit is disapproved, the SSI unit may continue operation for 30 days and then must cease operation; and
(ii) Operation of the unit may resume if a qualified operator is accessible as required under § 62.15920(a). You must notify the Administrator within 5 days of having resumed operations and of having a qualified operator accessible.
(a) You must maintain at the facility the documentation of the operator training procedures specified under § 62.15920(c)(1) and make the documentation readily accessible to all SSI unit operators.
(b) You must establish a program for reviewing the information listed in § 62.15920(c)(1) with each qualified incinerator operator and other plant personnel who may operate the unit according to the provisions of § 62.15945(a), according to the following schedule:
(1) The initial review of the information listed in § 62.15920(c)(1) must be conducted by November 30, 2016, or prior to an employee's assumption of responsibilities for operation of the SSI unit, whichever date is later; and
(2) Subsequent annual reviews of the information listed in § 62.15920(c)(1) must be conducted no later than 12 months following the previous review.
You must meet the emission limits and standards specified in Table 2 or 3 to this subpart by the final compliance date specified in § 62.15875. The emission limits and standards apply at all times the unit is operating and during periods of malfunction. The emission limits and standards apply to emissions from a bypass stack or vent while sewage sludge is in the combustion chamber (
You must meet, as applicable, the operating limits and requirements specified in paragraphs (a) through (d) and (h) of this section, according to the schedule specified in paragraph (e) of this section. The operating parameters for which you will establish operating limits for a wet scrubber, fabric filter, electrostatic precipitator or activated carbon injection are listed in Table 4 to this subpart. You must comply with the operating requirements in paragraph (f) of this section and the requirements in paragraph (g) of this section for meeting any new operating limits, re-established in § 62.16005. The operating limits apply at all times that sewage sludge is in the combustion chamber (
(a) You must meet a site-specific operating limit for minimum operating temperature of the combustion chamber (or afterburner combustion chamber) that you establish in § 62.15985;
(b) If you use a wet scrubber, electrostatic precipitator, activated carbon injection or afterburner to comply with an emission limit, you must meet the site-specific operating limits that you establish in § 62.15985 for each operating parameter associated with each air pollution control device;
(c) If you use a fabric filter to comply with the emission limits, you must install the bag leak detection system specified in §§ 62.15995(b) and 62.16020(b)(3)(i) and operate the bag leak detection system such that the alarm does not sound more than 5-percent of the operating time during a 6-month period. You must calculate the alarm time as specified in § 62.16005(a)(2)(i);
(d) You must meet the operating requirements in your site-specific fugitive emission monitoring plan, submitted as specified in § 62.15995(d) to ensure that your ash handling system will meet the emission standard for fugitive emissions from ash handling;
(e) You must meet the operating limits and requirements specified in paragraphs (a) through (d) of this section by the final compliance date specified in § 62.15875;
(f) You must monitor the feed rate and moisture content of the sewage sludge fed to the sewage sludge incinerator, as specified in paragraphs (f)(1) and (2) of this section:
(1) Continuously monitor the sewage sludge feed rate and calculate a daily average for all hours of operation during each 24-hour period. Keep a record of the daily average feed rate, as specified in § 62.16025(f)(3)(ii); and
(2) Take at least one grab sample per day of the sewage sludge fed to the sewage sludge incinerator. If you take more than one grab sample in a day, calculate the daily average for the grab samples. Keep a record of the daily average moisture content, as specified in § 62.16025(f)(3)(ii).
(g) For the operating limits and requirements specified in paragraphs (a) through (d) and (h) of this section, you must meet any new operating limits and requirements, re-established according to § 62.16005(d)); and
(h) If you use an air pollution control device other than a wet scrubber, fabric filter, electrostatic precipitator or activated carbon injection to comply with the emission limits in Table 2 or 3 to this subpart, you must meet any site-specific operating limits or requirements that you establish as required in § 62.15965.
If you use an air pollution control device other than a wet scrubber, fabric filter, electrostatic precipitator, activated carbon injection, or afterburner, or limit emissions in some other manner (
(a) Meet the applicable operating limits and requirements in § 60.4850 of this chapter, and establish applicable operating limits according to § 62.15985; and
(b) Petition the Administrator for specific operating parameters, operating limits, and averaging periods to be established during the initial performance test and to be monitored continuously thereafter.
(1) You are responsible for submitting any supporting information in a timely manner to enable the Administrator to consider the application prior to the performance test. You must not conduct the initial performance test until after the petition has been approved by the Administrator, and you must comply with the operating limits as written, pending approval by the Administrator. Neither submittal of an application, nor the Administrator's failure to approve or disapprove the application relieves you of the responsibility to comply with any provision of this subpart;
(2) Your petition must include the five items listed in paragraphs (b)(2)(i) through (v) of this section:
(i) Identification of the specific parameters you propose to monitor;
(ii) A discussion of the relationship between these parameters and emissions of regulated pollutants, identifying how emissions of regulated pollutants change with changes in these parameters, and how limits on these parameters will serve to limit emissions of regulated pollutants;
(iii) A discussion of how you will establish the upper and/or lower values for these parameters that will establish the operating limits on these parameters, including a discussion of the averaging periods associated with those parameters for determining compliance;
(iv) A discussion identifying the methods you will use to measure and the instruments you will use to monitor these parameters, as well as the relative accuracy and precision of these methods and instruments; and
(v) A discussion identifying the frequency and methods for recalibrating the instruments you will use for monitoring these parameters.
The emission limits and standards apply at all times and during periods of malfunction. The operating limits apply at all times that sewage sludge is in the combustion chamber (
To demonstrate initial compliance with the emission limits and standards in Table 2 or 3 to this subpart, use the procedures specified in paragraph (a) of this section. In lieu of using the procedures specified in paragraph (a) of this section, you have the option to demonstrate initial compliance using the procedures specified in paragraph (b) of this section for particulate matter, hydrogen chloride, carbon monoxide, dioxins/furans (total mass basis or toxic equivalency basis), mercury, nitrogen oxides, sulfur dioxide, cadmium, lead and fugitive emissions from ash handling. You must meet the requirements of paragraphs (a) and (b) of this section, as applicable, and paragraphs (c) through (e) of this section, according to the performance testing, monitoring, and calibration requirements in § 62.16015(a) and (b).
(a) Demonstrate initial compliance using the performance test required in § 60.8 of this chapter. You must demonstrate that your SSI unit meets the emission limits and standards specified in Table 2 or 3 to this subpart for particulate matter, hydrogen chloride, carbon monoxide, dioxins/furans (total mass basis or toxic equivalency basis), mercury, nitrogen oxides, sulfur dioxide, cadmium, lead and fugitive emissions from ash handling using the performance test. The initial performance test must be conducted using the test methods, averaging methods, and minimum sampling volumes or durations specified in Table 2 or 3 to this subpart and according to the testing, monitoring, and calibration requirements specified in § 62.16015(a).
(1) Except as provided in paragraph (e) of this section, you must demonstrate that your SSI unit meets the emission limits and standards specified in Table 2 or 3 to this subpart by the final compliance date (see Table 1 to this subpart).
(2) You may use the results from a performance test conducted within the 2 previous years that was conducted under the same conditions and demonstrated compliance with the emission limits and standards in Table 2 or 3 to this subpart, provided no process changes have been made since you conducted that performance test. However, you must continue to meet the operating limits established during the most recent performance test that demonstrated compliance with the emission limits and standards in Table 2 or 3 to this subpart. The performance test must have used the test methods specified in Table 2 or 3 to this subpart.
(b) Demonstrate initial compliance using a continuous emissions monitoring system or continuous automated sampling system. The option to use a continuous emissions monitoring system for hydrogen chloride, dioxins/furans, cadmium, or lead takes effect on the date a final performance specification applicable to hydrogen chloride, dioxins/furans, cadmium or lead is published in the
(1) To demonstrate initial compliance with the emission limits specified in Table 2 or 3 to this subpart for particulate matter, hydrogen chloride, carbon monoxide, dioxins/furans (total mass basis or toxic equivalency basis), mercury, nitrogen oxides, sulfur dioxide, cadmium and lead, you may substitute the use of a continuous monitoring system in lieu of conducting the initial performance test required in paragraph (a) of this section, as follows:
(i) You may substitute the use of a continuous emissions monitoring system for any pollutant specified in paragraph (b)(1) of this section in lieu of conducting the initial performance test for that pollutant in paragraph (a) of this section. For determining compliance with the carbon monoxide concentration limit using carbon monoxide CEMS, the correction to 7-percent oxygen does not apply during periods of startup or shutdown. Use the measured carbon monoxide concentration without correcting for oxygen concentration in averaging with other carbon monoxide concentrations (corrected to 7-percent oxygen) to determine the 24-hour average value.
(ii) You may substitute the use of a continuous automated sampling system
(2) If you use a continuous emissions monitoring system to demonstrate compliance with an applicable emission limit in Table 2 or 3 to this subpart, as described in paragraph (b)(1) of this section, you must use the continuous emissions monitoring system and follow the requirements specified in § 62.16015(b). You must measure emissions according to § 60.13 of this chapter to calculate 1-hour arithmetic averages, corrected to 7-percent oxygen (or carbon dioxide). You must demonstrate initial compliance using a 24-hour block average of these 1-hour arithmetic average emission concentrations, calculated using Equation 19-19 in section 12.4.1 of Method 19 of 40 CFR part 60, appendix A-7.
(3) If you use a continuous automated sampling system to demonstrate compliance with an applicable emission limit in Table 2 or 3 to this subpart, as described in paragraph (b)(1) of this section, you must:
(i) Use the continuous automated sampling system specified in § 60.58b(p) and (q) of this chapter, and measure and calculate average emissions corrected to 7-percent oxygen (or carbon dioxide) according to § 60.58b(p) and your monitoring plan.
(A) Use the procedures specified in § 60.58b(p) of this chapter to calculate 24-hour block averages to determine compliance with the mercury emission limit in Table 2 or 3 to this subpart.
(B) Use the procedures specified in § 60.58b(p) of this chapter to calculate 2-week block averages to determine compliance with the dioxin/furan (total mass basis or toxic equivalency basis) emission limit in Table 2 or 3 to this subpart.
(ii) Comply with the provisions in § 60.58b(q) of this chapter to develop a monitoring plan. For mercury continuous automated sampling systems, you must use Performance Specification 12B of appendix B of part 75 of this chapter and Procedure 5 of appendix F of part 60 of this chapter.
(4) Except as provided in paragraph (e) of this section, you must complete your initial performance evaluations required under your monitoring plan for any continuous emissions monitoring systems and continuous automated sampling systems by the final compliance date (see Table 1 to this subpart). Your performance evaluation must be conducted using the procedures and acceptance criteria specified in § 62.15995(a)(3).
(c) To demonstrate initial compliance with the dioxins/furans toxic equivalency emission limit in Table 2 or 3 to this subpart, determine dioxins/furans toxic equivalency as follows:
(1) Measure the concentration of each dioxin/furan tetra- through octachlorinated-isomer emitted using EPA Method 23 at 40 CFR part 60, appendix A-7.
(2) Multiply the concentration of each dioxin/furan (tetra- through octa-chlorinated) isomer by its corresponding toxic equivalency factor specified in Table 5 to this subpart.
(3) Sum the products calculated in accordance with paragraph (c)(2) of this section to obtain the total concentration of dioxins/furans emitted in terms of toxic equivalency.
(d) Submit an initial compliance report, as specified in § 62.16030(b).
(e) If you demonstrate initial compliance using the performance test specified in paragraph (a) of this section, then the provisions of this paragraph (e) apply. If a force majeure is about to occur, occurs or has occurred for which you intend to assert a claim of force majeure, you must notify the Administrator in writing as specified in § 62.16030(f). You must conduct the initial performance test as soon as practicable after the force majeure occurs. The Administrator will determine whether or not to grant the extension to the initial performance test deadline and will notify you in writing of approval or disapproval of the request for an extension as soon as practicable. Until an extension of the performance test deadline has been approved by the Administrator, you remain strictly subject to the requirements of this subpart.
(a) You must establish the site-specific operating limits specified in paragraphs (b) through (h) of this section or established in § 62.15965, as applicable, during your initial performance tests required in § 62.15980. You must meet the requirements in § 62.16005(d) to confirm these operating limits or re-establish new operating limits using operating data recorded during any performance tests or performance evaluations required in § 62.16000. You must follow the data measurement and recording frequencies and data averaging times specified in Table 4 to this subpart or as established in § 62.15965, and you must follow the testing, monitoring and calibration requirements specified in §§ 62.16015 and 62.16020 or established in § 62.15965. You are not required to establish operating limits for the operating parameters listed in Table 4 to this subpart for a control device if you use a continuous monitoring system to demonstrate compliance with the emission limits in Table 2 or 3 to this subpart for the applicable pollutants, as follows:
(1) For a scrubber designed to control emissions of hydrogen chloride or sulfur dioxide, you are not required to establish an operating limit and monitor scrubber liquid flow rate or scrubber liquid pH if you use the continuous monitoring system specified in §§ 60.4865(b) and 60.4885(b) of this chapter to demonstrate compliance with the emission limit for hydrogen chloride or sulfur dioxide.
(2) For a scrubber designed to control emissions of particulate matter, cadmium and lead, you are not required to establish an operating limit and monitor pressure drop across the scrubber or scrubber liquid flow rate if you use the continuous monitoring system specified in §§ 60.4865(b) and 60.4885(b) of this chapter to demonstrate compliance with the emission limit for particulate matter, cadmium and lead.
(3) For an electrostatic precipitator designed to control emissions of particulate matter, cadmium and lead, you are not required to establish an operating limit and monitor secondary voltage of the collection plates, secondary amperage of the collection plates or effluent water flow rate at the outlet of the electrostatic precipitator if you use the continuous monitoring system specified in §§ 60.4865(b) and 60.4885(b) of this chapter to demonstrate compliance with the emission limit for particulate matter, lead and cadmium.
(4) For an activated carbon injection system designed to control emissions of mercury, you are not required to establish an operating limit and monitor sorbent injection rate and carrier gas flow rate (or carrier gas pressure drop) if you use the continuous monitoring system specified in §§ 60.4865(b) and 60.4885(b) of this chapter to demonstrate compliance with the emission limit for mercury.
(5) For an activated carbon injection system designed to control emissions of dioxins/furans, you are not required to establish an operating limit and monitor sorbent injection rate and carrier gas flow rate (or carrier gas pressure drop) if you use the continuous monitoring system specified in §§ 60.4865(b) and 60.4885(b) of this chapter to demonstrate compliance with the
(b) Minimum pressure drop across each wet scrubber used to meet the particulate matter, lead and cadmium emission limits in Table 2 or 3 to this subpart, equal to the lowest 4-hour average pressure drop across each such wet scrubber measured during the most recent performance test demonstrating compliance with the particulate matter, lead and cadmium emission limits.
(c) Minimum scrubber liquid flow rate (measured at the inlet to each wet scrubber), equal to the lowest 4-hour average liquid flow rate measured during the most recent performance test demonstrating compliance with all applicable emission limits.
(d) Minimum scrubber liquid pH for each wet scrubber used to meet the sulfur dioxide or hydrogen chloride emission limits in Table 2 or 3 to this subpart, equal to the lowest 1-hour average scrubber liquid pH measured during the most recent performance test demonstrating compliance with the sulfur dioxide and hydrogen chloride emission limits.
(e) Minimum combustion chamber operating temperature (or minimum afterburner temperature), equal to the lowest 4-hour average combustion chamber operating temperature (or afterburner temperature) measured during the most recent performance test demonstrating compliance with all applicable emission limits.
(f) Minimum power input to the electrostatic precipitator collection plates, equal to the lowest 4-hour average secondary electric power measured during the most recent performance test demonstrating compliance with the particulate matter, lead and cadmium emission limits. Power input must be calculated as the product of the secondary voltage and secondary amperage to the electrostatic precipitator collection plates. Both the secondary voltage and secondary amperage must be recorded during the performance test.
(g) Minimum effluent water flow rate at the outlet of the electrostatic precipitator, equal to the lowest 4-hour average effluent water flow rate at the outlet of the electrostatic precipitator measured during the most recent performance test demonstrating compliance with the particulate matter, lead and cadmium emission limits.
(h) For activated carbon injection, establish the site-specific operating limits specified in paragraphs (h)(1) through (3) of this section.
(1) Minimum mercury sorbent injection rate, equal to the lowest 4-hour average mercury sorbent injection rate measured during the most recent performance test demonstrating compliance with the mercury emission limit.
(2) Minimum dioxin/furan sorbent injection rate, equal to the lowest 4-hour average dioxin/furan sorbent injection rate measured during the most recent performance test demonstrating compliance with the dioxin/furan (total mass basis or toxic equivalency basis) emission limit.
(3) Minimum carrier gas flow rate or minimum carrier gas pressure drop, as follows:
(i) Minimum carrier gas flow rate, equal to the lowest 4-hour average carrier gas flow rate measured during the most recent performance test demonstrating compliance with the applicable emission limit.
(ii) Minimum carrier gas pressure drop, equal to the lowest 4-hour average carrier gas flow rate measured during the most recent performance test demonstrating compliance with the applicable emission limit.
(a) You must conduct an air pollution control device inspection according to § 62.16015(c) by the final compliance date as specified in § 62.15875. For air pollution control devices installed after the final compliance date, you must conduct the air pollution control device inspection within 60 days after installation of the control device.
(b) Within 10 operating days following the air pollution control device inspection under paragraph (a) of this section, all necessary repairs must be completed unless you obtain written approval from the Administrator establishing a date whereby all necessary repairs of the SSI unit must be completed.
You must develop and submit to the Administrator for approval a site-specific monitoring plan for each continuous monitoring system required under this subpart, according to the requirements in paragraphs (a) through (c) of this section. This requirement also applies to you if you petition the Administrator for alternative monitoring parameters under § 60.13(i) of this chapter and paragraph (e) of this section. If you use a continuous automated sampling system to comply with the mercury or dioxin/furan (total mass basis or toxic equivalency basis) emission limits, you must develop your monitoring plan as specified in § 60.58b(q) of this chapter, and you are not required to meet the requirements in paragraphs (a) and (b) of this section. You must also submit a site-specific monitoring plan for your ash handling system, as specified in paragraph (d) of this section. You must submit and update your monitoring plans as specified in paragraphs (f) through (h) of this section.
(a) For each continuous monitoring system, your monitoring plan must address the elements and requirements specified in paragraphs (a)(1) through (8) of this section. You must operate and maintain the continuous monitoring system in continuous operation according to the site-specific monitoring plan.
(1) Installation of the continuous monitoring system sampling probe or other interface at a measurement location relative to each affected process unit such that the measurement is representative of control of the exhaust emissions (
(2) Performance and equipment specifications for the sample interface, the pollutant concentration or parametric signal analyzer and the data collection and reduction systems.
(3) Performance evaluation procedures and acceptance criteria (
(i) For continuous emissions monitoring systems, your performance evaluation and acceptance criteria must include, but is not limited to, the following:
(A) The applicable requirements for continuous emissions monitoring systems specified in § 60.13 of this chapter.
(B) The applicable performance specifications (
(C) The applicable procedures (
(D) A discussion of how the occurrence and duration of out-of-control periods will affect the suitability of CEMS data, where out-of-control has the meaning given in paragraph (a)(7)(i) of this section.
(ii) For continuous parameter monitoring systems, your performance evaluation and acceptance criteria must include, but is not limited to, the following:
(A) If you have an operating limit that requires the use of a flow monitoring system, you must meet the requirements
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(C) If you have an operating limit that requires a pH monitoring system, you must meet the requirements in paragraphs (a)(3)(ii)(C)(
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(D) If you have an operating limit that requires the use of a temperature measurement device, you must meet the requirements in paragraphs (a)(3)(ii)(D)(
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(E) If you have an operating limit that requires a secondary electric power monitoring system for an electrostatic precipitator, you must meet the requirements in paragraphs (a)(3)(ii)(E)(
(
(
(F) If you have an operating limit that requires the use of a monitoring system to measure sorbent injection rate (
(
(
(4) Ongoing operation and maintenance procedures in accordance with the general requirements of § 60.11(d) of this chapter.
(5) Ongoing data quality assurance procedures in accordance with the general requirements of § 60.13 of this chapter.
(6) Ongoing recordkeeping and reporting procedures in accordance with the general requirements of § 60.7(b), (c) introductory text, (c)(1), (c)(4), (d), (e), (f), and (g) of this chapter.
(7) Provisions for periods when the continuous monitoring system is out of control, as follows:
(i) A continuous monitoring system is out of control if the conditions of paragraph (a)(7)(i)(A) or (B) of this section are met.
(A) The zero (low-level), mid-level (if applicable), or high-level calibration drift exceeds two times the applicable calibration drift specification in the applicable performance specification or in the relevant standard.
(B) The continuous monitoring system fails a performance test audit (
(ii) When the continuous monitoring system is out of control as specified in paragraph (a)(7)(i) of this section, you must take the necessary corrective action and must repeat all necessary tests that indicate that the system is out of control. You must take corrective action and conduct retesting until the performance requirements are below the applicable limits. The beginning of the out-of-control period is the hour you conduct a performance check (
(8) Schedule for conducting initial and periodic performance evaluations of your continuous monitoring systems.
(b) If a bag leak detection system is used, your monitoring plan must include a description of the following items:
(1) Installation of the bag leak detection system in accordance with paragraphs (b)(1)(i) and (ii) of this section.
(i) Install the bag leak detection sensor(s) in a position(s) that will be representative of the relative or absolute particulate matter loadings for each
(ii) Use a bag leak detection system certified by the manufacturer to be capable of detecting particulate matter emissions at concentrations of 10 milligrams per actual cubic meter or less.
(2) Initial and periodic adjustment of the bag leak detection system, including how the alarm set-point will be established. Use a bag leak detection system equipped with a system that will sound an alarm when the system detects an increase in relative particulate matter emissions over a preset level. The alarm must be located where it is observed readily and any alert is detected and recognized easily by plant operating personnel.
(3) Evaluations of the performance of the bag leak detection system, performed in accordance with your monitoring plan and consistent with the guidance provided in OAQPS Fabric Filter Bag Leak Detection Guidance, EPA-454/R-98-015, September 1997. The Director of the Federal Register approves this incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You may obtain a copy from the U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460, (202) 272-0167,
(4) Operation of the bag leak detection system, including quality assurance procedures.
(5) Maintenance of the bag leak detection system, including a routine maintenance schedule and spare parts inventory list.
(6) Recordkeeping (including record retention) of the bag leak detection system data. Use a bag leak detection system equipped with a device to continuously record the output signal from the sensor.
(c) You must conduct an initial performance evaluation of each continuous monitoring system and bag leak detection system, as applicable, in accordance with your monitoring plan and to § 60.13(c) of this chapter. For the purpose of this subpart, the provisions of § 60.13(c) also apply to the bag leak detection system. You must conduct the initial performance evaluation of each continuous monitoring system within 60 days of installation of the monitoring system
(d) You must submit a monitoring plan specifying the ash handling system operating procedures that you will follow to ensure that you meet the fugitive emissions limit specified in Table 2 or 3 to this subpart.
(e) You may submit an application to the Administrator for approval of alternate monitoring requirements to demonstrate compliance with the standards of this subpart, subject to the provisions of paragraphs (e)(1) through (6) of this section.
(1) The Administrator will not approve averaging periods other than those specified in this section, unless you document, using data or information, that the longer averaging period will ensure that emissions do not exceed levels achieved over the duration of three performance test runs.
(2) If the application to use an alternate monitoring requirement is approved, you must continue to use the original monitoring requirement until approval is received to use another monitoring requirement.
(3) You must submit the application for approval of alternate monitoring requirements no later than the notification of performance test. The application must contain the information specified in paragraphs (e)(3)(i) through (iii) of this section:
(i) Data or information justifying the request, such as the technical or economic infeasibility, or the impracticality of using the required approach.
(ii) A description of the proposed alternative monitoring requirement, including the operating parameter to be monitored, the monitoring approach and technique, the averaging period for the limit, and how the limit is to be calculated.
(iii) Data or information documenting that the alternative monitoring requirement would provide equivalent or better assurance of compliance with the relevant emission standard.
(4) The Administrator will notify you of the approval or denial of the application within 90 calendar days after receipt of the original request, or within 60 calendar days of the receipt of any supplementary information, whichever is later. The Administrator will not approve an alternate monitoring application unless it would provide equivalent or better assurance of compliance with the relevant emission standard. Before disapproving any alternate monitoring application, the Administrator will provide the following:
(i) Notice of the information and findings upon which the intended disapproval is based.
(ii) Notice of opportunity for you to present additional supporting information before final action is taken on the application. This notice will specify how much additional time is allowed for you to provide additional supporting information.
(5) You are responsible for submitting any supporting information in a timely manner to enable the Administrator to consider the application prior to the performance test. Neither submittal of an application, nor the Administrator's failure to approve or disapprove the application relieves you of the responsibility to comply with any provision of this subpart.
(6) The Administrator may decide at any time, on a case-by-case basis, that additional or alternative operating limits, or alternative approaches to establishing operating limits, are necessary to demonstrate compliance with the emission standards of this subpart.
(f) You must submit your monitoring plans required in paragraphs (a) and (b) of this section at least 60 days before your initial performance evaluation of your continuous monitoring system(s).
(g) You must submit your monitoring plan for your ash handling system, as required in paragraph (d) of this section, at least 60 days before your initial compliance test date.
(h) You must update and resubmit your monitoring plan if there are any changes or potential changes in your monitoring procedures or if there is a process change, as defined in § 62.16045.
To demonstrate continuous compliance with the emission limits and standards specified in Table 2 or 3 to this subpart, use the procedures specified in paragraph (a) of this section. In lieu of using the procedures specified in paragraph (a) of this section, you have the option to demonstrate initial compliance using the procedures specified in paragraph (b) of this section for particulate matter, hydrogen chloride, carbon monoxide, dioxins/furans (total mass basis or toxic equivalency basis), mercury, nitrogen oxides, sulfur dioxide, cadmium, lead and fugitive emissions from ash handling. You must meet the requirements of paragraphs (a) and (b) of this section, as applicable, and paragraphs (c) through (e) of this section, according to the performance testing, monitoring, and calibration requirements in § 62.16015(a) and (b).
(a) Demonstrate continuous compliance using a performance test. Except as provided in paragraphs (a)(3) and (e) of this section, following the date that the initial performance test for each pollutant in Table 2 or 3 to this subpart is completed, you must conduct a performance test for each such pollutant on an annual basis (between 11 and 13 calendar months following the previous performance test). The performance test must be conducted using the test methods, averaging methods, and minimum sampling volumes or durations specified in Table 2 or 3 to this subpart and according to the testing, monitoring and calibration requirements specified in § 62.16015(a).
(1) You may conduct a repeat performance test at any time to establish new values for the operating limits to apply from that point forward. The Administrator may request a repeat performance test at any time.
(2) You must repeat the performance test within 60 days of a process change, as defined in § 62.16045.
(3) Except as specified in paragraphs (a)(1) and (2) of this section, you can conduct performance tests less often for a given pollutant, as specified in paragraphs (a)(3)(i) through (iii) of this section.
(i) You can conduct performance tests less often if your performance tests for the pollutant for at least 2 consecutive years show that your emissions are at or below 75-percent of the emission limit specified in Table 2 or 3 to this subpart, and there are no changes in the operation of the affected source or air pollution control equipment that could increase emissions. In this case, you do not have to conduct a performance test for that pollutant for the next 2 years. You must conduct a performance test during the third year and no more than 37 months after the previous performance test.
(ii) If your SSI unit continues to meet the emission limit for the pollutant, you may choose to conduct performance tests for the pollutant every third year if your emissions are at or below 75-percent of the emission limit, and if there are no changes in the operation of the affected source or air pollution control equipment that could increase emissions, but each such performance test must be conducted no more than 37 months after the previous performance test.
(iii) If a performance test shows emissions exceeded 75-percent of the emission limit for a pollutant, you must conduct annual performance tests for that pollutant until all performance tests over 2 consecutive years show compliance.
(b) Demonstrate continuous compliance using a continuous emissions monitoring system or continuous automated sampling system. The option to use a continuous emissions monitoring system for hydrogen chloride, dioxins/furans, cadmium or lead takes effect on the date a final performance specification applicable to hydrogen chloride, dioxins/furans, cadmium or lead is published in the
(1) To demonstrate continuous compliance with the emission limits for particulate matter, hydrogen chloride, carbon monoxide, dioxins/furans (total mass basis or toxic equivalency basis), mercury, nitrogen oxides, sulfur dioxide, cadmium and lead, you may substitute the use of a continuous monitoring system in lieu of conducting the annual performance test required in paragraph (a) of this section, as follows:
(i) You may substitute the use of a continuous emissions monitoring system for any pollutant specified in paragraph (b)(1) of this section in lieu of conducting the annual performance test for that pollutant in paragraph (a) of this section. For determining compliance with the carbon monoxide concentration limit using carbon monoxide CEMS, the correction to 7-percent oxygen does not apply during periods of startup or shutdown. Use the measured carbon monoxide concentration without correcting for oxygen concentration in averaging with other carbon monoxide concentrations (corrected to 7-percent oxygen) to determine the 24-hour average value.
(ii) You may substitute the use of a continuous automated sampling system for mercury or dioxins/furans in lieu of conducting the annual mercury or dioxin/furan performance test in paragraph (a) of this section.
(2) If you use a continuous emissions monitoring system to demonstrate compliance with an applicable emission limit in paragraph (b)(1) of this section, you must use the continuous emissions monitoring system and follow the requirements specified in § 62.16015(b). You must measure emissions according to § 60.13 of this chapter to calculate 1-hour arithmetic averages, corrected to 7-percent oxygen (or carbon dioxide). You must demonstrate initial compliance using a 24-hour block average of these 1-hour arithmetic average emission concentrations, calculated using Equation 19-19 in section 12.4.1 of Method 19 of 40 CFR part 60, appendix A-7.
(3) If you use a continuous automated sampling system to demonstrate compliance with an applicable emission limit in paragraph (b)(1) of this section, you must:
(i) Use the continuous automated sampling system specified in § 60.58b(p) and (q) of this chapter, and measure and calculate average emissions corrected to 7-percent oxygen (or carbon dioxide) according to § 60.58b(p) and your monitoring plan.
(A) Use the procedures specified in § 60.58b(p) of this chapter to calculate 24-hour averages to determine compliance with the mercury emission limit in Table 2 or 3 to this subpart.
(B) Use the procedures specified in § 60.58b(p) of this chapter to calculate 2-week averages to determine compliance with the dioxin/furan (total mass basis or toxic equivalency basis) emission limits in Table 2 or 3 to this subpart.
(ii) Update your monitoring plan as specified in § 60.4880(e) of this chapter. For mercury continuous automated sampling systems, you must use Performance Specification 12B of appendix B of part 75 of this chapter and Procedure 5 of appendix F of part 60 of this chapter.
(4) Except as provided in paragraph (e) of this section, you must complete your periodic performance evaluations required in your monitoring plan for any continuous emissions monitoring systems and continuous automated sampling systems, according to the schedule specified in your monitoring plan. If you were previously determining compliance by conducting an annual performance test (or according to the less frequent testing for a pollutant as provided in paragraph (a)(3) of this section), you must complete the initial performance evaluation required under your monitoring plan in § 62.15995 for the continuous monitoring system prior to using the continuous emissions monitoring system to demonstrate compliance or continuous automated sampling system. Your performance evaluation must be conducted using the procedures and acceptance criteria specified in § 62.15995(a)(3).
(c) To demonstrate compliance with the dioxins/furans toxic equivalency emission limit in paragraph (a) or (b) of this section, you must determine
(1) Measure the concentration of each dioxin/furan tetra- through octachlorinated-isomer emitted using Method 23 at 40 CFR part 60, appendix A-7.
(2) For each dioxin/furan (tetra- through octachlorinated) isomer measured in accordance with paragraph (c)(1) of this section, multiply the isomer concentration by its corresponding toxic equivalency factor specified in Table 5 to this subpart.
(3) Sum the products calculated in accordance with paragraph (c)(2) of this section to obtain the total concentration of dioxins/furans emitted in terms of toxic equivalency.
(d) You must submit an annual compliance report as specified in § 62.16030(c). You must submit a deviation report as specified in § 62.16030(d) for each instance that you did not meet each emission limit in Tables 2 and 3 to this subpart.
(e) If you demonstrate continuous compliance using a performance test, as specified in paragraph (a) of this section, then the provisions of this paragraph (e) apply. If a force majeure is about to occur, occurs, or has occurred for which you intend to assert a claim of force majeure, you must notify the Administrator in writing as specified in § 62.16030(f). You must conduct the performance test as soon as practicable after the force majeure occurs. The Administrator will determine whether or not to grant the extension to the performance test deadline, and will notify you in writing of approval or disapproval of the request for an extension as soon as practicable. Until an extension of the performance test deadline has been approved by the Administrator, you remain strictly subject to the requirements of this subpart.
(f) After any initial requests in § 62.15995 for alternative monitoring requirements for initial compliance, you may subsequently petition the Administrator for alternative monitoring parameters as specified in §§ 60.13(i) of this chapter and 62.15995(e).
You must continuously monitor your operating parameters as specified in paragraph (a) of this section and meet the requirements of paragraphs (b) and (c) of this section, according to the monitoring and calibration requirements in § 62.16020. You must confirm and re-establish your operating limits as specified in paragraph (d) of this section.
(a) You must continuously monitor the operating parameters specified in paragraphs (a)(1) and (2) of this section using the continuous monitoring equipment and according to the procedures specified in § 62.16020 or established in § 62.15965. To determine compliance, you must use the data averaging period specified in Table 4 to this subpart (except for alarm time of the baghouse leak detection system) unless a different averaging period is established under § 62.15965.
(1) You must demonstrate that the SSI unit meets the operating limits established according to §§ 62.15965 and 62.15985 and paragraph (d) of this section for each applicable operating parameter.
(2) You must demonstrate that the SSI unit meets the operating limit for bag leak detection systems as follows:
(i) For a bag leak detection system, you must calculate the alarm time as follows:
(A) If inspection of the fabric filter demonstrates that no corrective action is required, no alarm time is counted.
(B) If corrective action is required, each alarm time shall be counted as a minimum of 1 hour.
(C) If you take longer than 1 hour to initiate corrective action, each alarm time (
(ii) Your maximum alarm time is equal to 5-percent of the operating time during a 6-month period, as specified in § 62.15960(c).
(b) Operation above the established maximum, below the established minimum, or outside the allowable range of the operating limits specified in paragraph (a) of this section constitutes a deviation from your operating limits established under this subpart, except during performance tests conducted to determine compliance with the emission and operating limits or to establish new operating limits. You must submit the deviation report specified in § 62.16030(d) for each instance that you did not meet one of your operating limits established under this subpart.
(c) You must submit the annual compliance report specified in § 62.16030(c) to demonstrate continuous compliance.
(d) You must confirm your operating limits according to paragraph (d)(1) of this section or re-establish operating limits according to paragraph (d)(2) of this section. Your operating limits must be established so as to assure ongoing compliance with the emission limits. These requirements also apply to your operating requirements in your fugitive emissions monitoring plan specified in § 62.15960(d).
(1) Your operating limits must be based on operating data recorded during any performance test required in § 62.16000(a) or any performance evaluation required in § 62.16000(b)(4).
(2) You may conduct a repeat performance test at any time to establish new values for the operating limits to apply from that point forward.
(a) You must conduct an annual inspection of each air pollution control device used to comply with the emission limits, according to § 62.16015(c), no later than 12 months following the previous annual air pollution control device inspection.
(b) Within 10 operating days following an air pollution control device inspection, all necessary repairs must be completed unless you obtain written approval from the Administrator establishing a date whereby all necessary repairs of the affected SSI unit must be completed.
You must meet, as applicable, the performance testing requirements specified in paragraph (a) of this section, the monitoring requirements specified in paragraph (b) of this section, the air pollution control device inspections requirements specified in paragraph (c) of this section, and the bypass stack provisions specified in paragraph (d) of this section.
(a)
(2) You must document that the dry sludge burned during the performance test is representative of the sludge burned under normal operating conditions by:
(i) Maintaining a log of the quantity of sewage sludge burned during the
(ii) Maintaining a log of the moisture content of the sewage sludge burned during the performance test by taking grab samples of the sewage sludge fed to the incinerator for each 8 hour period that testing is conducted.
(3) All performance tests must be conducted using the test methods, minimum sampling volume, observation period, and averaging method specified in Table 2 or 3 to this subpart.
(4) Method 1 at 40 CFR part 60, appendix A, must be used to select the sampling location and number of traverse points.
(5) Method 3A or 3B at 40 CFR part 60, appendix A-2, must be used for gas composition analysis, including measurement of oxygen concentration. Method 3A or 3B at 40 CFR part 60, appendix A-2, must be used simultaneously with each method.
(6) All pollutant concentrations must be adjusted to 7-percent oxygen using Equation 1 of this section:
(7) Performance tests must be conducted and data reduced in accordance with the test methods and procedures contained in this subpart unless the Administrator does one of the following.
(i) Specifies or approves, in specific cases, the use of a method with minor changes in methodology.
(ii) Approves the use of an equivalent method.
(iii) Approves the use of an alternative method the results of which he has determined to be adequate for indicating whether a specific source is in compliance.
(iv) Waives the requirement for performance tests because you have demonstrated by other means to the Administrator's satisfaction that the affected SSI unit is in compliance with the standard.
(v) Approves shorter sampling times and smaller sample volumes when necessitated by process variables or other factors. Nothing in this paragraph (a)(7) is construed to abrogate the Administrator's authority to require testing under section 114 of the Clean Air Act.
(8) You must provide the Administrator at least 30 days prior notice of any performance test, except as specified under other subparts, to afford the Administrator the opportunity to have an observer present. If after 30 days' notice for an initially scheduled performance test, there is a delay (due to operational problems, etc.) in conducting the scheduled performance test, you must notify the Administrator as soon as possible of any delay in the original test date, either by providing at least 7 days prior notice of the rescheduled date of the performance test, or by arranging a rescheduled date with the Administrator by mutual agreement.
(9) You must provide, or cause to be provided, performance testing facilities as follows:
(i) Sampling ports adequate for the test methods applicable to the SSI unit, as follows:
(A) Constructing the air pollution control system such that volumetric flow rates and pollutant emission rates can be accurately determined by applicable test methods and procedures.
(B) Providing a stack or duct free of cyclonic flow during performance tests, as demonstrated by applicable test methods and procedures.
(ii) Safe sampling platform(s).
(iii) Safe access to sampling platform(s).
(iv) Utilities for sampling and testing equipment.
(10) Unless otherwise specified in this subpart, each performance test must consist of three separate runs using the applicable test method. Each run must be conducted for the time and under the conditions specified in the applicable standard. Compliance with each emission limit must be determined by calculating the arithmetic mean of the three runs. In the event that a sample is accidentally lost or conditions occur in which one of the three runs must be discontinued because of forced shutdown, failure of an irreplaceable portion of the sample train, extreme meteorological conditions, or other circumstances, beyond your control, compliance may, upon the Administrator's approval, be determined using the arithmetic mean of the results of the two other runs.
(11) During each test run specified in paragraph (a)(1) of this section, you must operate your sewage sludge incinerator at a minimum of 85-percent of your maximum permitted capacity.
(b)
(1) You must notify the Administrator 1 month before starting use of the continuous emissions monitoring system.
(2) You must notify the Administrator 1 month before stopping use of the continuous emissions monitoring system, in which case you must also conduct a performance test within prior to ceasing operation of the system.
(3) You must install, operate, calibrate, and maintain an instrument for continuously measuring and recording the emissions to the atmosphere in accordance with the following:
(i) Section 60.13 of subpart A of part 60 of this chapter.
(ii) The following performance specifications of appendix B of part 60 of this chapter, as applicable:
(A) For particulate matter, Performance Specification 11 of appendix B of part 60 of this chapter.
(B) For hydrogen chloride, Performance Specification 15 of appendix B of part 60 of this chapter.
(C) For carbon monoxide, Performance Specification 4B of appendix B of part 60 of this chapter with spans appropriate to the applicable emission limit.
(D) [Reserved]
(E) For mercury, Performance Specification 12A of appendix B of part 60 of this chapter.
(F) For nitrogen oxides, Performance Specification 2 of appendix B of part 60 of this chapter.
(G) For sulfur dioxide, Performance Specification 2 of appendix B of part 60 of this chapter.
(iii) For continuous emissions monitoring systems, the quality assurance procedures (
(A) For particulate matter, Procedure 2 in appendix F of part 60 of this chapter.
(B) For hydrogen chloride, Procedure 1 in appendix F of part 60 of this chapter except that the Relative Accuracy Test Audit requirements of Procedure 1 shall be replaced with the validation requirements and criteria of sections 11.1.1 and 12.0 of Performance Specification 15 of appendix B of part 60 of this chapter.
(C) For carbon monoxide, Procedure 1 in appendix F of part 60 of this chapter.
(D) [Reserved]
(E) For mercury, Procedures 5 in appendix F of part 60 of this chapter.
(F) For nitrogen oxides, Procedure 1 in appendix F of part 60 of this chapter.
(G) For sulfur dioxide, Procedure 1 in appendix F of part 60 of this chapter.
(iv) If your monitoring system has a malfunction or out-of-control period, you must complete repairs and resume operation of your monitoring system as expeditiously as possible.
(4) During each relative accuracy test run of the continuous emissions monitoring system using the performance specifications in paragraph (b)(3)(ii) of this section, emission data for each regulated pollutant and oxygen (or carbon dioxide as established in paragraph (b)(5) of this section) must be collected concurrently (or within a 30- to 60-minute period) by both the continuous emissions monitoring systems and the test methods specified in paragraph (b)(4)(i) through (viii) of this section. Relative accuracy testing must be at representative operating conditions while the SSI unit is charging sewage sludge.
(i) For particulate matter, Method 5 at 40 CFR part 60, appendix A-3, or Method 26A or 29 at 40 CFR part 60, appendix A-8, shall be used.
(ii) For hydrogen chloride, Method 26 or 26A at 40 CFR part 60, appendix A-8, shall be used, as specified in Tables 2 and 3 to this subpart.
(iii) For carbon monoxide, Method 10, 10A, or 10B at 40 CFR part 60, appendix A-4, shall be used.
(iv) For dioxins/furans, Method 23 at 40 CFR part 60, appendix A-7, shall be used.
(v) For mercury, cadmium and lead, Method 29 at 40 CFR part 60, appendix A-8, shall be used. Alternatively for mercury, either Method 30B at 40 CFR part 60, appendix A-8, or ASTM D6784-02 (Reapproved 2008) (see paragraph (e) of this section).
(vi) For nitrogen oxides, Method 7 or 7E at 40 CFR part 60, appendix A-4, shall be used.
(vii) For sulfur dioxide, Method 6 or 6C at 40 CFR part 60, appendix A-4, or as an alternative ANSI/ASME PTC 19.10-1981, Flue and Exhaust Gas Analyses [Part 10, Instruments and Apparatus] must be used (see paragraph (e) of this section). For sources that have actual inlet emissions less than 100 parts per million dry volume, the relative accuracy criterion for the inlet of the sulfur dioxide continuous emissions monitoring system should be no greater than 20-percent of the mean value of the method test data in terms of the units of the emission standard, or 5 parts per million dry volume absolute value of the mean difference between the method and the continuous emissions monitoring system, whichever is greater.
(viii) For oxygen (or carbon dioxide as established in paragraph (b)(5) of this section), Method 3A or 3B at 40 CFR part 60, appendix A-2, or as an alternative ANSI/ASME PTC 19.10-1981, Flue and Exhaust Gas Analyses [Part 10, Instruments and Apparatus], as applicable, must be used (see paragraph (e) of this section).
(5) You may request that compliance with the emission limits be determined using carbon dioxide measurements corrected to an equivalent of 7-percent oxygen. If carbon dioxide is selected for use in diluent corrections, the relationship between oxygen and carbon dioxide levels must be established during the initial performance test according to the procedures and methods specified in paragraphs (b)(5)(i) through (iv) of this section. This relationship may be re-established during subsequent performance tests.
(i) The fuel factor equation in Method 3B at 40 CFR part 60, appendix A-2, must be used to determine the relationship between oxygen and carbon dioxide at a sampling location. Method 3A or 3B at 50 CFR part 60, appendix A-2, or as an alternative ANSI/ASME PTC 19.10-1981, Flue and Exhaust Gas Analyses [Part 10, Instruments and Apparatus], as applicable, must be used to determine the oxygen concentration at the same location as the carbon dioxide monitor(see paragraph (e) of this section).
(ii) Samples must be taken for at least 30 minutes in each hour.
(iii) Each sample must represent a 1-hour average.
(iv) A minimum of three runs must be performed.
(6) You must operate the continuous monitoring system and collect data with the continuous monitoring system as follows:
(i) You must collect data using the continuous monitoring system at all times the affected SSI unit is operating and at the intervals specified in paragraph (b)(6)(ii) of this section, except for periods of monitoring system malfunctions that occur during periods specified in § 62.15995(a)(7)(i), repairs associated with monitoring system malfunctions, and required monitoring system quality assurance or quality control activities (including, as applicable, calibration checks and required zero and span adjustments). Any such periods that you do not collect data using the continuous monitoring system constitute a deviation from the monitoring requirements and must be reported in a deviation report.
(ii) You must collect continuous emissions monitoring system data in accordance with § 60.13(e)(2) of this chapter.
(iii) Any data collected during monitoring system malfunctions, repairs associated with monitoring system malfunctions, or required monitoring system quality assurance or control activities must not be included in calculations used to report emissions or operating levels. Any such periods must be reported in a deviation report.
(iv) Any data collected during periods when the monitoring system is out of control as specified in § 60.4880(a)(7)(i) of this chapter, repairs associated with periods when the monitoring system is out of control, or required monitoring system quality assurance or control activities conducted during out-of-control periods must not be included in calculations used to report emissions or operating levels. Any such periods that do not coincide with a monitoring
(v) You must use all the data collected during all periods except those periods specified in paragraphs (b)(6)(iii) and (iv) of this section in assessing the operation of the control device and associated control system.
(7) If you elect to use a continuous automated sampling system instead of conducting annual performance testing, you must:
(i) Install, calibrate, maintain and operate a continuous automated sampling system according to the site-specific monitoring plan developed in § 60.58b(p)(1) through (6), (9), (10), and (q) of this chapter.
(ii) Collect data according to § 60.58b(p)(5) of this chapter and paragraph (b)(6) of this section.
(c)
(1) Inspect air pollution control device(s) for proper operation.
(2) Generally observe that the equipment is maintained in good operating condition.
(3) Develop a site-specific monitoring plan according to the requirements in § 62.15995. This requirement also applies to you if you petition the EPA Administrator for alternative monitoring parameters under § 60.13(i) of this chapter.
(d)
(e)
(1) American Society of Mechanical Engineers (ASME), Three Park Avenue, New York, NY 10016-5990 (Phone: 1-800-843-2763; Web site:
(i) ANSI/ASME PTC 19.10-1981, Flue and Exhaust Gas Analyses [Part 10, Instruments and Apparatus].
(ii) [Reserved]
(2) ASTM Int'l, 100 Barr Harbor Drive, Post Office Box C700, West Conshohocken, PA 19428-2959; or ProQuest, 300 North Zeeb Road, Ann Arbor, MI 48106 (Phone: 1-877-909-2786; Web site:
(i) ASTM D6784-02 (Reapproved 2008) Standard Test Method for Elemental, Oxidized, Particle-Bound and Total Mercury in Flue Gas Generated from Coal-Fired Stationary Sources (Ontario Hydro Method), approved April 1, 2008.
(ii) [Reserved]
(3) U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460, (202) 272-0167,
(i) OAQPS Fabric Filter Bag Leak Detection Guidance, EPA-454/R-98-015, September 1997.
(ii) [Reserved]
(a) You must install, operate, calibrate and maintain the continuous parameter monitoring systems according to the requirements in paragraphs (a)(1) and (2) of this section.
(1) Meet the following general requirements for flow, pressure, pH and operating temperature measurement devices:
(i) You must collect data using the continuous monitoring system at all times the affected SSI unit is operating and at the intervals specified in paragraph (a)(1)(ii) of this section, except for periods of monitoring system malfunctions that occur during periods specified defined in § 62.15995(a)(7)(i), repairs associated with monitoring system malfunctions, and required monitoring system quality assurance or quality control activities (including, as applicable, calibration checks and required zero and span adjustments). Any such periods that you do not collect data using the continuous monitoring system constitute a deviation from the monitoring requirements and must be reported in a deviation report.
(ii) You must collect continuous parameter monitoring system data in accordance with § 60.13(e)(2) of this chapter.
(iii) Any data collected during monitoring system malfunctions, repairs associated with monitoring system malfunctions, or required monitoring system quality assurance or control activities must not be included in calculations used to report emissions or operating levels. Any such periods must be reported in your annual deviation report.
(iv) Any data collected during periods when the monitoring system is out of control as specified in § 62.15995(a)(7)(i) must not be included in calculations used to report emissions or operating levels. Any such periods that do not coincide with a monitoring system malfunction, as defined in § 62.16045, constitute a deviation from the monitoring requirements and must be reported in a deviation report.
(v) You must use all the data collected during all periods except those periods specified in paragraphs (a)(1)(iii) and (iv) of this section in assessing the operation of the control device and associated control system.
(vi) Record the results of each inspection, calibration and validation check.
(2) Operate and maintain your continuous monitoring system according to your monitoring plan required under § 60.4880 of this chapter. Additionally:
(i) For carrier gas flow rate monitors (for activated carbon injection), during the performance test conducted pursuant to § 60.4885 chapter, you must demonstrate that the system is maintained within ±5-percent accuracy, according to the procedures in appendix A to part 75 of this chapter.
(ii) For carrier gas pressure drop monitors (for activated carbon injection), during the performance test conducted pursuant to § 60.4885 of this chapter, you must demonstrate that the system is maintained within ±5-percent accuracy.
(b) You must operate and maintain your bag leak detection system in continuous operation according to your monitoring plan required under § 60.4880 of this chapter. Additionally:
(1) For positive pressure fabric filter systems that do not duct all compartments of cells to a common stack, a bag leak detection system must be installed in each baghouse compartment or cell.
(2) Where multiple bag leak detectors are required, the system's instrumentation and alarm may be shared among detectors.
(3) You must initiate procedures to determine the cause of every alarm within 8 hours of the alarm, and you must alleviate the cause of the alarm within 24 hours of the alarm by taking whatever corrective action(s) are necessary. Corrective actions may
(i) Inspecting the fabric filter for air leaks, torn or broken bags or filter media or any other condition that may cause an increase in particulate matter emissions.
(ii) Sealing off defective bags or filter media.
(iii) Replacing defective bags or filter media or otherwise repairing the control device.
(iv) Sealing off a defective fabric filter compartment.
(v) Cleaning the bag leak detection system probe or otherwise repairing the bag leak detection system.
(vi) Shutting down the process producing the particulate matter emissions.
(c) You must operate and maintain the continuous parameter monitoring systems specified in paragraphs (a) and (b) of this section in continuous operation according to your monitoring plan required under § 60.4880 of this chapter.
(d) If your SSI unit has a bypass stack, you must install, calibrate (to manufacturers' specifications), maintain and operate a device or method for measuring the use of the bypass stack including date, time and duration.
You must maintain the items (as applicable) specified in paragraphs (a) through (n) of this section for a period of at least 5 years. All records must be available on site in either paper copy or computer-readable format that can be printed upon request, unless an alternative format is approved by the Administrator.
(a)
(b)
(c)
(1) Documentation of the following operator training procedures and information:
(i) Summary of the applicable standards under this subpart.
(ii) Procedures for receiving, handling and feeding sewage sludge.
(iii) Incinerator startup, shutdown, and malfunction preventative and corrective procedures.
(iv) Procedures for maintaining proper combustion air supply levels.
(v) Procedures for operating the incinerator and associated air pollution control systems within the standards established under this subpart.
(vi) Monitoring procedures for demonstrating compliance with the incinerator operating limits.
(vii) Reporting and recordkeeping procedures.
(viii) Procedures for handling ash.
(ix) A list of the materials burned during the performance test, if in addition to sewage sludge.
(x) For each qualified operator and other plant personnel who may operate the unit according to the provisions of § 62.15945(a), the phone and/or pager number at which they can be reached during operating hours.
(2) Records showing the names of SSI unit operators and other plant personnel who may operate the unit according to the provisions of § 62.15945(a), as follows:
(i) Records showing the names of SSI unit operators and other plant personnel who have completed review of the information in paragraph (c)(1) of this section as required by § 62.15950(b), including the date of the initial review and all subsequent annual reviews.
(ii) Records showing the names of the SSI unit operators who have completed the operator training requirements under § 62.15920, met the criteria for qualification under § 62.15930, and maintained or renewed their qualification under § 62.15935 or § 62.15940. Records must include documentation of training, including the dates of their initial qualification and all subsequent renewals of such qualifications.
(3) Records showing the periods when no qualified operators were accessible for more than 8 hours, but less than 2 weeks, as required in § 62.15945(a).
(4) Records showing the periods when no qualified operators were accessible for 2 weeks or more along with copies of reports submitted as required in § 62.15945(b).
(d)
(e)
(2) Retain a copy of the complete performance test report, including calculations.
(3) Keep a record of the hourly dry sludge feed rate measured during performance test runs as specified in § 62.16015(a)(2)(i).
(4) Keep any necessary records to demonstrate that the performance test was conducted under conditions representative of normal operations, including a record of the moisture content measured as required in § 62.16015(a)(2)(ii) for each grab sample taken of the sewage sludge burned during the performance test.
(f)
(1) For continuous emissions monitoring systems, all 1-hour average concentrations of particulate matter, hydrogen chloride, carbon monoxide, dioxins/furans total mass basis, mercury, nitrogen oxides, sulfur dioxide, cadmium and lead emissions.
(2) For continuous automated sampling systems, all average concentrations measured for mercury and dioxins/furans total mass basis at the frequencies specified in your monitoring plan.
(3) For continuous parameter monitoring systems:
(i) All 1-hour average values recorded for the following operating parameters, as applicable:
(A) Combustion chamber operating temperature (or afterburner temperature).
(B) If a wet scrubber is used to comply with the rule, pressure drop across each wet scrubber system and liquid flow rate to each wet scrubber used to comply with the emission limit in Table 2 or 3 to this subpart for particulate matter, cadmium or lead and scrubber liquid flow rate and scrubber liquid pH for each wet scrubber used to comply with an emission limit in Table 2 or 3 to this subpart for sulfur dioxide or hydrogen chloride.
(C) If an electrostatic precipitator is used to comply with the rule, secondary voltage of the electrostatic precipitator collection plates and secondary amperage of the electrostatic precipitator collection plates and effluent water flow rate at the outlet of the wet electrostatic precipitator.
(D) If activated carbon injection is used to comply with the rule, sorbent flow rate and carrier gas flow rate or pressure drop, as applicable.
(ii) All daily average values recorded for the feed rate and moisture content of the sewage sludge fed to the sewage
(iii) If a fabric filter is used to comply with the rule, the date, time and duration of each alarm and the time corrective action was initiated and completed, and a brief description of the cause of the alarm and the corrective action taken. You must also record the percent of operating time during each 6-month period that the alarm sounds, calculated as specified in § 62.16005.
(iv) For other control devices for which you must establish operating limits under § 62.15965, you must maintain data collected for all operating parameters used to determine compliance with the operating limits, at the frequencies specified in your monitoring plan.
(g)
(1) Keep records of any notifications to the Administrator in § 60.4915(h)(1) of this chapter of starting or stopping use of a continuous monitoring system for determining compliance with any emissions limit.
(2) Keep records of any requests under § 62.16015(b)(5) that compliance with the emission limits be determined using carbon dioxide measurements corrected to an equivalent of 7-percent oxygen.
(3) If activated carbon injection is used to comply with the rule, the type of sorbent used and any changes in the type of sorbent used.
(h)
(i)
(j)
(k)
(l)
(m)
(n) If a malfunction occurs, you must keep a record of the information submitted in your annual report in § 62.16030(c)(16).
You must submit the reports to the Administrator specified in paragraphs (a) through (i) of this section. See Table 6 to this subpart for a summary of these reports.
(a)
(1) A final control plan as specified in §§ 62.15875 and 62.15900.
(2) You must submit your notification of achievement of submitting the final control plan and achieving final compliance no later than 10 business days after the compliance date as specified in §§ 62.15885 and 62.15890.
(3) If you fail to submit the final control plan and achieve final compliance, you must submit a notification to the Administrator postmarked within 10 business days after the compliance date, as specified in § 62.15895.
(4) If you plan to close your SSI unit rather than comply with the federal plan, submit a closure notification as specified in § 62.15915.
(b)
(1) Company name, physical address and mailing address.
(2) Statement by a responsible official, with that official's name, title and signature, certifying the accuracy of the content of the report.
(3) Date of report.
(4) The complete test report for the initial performance test results obtained by using the test methods specified in Table 2 or 3 to this subpart.
(5) If an initial performance evaluation of a continuous monitoring system was conducted, the results of that initial performance evaluation.
(6) The values for the site-specific operating limits established pursuant to §§ 62.15960 and 62.15965 and the calculations and methods, as applicable, used to establish each operating limit.
(7) If you are using a fabric filter to comply with the emission limits, documentation that a bag leak detection system has been installed and is being operated, calibrated, and maintained as required by § 62.15960(b).
(8) The results of the initial air pollution control device inspection required in § 62.15990, including a description of repairs.
(9) The site-specific monitoring plan required under § 62.15995, at least 60 days before your initial performance evaluation of your continuous monitoring system.
(10) The site-specific monitoring plan for your ash handling system required under § 62.15995, at least 60 days before your initial performance test to demonstrate compliance with your fugitive ash emission limit.
(c)
(1) Company name, physical address and mailing address.
(2) Statement by a responsible official, with that official's name, title and signature, certifying the accuracy of the content of the report.
(3) Date of report and beginning and ending dates of the reporting period.
(4) If a performance test was conducted during the reporting period, the results of that performance test.
(i) If operating limits were established during the performance test, include the value for each operating limit and, as applicable, the method used to establish each operating limit, including calculations.
(ii) If activated carbon is used during the performance test, include the type of activated carbon used.
(5) For each pollutant and operating parameter recorded using a continuous monitoring system, the highest average value and lowest average value recorded during the reporting period, as follows:
(i) For continuous emission monitoring systems and continuous automated sampling systems, report the highest and lowest 24-hour average emission value.
(ii) For continuous parameter monitoring systems, report the following values:
(A) For all operating parameters except scrubber liquid pH, the highest and lowest 12-hour average values.
(B) For scrubber liquid pH, the highest and lowest 3-hour average values.
(6) If there are no deviations during the reporting period from any emission limit, emission standard or operating limit that applies to you, a statement that there were no deviations from the emission limits, emission standard or operating limits.
(7) Information for bag leak detection systems recorded under § 62.16025(f)(3)(iii).
(8) If a performance evaluation of a continuous monitoring system was conducted, the results of that performance evaluation. If new operating limits were established during the performance evaluation, include your calculations for establishing those operating limits.
(9) If you elect to conduct performance tests less frequently as allowed in § 62.16000(a)(3) and did not conduct a performance test during the reporting period, you must include the dates of the last two performance tests, a comparison of the emission level you achieved in the last two performance tests to the 75-percent emission limit threshold specified in § 62.16000(a)(3), and a statement as to whether there have been any process changes and whether the process change resulted in an increase in emissions.
(10) Documentation of periods when all qualified sewage sludge incineration unit operators were unavailable for more than 8 hours, but less than 2 weeks.
(11) Results of annual air pollution control device inspections recorded under § 62.16025(d) for the reporting period, including a description of repairs.
(12) If there were no periods during the reporting period when your continuous monitoring systems had a malfunction, a statement that there were no periods during which your continuous monitoring systems had a malfunction.
(13) If there were no periods during the reporting period when a continuous monitoring system was out of control, a statement that there were no periods during which your continuous monitoring systems were out of control.
(14) If there were no operator training deviations, a statement that there were no such deviations during the reporting period.
(15) If you did not make revisions to your site-specific monitoring plan during the reporting period, a statement that you did not make any revisions to your site-specific monitoring plan during the reporting period. If you made revisions to your site-specific monitoring plan during the reporting period, a copy of the revised plan.
(16) If you had a malfunction during the reporting period, the compliance report must include the number, duration, and a brief description for each type of malfunction that occurred during the reporting period and that caused or may have caused any applicable emission limitation to be exceeded. The report must also include a description of actions taken by an owner or operator during a malfunction of an affected source to minimize emissions in accordance with § 60.11(d), including actions taken to correct a malfunction.
(d)
(i) Any recorded operating parameter level, based on the averaging time specified in Table 4 to this subpart, is above the maximum operating limit or below the minimum operating limit established under this subpart.
(ii) The bag leak detection system alarm sounds for more than 5-percent of the operating time for the 6-month reporting period.
(iii) Any recorded 24-hour block average emissions level is above the emission limit, if a continuous monitoring system is used to comply with an emission limit.
(iv) There are visible emissions of combustion ash from an ash conveying system for more than 5-percent of any compliance test hourly observation period.
(v) A performance test was conducted that deviated from any emission limit in Table 2 or 3 to this subpart.
(vi) A continuous monitoring system was out of control.
(vii) You had a malfunction (
(2) The deviation report must be submitted by August 1 of that year for data collected during the first half of the calendar year (January 1 to June 30), and by February 1 of the following year for data you collected during the second half of the calendar year (July 1 to December 31).
(3) For each deviation where you are using a continuous monitoring system to comply with an associated emission limit or operating limit, report the items described in paragraphs (d)(3)(i) through (viii) of this section.
(i) Company name, physical address and mailing address.
(ii) Statement by a responsible official, with that official's name, title and signature, certifying the accuracy of the content of the report.
(iii) The calendar dates and times your unit deviated from the emission limits, emission standards or operating limits requirements.
(iv) The averaged and recorded data for those dates.
(v) Duration and cause of each deviation from the following:
(A) Emission limits, emission standards, operating limits and your corrective actions.
(B) Bypass events and your corrective actions.
(vi) Dates, times and causes for monitor downtime incidents.
(vii) A copy of the operating parameter monitoring data during each deviation and any test report that documents the emission levels.
(viii) If there were periods during which the continuous monitoring system malfunctioned or was out of control, you must include the following information for each deviation from an emission limit or operating limit:
(A) The date and time that each malfunction started and stopped.
(B) The date, time and duration that each continuous monitoring system was inoperative, except for zero (low-level) and high-level checks.
(C) The date, time and duration that each continuous monitoring system was out of control, including start and end dates and hours and descriptions of corrective actions taken.
(D) The date and time that each deviation started and stopped, and whether each deviation occurred during a period of malfunction, during a period when the system as out of control or during another period.
(E) A summary of the total duration of the deviation during the reporting period, and the total duration as a percent of the total source operating time during that reporting period.
(F) A breakdown of the total duration of the deviations during the reporting period into those that are due to control equipment problems, process problems, other known causes and other unknown causes.
(G) A summary of the total duration of continuous monitoring system downtime during the reporting period, and the total duration of continuous monitoring system downtime as a percent of the total operating time of the SSI unit at which the continuous monitoring system downtime occurred during that reporting period.
(H) An identification of each parameter and pollutant that was monitored at the SSI unit.
(I) A brief description of the SSI unit.
(J) A brief description of the continuous monitoring system.
(K) The date of the latest continuous monitoring system certification or audit.
(L) A description of any changes in continuous monitoring system, processes, or controls since the last reporting period.
(4) For each deviation where you are not using a continuous monitoring system to comply with the associated emission limit or operating limit, report the following items:
(i) Company name, physical address and mailing address.
(ii) Statement by a responsible official, with that official's name, title and signature, certifying the accuracy of the content of the report.
(iii) The total operating time of each affected source during the reporting period.
(iv) The calendar dates and times your unit deviated from the emission limits, emission standards or operating limits requirements.
(v) The averaged and recorded data for those dates.
(vi) Duration and cause of each deviation from the following:
(A) Emission limits, emission standards, operating limits and your corrective actions.
(B) Bypass events and your corrective actions.
(vii) A copy of any performance test report that showed a deviation from the emission limits or standards.
(viii) A brief description of any malfunction reported in paragraph (d)(1)(vii) of this section, including a description of actions taken during the malfunction to minimize emissions in accordance with § 60.11(d) of this chapter and to correct the malfunction.
(e)
(i) Submit a notification of the deviation within 10 days that includes the three items in paragraphs (e)(1)(i)(A) through (C) of this section.
(A) A statement of what caused the deviation.
(B) A description of actions taken to ensure that a qualified operator is accessible.
(C) The date when you anticipate that a qualified operator will be available.
(ii) Submit a status report to the Administrator every 4 weeks that includes the three items in paragraphs (e)(1)(ii)(A) through (C) of this section.
(A) A description of actions taken to ensure that a qualified operator is accessible.
(B) The date when you anticipate that a qualified operator will be accessible.
(C) Request for approval from the Administrator to continue operation of the SSI unit.
(2) If your unit was shut down by the Administrator, under the provisions of § 62.15945(b)(2)(i), due to a failure to provide an accessible qualified operator, you must notify the Administrator within five days of meeting § 62.15945(b)(2)(ii) that you are resuming operation.
(f)
(1) You must notify the Administrator, in writing as soon as practicable following the date you first knew, or through due diligence, should have known that the event may cause or caused a delay in conducting a performance test beyond the regulatory deadline, but the notification must occur before the performance test deadline unless the initial force majeure or a subsequent force majeure event delays the notice, and in such cases, the notification must occur as soon as practicable.
(2) You must provide to the Administrator a written description of the force majeure event and a rationale for attributing the delay in conducting the performance test beyond the regulatory deadline to the force majeure; describe the measures taken or to be taken to minimize the delay; and identify a date by which you propose to conduct the performance test.
(g)
(1) You must notify the Administrator 1 month before starting or stopping use of a continuous monitoring system for determining compliance with any emission limit.
(2) You must notify the Administrator at least 30 days prior to any performance test conducted to comply with the provisions of this subpart, to afford the Administrator the opportunity to have an observer present.
(3) As specified in § 62.16015(a)(8), you must notify the Administrator at least 7 days prior to the date of a rescheduled performance test for which notification was previously made in paragraph (g)(2) of this section.
(h)
(2) Submit performance tests and evaluations according to paragraphs (h)(2)(i) and (ii) of this section.
(i) Within 60 days after the date of completing each performance test (see § 60.8 of this chapter) required by this subpart, you must submit the results of the performance test according to the method specified by either paragraph (h)(2)(i)(A) or (B) of this section.
(A) For data collected using test methods supported by the EPA's Electronic Reporting Tool (ERT) as listed on the EPA's ERT Web site (
(B) For data collected using test methods that are not supported by the EPA's ERT as listed on the EPA's ERT Web site, you must submit the results of the performance test to the Administrator at the appropriate address listed in § 60.4 of this chapter.
(ii) Within 60 days after the date of completing each CEMS performance evaluation (as defined in § 63.2 of this chapter), you must submit the results of the performance evaluation according to the method specified by either paragraph (h)(2)(ii)(A) or (B) of this section.
(A) For performance evaluations of continuous monitoring systems measuring relative accuracy test audit
(B) For any performance evaluations of continuous monitoring systems measuring RATA pollutants that are not supported by the EPA's ERT as listed on the EPA's ERT Web site, you must submit the results of the performance evaluation to the Administrator at the appropriate address listed in § 60.4 of this chapter.
(3)
Yes, if you are subject to an applicable EPA-approved and effective CAA section 111(d)/129 state or tribal plan or an applicable and effective federal plan, you are required to apply for and obtain a title V operating permit for your existing SSI unit unless you meet the relevant requirements for an exemption specified in § 62.15860.
(a) If your existing SSI unit is not subject to an earlier permit application deadline, a complete title V permit application must be submitted on or before the earlier of the dates specified in paragraphs (a)(1) through (3) of this section. (See sections 129(e), 503(c), 503(d), and 502(a) of the Clean Air Act and 40 CFR 70.5(a)(1)(i) and 71.5(a)(1)(i)).
(1) 12 months after the effective date of any applicable EPA-approved Clean Air Act section 111(d)/129 state or tribal plan.
(2) 12 months after the effective date of any applicable federal plan.
(3) March 21, 2014.
(b) For any existing unit not subject to an earlier permit application deadline, the application deadline of 36 months after the promulgation of 40 CFR part 60, subpart MMMM, applies regardless of whether or when any applicable federal plan is effective, or whether or when any applicable Clean Air Act section 111(d)/129 state or tribal plan is approved by the EPA and becomes effective.
(c) If your existing unit is subject to title V as a result of some triggering requirement(s) other than those specified in paragraphs (a) and (b) of this section (for example, a unit may be a major source or part of a major source), then your unit may be required to apply for a title V permit prior to the deadlines specified in paragraphs (a) and (b). If more than one requirement triggers a source's obligation to apply for a title V permit, the 12-month time frame for filing a title V permit application is triggered by the requirement which first causes the source to be subject to title V. (See section 503(c) of the Clean Air Act and 40 CFR 70.3(a) and (b), 70.5(a)(1)(i), 71.3(a) and (b), and 71.5(a)(1)(i).)
(d) A “complete” title V permit application is one that has been determined or deemed complete by the relevant permitting authority under section 503(d) of the Clean Air Act and 40 CFR 70.5(a)(2) or 71.5(a)(2). You must submit a complete permit application by the relevant application deadline in order to operate after this date in compliance with federal law. (See sections 503(d) and 502(a) of the Clean Air Act and 40 CFR 70.7(b) and 71.7(b).)
Terms used but not defined in this subpart are defined in the Clean Air Act and § 60.2 of this chapter.
(1) For units covered by the federal plan, the Administrator of the EPA or his/her authorized representative (
(2) For units covered by an approved state plan, the director of the state air pollution control agency or his/her authorized representative.
(1) Fails to meet any requirement or obligation established by this subpart, including but not limited to any emission limit, operating limit, or operator qualification and accessibility requirements.
(2) Fails to meet any term or condition that is adopted to implement an applicable requirement in this subpart and that is included in the operating permit for any affected source required to obtain such a permit.
(1) The cumulative cost of the changes over the life of the unit exceeds 50-percent of the original cost of building and installing the SSI unit (not including the cost of land) updated to current costs (current dollars). To determine what systems are within the boundary of the SSI unit used to calculate these costs, see the definition of SSI unit.
(2) Any physical change in the SSI unit or change in the method of operating it that increases the amount of any air pollutant emitted for which section 129 or section 111 of the Clean Air Act has established standards.
(1) A change in the process employed at the wastewater treatment facility associated with the affected SSI unit (
(2) A change in the air pollution control devices used to comply with the emission limits for the affected SSI unit (
The authorities that will not be delegated to state, local, or tribal agencies are specified in paragraphs (a) through (g) of this section.
(a) Approval of alternatives to the emission limits and standards in Tables 2 and 3 to this subpart and operating limits established under § 62.15965 or § 62.15985.
(b) Approval of major alternatives to test methods.
(c) Approval of major alternatives to monitoring.
(d) Approval of major alternatives to recordkeeping and reporting.
(e) The requirements in § 62.15965.
(f) The requirements in § 62.15945(b)(2).
(g) Performance test and data reduction waivers under § 60.8(b) of this chapter.
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 |