83 FR 12042 - Proposed Collection; Comment Request
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 53 (March 19, 2018)
Federal Register Volume 83, Issue 53 (March 19, 2018)
| Page Range | 12042-12044 | |
| FR Document | 2018-05430 |
[Federal Register Volume 83, Number 53 (Monday, March 19, 2018)] [Notices] [Pages 12042-12044] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-05430] ======================================================================= ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request Copies Available From: U.S. Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 Extension: OMWI Contract Standard for Contractor Workforce Inclusion, SEC File No. S7-02-15, OMB Control No. 3235-0725 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for approval. Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act) provided that certain agencies, including the Commission, establish an Office of Minority and Women Inclusion (OMWI).\1\ Section 342(c)(2) of the Dodd-Frank Act requires the OMWI Director to include in the Commission's procedures for evaluating contract proposals and hiring service providers a written statement that the contractor shall ensure, to the maximum extent possible, the fair inclusion of women and minorities in the workforce of the contractor and, as applicable, subcontractors. To implement the acquisition-specific requirements of Section 342(c)(2) of the Dodd-Frank Act, the Commission adopted a Contract Standard for Contractor Workforce Inclusion (Contract Standard). --------------------------------------------------------------------------- \1\ 12 U.S.C. 5452. --------------------------------------------------------------------------- The Contract Standard, which is included in the Commission's solicitations and resulting contracts for services with a dollar value of $100,000 or more, contains a ``collection of information'' within the meaning of the Paperwork Reduction Act. The Contract Standard requires that a Commission contractor provide documentation, upon request from the OMWI Director, to [[Page 12043]] demonstrate that it has made good faith efforts to ensure the fair inclusion of minorities and women in its workforce and, as applicable, to demonstrate its covered subcontractors have made such good faith efforts. The documentation requested may include, but is not limited to: (1) The total number of employees in the contractor's workforce, and the number of employees by race, ethnicity, gender, and job title or EEO-1 job category (e.g., EEO-1 Report(s)); (2) a list of covered subcontract awards under the contract that includes the dollar amount of each subcontract, date of award, and the subcontractor's race, ethnicity, and/or gender ownership status; (3) the contractor's plan to ensure the fair inclusion of minorities and women in its workforce, including outreach efforts; and (4) for each covered subcontractor, the information requested in items 1 and 3 above. The OMWI Director will consider the information submitted in evaluating whether the contractor or subcontractor has complied with its obligations under the Contract Standard. The information collection is mandatory. Estimated number of respondents: The Commission estimates that 190 contractors \2\ would be subject to the Contract Standard. Approximately 115 of these contractors have 50 or more employees, while 75 have fewer than 50 employees. Since the last approval of this information collection, we adjusted the estimated number of contractors from 170 contractors to 190 contractors based on the number of contractors awarded contracts the last two years that were subject to the Contract Standard. In addition, we adjusted the number of contractors that have 50 or more employees and the number that have fewer than 50 employees to reflect the percentages of contractors meeting these workforce size thresholds among all contractors reviewed by OMWI for compliance with the Contract Standard during the last two years. --------------------------------------------------------------------------- \2\ Unless otherwise specified, the term ``contractors'' refers to contractors and subcontractors. --------------------------------------------------------------------------- Estimate of recordkeeping burden: The information collection under the Contract Standard imposes no new recordkeeping burdens on the estimated 115 contractors that have 50 or more employees. Such contractors are generally subject to recordkeeping and reporting requirements under the regulations implementing Title VII of the Civil Rights Act \3\ and Executive Order 11246 (``E.O. 11246'').\4\ Their contracts and subcontracts must include the clause implementing E.O. 11246--FAR 52.222-26, Equal Opportunity. In addition, contractors that have 50 or more employees (and a contract or subcontract of $50,000 or more) are required to maintain records on the race, ethnicity, gender, and EEO-1 job category of each employee under Department of Labor regulations implementing E.O. 11246.\5\ The regulations implementing E.O. 11246 also require contractors that have 50 or more employees (and a contract or subcontract of $50,000 or more) to demonstrate that they have made good faith efforts to remove identified barriers, expand employment opportunities, and produce measurable results,\6\ and to develop and maintain a written program, which describes the policies, practices, and procedures that the contractor uses to ensure that applicants and employees receive equal opportunities for employment and advancement.\7\ In lieu of developing a separate plan for workforce inclusion, a contractor may submit its existing written program prescribed by the E.O. 11246 regulations as part of the documentation that demonstrates the contractor's good faith efforts to ensure the fair inclusion of minorities and women in its workforce. Thus, approximately 115 contractors are already required to maintain the information that may be requested under the Contract Standard. --------------------------------------------------------------------------- \3\ 42 U.S.C. 2000e, et seq. \4\ Executive Order 11246, 30 FR 12,319 (Sept. 24, 1965). \5\ See 41 CFR 60-1.7. \6\ See 41 CFR 60-2.17(c). \7\ See 41 CFR part 60-2. --------------------------------------------------------------------------- The estimated 75 contractors that employ fewer than 50 employees are required under the regulations implementing E.O. 11246 to maintain records showing the race, ethnicity and gender of each employee. We believe that these contractors also keep job title information during the normal course of business. However, contractors that have fewer than 50 employees may not have the written program prescribed by the E.O. 11246 regulations or similar plan that could be submitted as part of the documentation to demonstrate their good faith efforts to ensure the fair inclusion of women and minorities in their workforces. Accordingly, contractors with fewer than 50 employees may have to develop a plan to ensure workforce inclusion of minorities and women. In order to estimate the burden on contractors associated with developing a plan for ensuring the inclusion of minorities and women in their workforces, we considered the burden estimates for developing the written programs required under the regulations implementing E.O. 11246.\8\ We also revised the estimated time required to develop and update a plan for workforce inclusion of minorities and women since the last approval of this information collection. Based on OMWI's review of the plans and other documentation submitted by contractors with fewer than 50 employees to demonstrate compliance with the Contract Standard, we believe such contractors would require approximately 25 percent of the hours that contractors of similar size spend on developing the written programs required under the E.O. 11246 regulations. Accordingly, we estimate that contractors would spend about 18 hours of employee resources to develop a plan for workforce inclusion of minorities and women. This one-time implementation burden annualized would be 450 hours. After the initial development, we estimate that each contractor with fewer than 50 employees would spend approximately 8 hours each year updating and maintaining its plan for workforce inclusion of minorities and women. The Commission estimates that the annualized recurring burden associated with the information collection would be 375 hours. Thus, the Commission estimates the annual recordkeeping burden for such contractors would total 825 hours. --------------------------------------------------------------------------- \8\ According to the Supporting Statement for the OFCCP Recordkeeping and Requirements-Supply Service, OMB Control No. 1250- 0003 (``Supporting Statement''), it takes approximately 73 burden hours for contractors with 1-100 employees to develop the initial written program required under the regulations implementing E.O. 11246. We understand the quantitative analyses prescribed by the Executive Order regulations at 41 CFR part 60-2 are a time-consuming aspect of the written program development. As there is no requirement to perform these types of quantitative analyses in connection with plan for workforce inclusion of minorities and women under the Contract Standard, we believe the plan for workforce inclusion will take substantially fewer hours to develop. The Supporting Statement is available at reginfo.gov. --------------------------------------------------------------------------- The Contract Standard requires contractors to maintain information about covered subcontractors' ownership status, workforce demographics, and workforce inclusion plans. Contractors would request this information from their covered subcontractors, who would have an obligation to keep workforce demographic data and maintain plans for workforce inclusion of minorities and women because the Contract Standard is included in their subcontracts. Based on data describing recent Commission subcontractor activity, we believe that few subcontractors will have subcontracts [[Page 12044]] under Commission service contracts with a dollar value of $100,000 or more.\9\ These subcontractors may already be subject to similar recordkeeping requirements as principal contractors. Consequently, we believe that any additional requirements imposed on subcontractors would not significantly add to the burden estimates discussed above. --------------------------------------------------------------------------- \9\ A search of subcontract awards on the usaspending.gov website showed that three subcontractors in FY 2016 and six subcontractors in FY 2017 had subcontracts of $100K or more. See data on subcontract awards available at http://usaspending.gov. --------------------------------------------------------------------------- Estimate of Reporting Burden With respect to the reporting burden, we estimate that it would take all contractors on average approximately one hour to retrieve and submit to the OMWI Director the documentation specified in the proposed Contract Standard. We expect to request documentation from up to 100 contractors each year and therefore we estimate the total annual reporting burden to be 100 hours. Written comments are invited on: (a) Whether this collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency's estimate of the burden imposed by the collection of information; (c) ways to enhance the quality, utility, and clarity of the information 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. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Pamela Dyson, Director/Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F Street NE, Washington, DC 20549 or send an email to: [email protected]. Dated: March 13, 2018. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-05430 Filed 3-16-18; 8:45 am] BILLING CODE 8011-01-P
![12042 Federal Register / Vol. 83, No. 53 / Monday, March 19, 2018 / Notices
technological collection techniques or II. Docketed Proceeding(s) This Notice will be published in the
other forms of information technology, Federal Register.
I. Introduction
e.g., permitting electronic submissions
Stacy L. Ruble,
of responses. The Commission gives notice that the
The Establishment Information Form, Secretary.
Postal Service filed request(s) for the [FR Doc. 2018–05423 Filed 3–16–18; 8:45 am]
the Wage Data Collection Form, and the Commission to consider matters related
Wage Data Collection Continuation to negotiated service agreement(s). The
BILLING CODE 7710–FW–P
Form are wage survey forms developed request(s) may propose the addition or
by OPM for use by the Department of
removal of a negotiated service SECURITIES AND EXCHANGE
Defense to establish prevailing wage
agreement from the market dominant or COMMISSION
rates for Federal Wage System
employees. the competitive product list, or the
modification of an existing product Proposed Collection; Comment
Analysis currently appearing on the market Request
Agency: Employee Services, Office of dominant or the competitive product
Upon Written Request Copies Available
Personnel Management. list.
From: U.S. Securities and Exchange
Title: Establishment Information Form Section II identifies the docket Commission, Office of FOIA Services,
(DD 1918), Wage Data Collection Form number(s) associated with each Postal 100 F Street NE, Washington, DC
(DD 1919), and Wage Data Collection Service request, the title of each Postal 20549–2736
Continuation Form (DD 1919C). Service request, the request’s acceptance
OMB Number: 3260–0036. Extension:
Frequency: Annually. date, and the authority cited by the OMWI Contract Standard for Contractor
Affected Public: Private Sector Postal Service for each request. For each Workforce Inclusion, SEC File No. S7–
Establishments. request, the Commission appoints an 02–15, OMB Control No. 3235–0725
Number of Respondents: 21,760. officer of the Commission to represent Notice is hereby given that, pursuant
Estimated Time Per Respondent: 1.5 the interests of the general public in the to the Paperwork Reduction Act of 1995
hours. proceeding, pursuant to 39 U.S.C. 505 (44 U.S.C. 3501 et seq.), the Securities
Total Burden Hours: 32,640. (Public Representative). Section II also and Exchange Commission
Office of Personnel Management. establishes comment deadline(s) (‘‘Commission’’) is soliciting comments
Jeff T.H. Pon, pertaining to each request. on the existing collection of information
Director. The public portions of the Postal summarized below. The Commission
[FR Doc. 2018–05539 Filed 3–16–18; 8:45 am] Service’s request(s) can be accessed via plans to submit this existing collection
BILLING CODE 6325–39–P the Commission’s website (http:// of information to the Office of
Management and Budget (‘‘OMB’’) for
www.prc.gov). Non-public portions of
approval.
the Postal Service’s request(s), if any, Section 342 of the Dodd-Frank Wall
POSTAL REGULATORY COMMISSION can be accessed through compliance Street Reform and Consumer Protection
[Docket No. CP2012–22] with the requirements of 39 CFR Act of 2010 (the Dodd-Frank Act)
3007.40. provided that certain agencies,
New Postal Product The Commission invites comments on including the Commission, establish an
AGENCY: Postal Regulatory Commission. whether the Postal Service’s request(s) Office of Minority and Women
in the captioned docket(s) are consistent Inclusion (OMWI).1 Section 342(c)(2) of
ACTION: Notice.
with the policies of title 39. For the Dodd-Frank Act requires the OMWI
SUMMARY: The Commission is noticing a request(s) that the Postal Service states Director to include in the Commission’s
recent Postal Service filing for the concern market dominant product(s), procedures for evaluating contract
Commission’s consideration concerning applicable statutory and regulatory proposals and hiring service providers a
negotiated service agreements. This requirements include 39 U.S.C. 3622, 39 written statement that the contractor
notice informs the public of the filing, U.S.C. 3642, 39 CFR part 3010, and 39 shall ensure, to the maximum extent
invites public comment, and takes other CFR part 3020, subpart B. For request(s) possible, the fair inclusion of women
administrative steps. that the Postal Service states concern and minorities in the workforce of the
DATES: Comments are due: March 20, contractor and, as applicable,
competitive product(s), applicable
2018. subcontractors. To implement the
statutory and regulatory requirements
acquisition-specific requirements of
ADDRESSES: Submit comments include 39 U.S.C. 3632, 39 U.S.C. 3633, Section 342(c)(2) of the Dodd-Frank Act,
electronically via the Commission’s 39 U.S.C. 3642, 39 CFR part 3015, and the Commission adopted a Contract
Filing Online system at http:// 39 CFR part 3020, subpart B. Comment Standard for Contractor Workforce
www.prc.gov. Those who cannot submit deadline(s) for each request appear in Inclusion (Contract Standard).
comments electronically should contact section II. The Contract Standard, which is
the person identified in the FOR FURTHER included in the Commission’s
INFORMATION CONTACT section by II. Docketed Proceeding(s)
solicitations and resulting contracts for
telephone for advice on filing services with a dollar value of $100,000
1. Docket No(s).: CP2012–22; Filing
alternatives.
sradovich on DSK3GMQ082PROD with NOTICES
Title: USPS Notice of Change in Prices or more, contains a ‘‘collection of
FOR FURTHER INFORMATION CONTACT: Pursuant to Amendment to Parcel Select information’’ within the meaning of the
David A. Trissell, General Counsel, at and Parcel Return Service Contract 3; Paperwork Reduction Act. The Contract
202–789–6820. Filing Acceptance Date: March 9, 2018; Standard requires that a Commission
SUPPLEMENTARY INFORMATION: Filing Authority: 39 CFR 3015.50; Public contractor provide documentation, upon
Representative: Timothy J. Schwuchow; request from the OMWI Director, to
Table of Contents
Comments Due: March 20, 2018.
I. Introduction 1 12 U.S.C. 5452.
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![12044 Federal Register / Vol. 83, No. 53 / Monday, March 19, 2018 / Notices
under Commission service contracts Commission, Office of FOIA Services, SECURITIES AND EXCHANGE
with a dollar value of $100,000 or 100 F Street NE, Washington, DC COMMISSION
more.9 These subcontractors may 20549–2736.
already be subject to similar [Release No. 34–82867; File No. SR–
Extension: PEARL–2018–07]
recordkeeping requirements as principal
Regulation S–K, SEC File No. 270–002,
contractors. Consequently, we believe Self-Regulatory Organizations; MIAX
OMB Control No. 3235–0071.
that any additional requirements
PEARL, LLC; Notice of Filing and
imposed on subcontractors would not Notice is hereby given that, pursuant Immediate Effectiveness of a Proposed
significantly add to the burden to the Paperwork Reduction Act of 1995 Rule Change To Amend the MIAX
estimates discussed above. (44 U.S.C. 3501 et seq.), the Securities PEARL Fee Schedule
Estimate of Reporting Burden and Exchange Commission
(‘‘Commission’’) has submitted to the March 13, 2018.
With respect to the reporting burden, Pursuant to the provisions of Section
we estimate that it would take all Office of Management and Budget this
request for extension of the previously 19(b)(1) of the Securities Exchange Act
contractors on average approximately of 1934 (‘‘Act’’) 1 and Rule 19b–4
one hour to retrieve and submit to the approved collection of information
discussed below. thereunder,2 notice is hereby given that
OMWI Director the documentation on February 28, 2018, MIAX PEARL,
specified in the proposed Contract Regulation S–K (17 CFR 229.101 et LLC (‘‘MIAX PEARL’’ or ‘‘Exchange’’)
Standard. We expect to request seq.) specifies the non-financial filed with the Securities and Exchange
documentation from up to 100 disclosure requirements applicable to Commission (‘‘Commission’’) a
contractors each year and therefore we registration statements under the proposed rule change as described in
estimate the total annual reporting Securities Act of 1933 (15 U.S.C. 77a et Items I, II, and III below, which Items
burden to be 100 hours. seq.); and registration statements,
Written comments are invited on: (a) have been prepared by the Exchange.
periodic reports, going-private The Commission is publishing this
Whether this collection of information
transaction and tender offer statements, notice to solicit comments on the
is necessary for the proper performance
of the functions of the agency, including proxy and information statements, and proposed rule change from interested
whether the information will have any other documents required to be persons.
practical utility; (b) the accuracy of the filed under Sections 12, 13, 14, and 15 I. Self-Regulatory Organization’s
agency’s estimate of the burden imposed of the Securities Exchange Act of 1934 Statement of the Terms of Substance of
by the collection of information; (c) (15 U.S.C. 78l, 78m, 78n, 78o(d)). the Proposed Rule Change
ways to enhance the quality, utility, and Regulation S–K is assigned one burden
hour for administrative convenience. The Exchange is filing a proposal to
clarity of the information collected; and
amend the MIAX PEARL Fee Schedule
(d) ways to minimize the burden of the An agency may not conduct or (the ‘‘Fee Schedule’’) to establish certain
collection of information on sponsor, and a person is not required to non-transaction rebates and fees
respondents, including through the use respond to, a collection of information applicable to participants trading
of automated collection techniques or unless it displays a currently valid options on and/or using services
other forms of information technology. control number. provided by MIAX PEARL.
Consideration will be given to
The public may view the background MIAX PEARL commenced operations
comments and suggestions submitted in
documentation for this information as a national securities exchange
writing within 60 days of this
collection at the following website, registered under Section 6 of the Act 3
publication. Please direct your written
www.reginfo.gov. Comments should be on February 6, 2017.4 The Exchange
comments to Pamela Dyson, Director/
directed to: (i) Desk Officer for the adopted its transaction fees and certain
Chief Information Officer, Securities
Securities and Exchange Commission, of its non-transaction fees in its filing
and Exchange Commission, c/o Remi
Office of Information and Regulatory SR–PEARL–2017–10.5
Pavlik-Simon, 100 F Street NE,
Affairs, Office of Management and The text of the proposed rule change
Washington, DC 20549 or send an email
is available on the Exchange’s website at
to: PRA_Mailbox@sec.gov. Budget, Room 10102, New Executive
http://www.miaxoptions.com/rule-
Dated: March 13, 2018. Office Building, Washington, DC 20503,
filings/pearl at MIAX PEARL’s principal
Eduardo A. Aleman, or by sending an email to: Shagufta_ office, and at the Commission’s Public
Assistant Secretary. Ahmed@omb.eop.gov; and (ii) Pamela Reference Room.
[FR Doc. 2018–05430 Filed 3–16–18; 8:45 am]
Dyson, Director/Chief Information
Officer, Securities and Exchange II. Self-Regulatory Organization’s
BILLING CODE 8011–01–P
Commission, c/o Remi Pavlik-Simon, Statement of the Purpose of, and
100 F Street NE, Washington, DC 20549 Statutory Basis for, the Proposed Rule
or send an email to: PRA_Mailbox@ Change
SECURITIES AND EXCHANGE
COMMISSION sec.gov. Comments must be submitted to In its filing with the Commission, the
OMB within 30 days of this notice. Exchange included statements
Submission for OMB Review;
Dated: March 14, 2018.
Comment Request 1 15 U.S.C. 78s(b)(1).
Eduardo A. Aleman, 2 17 CFR 240.19b–4.
sradovich on DSK3GMQ082PROD with NOTICES
Upon Written Request Copies Available Assistant Secretary. 3 15 U.S.C. 78f.
From: Securities and Exchange [FR Doc. 2018–05529 Filed 3–16–18; 8:45 am]
4 See Securities Exchange Act Release No. 79543
(December 13, 2016), 81 FR 92901 (December 20,
9 A search of subcontract awards on the BILLING CODE 8011–01–P 2016) (File No. 10–227) (order approving
usaspending.gov website showed that three application of MIAX PEARL, LLC for registration as
subcontractors in FY 2016 and six subcontractors in a national securities exchange).
FY 2017 had subcontracts of $100K or more. See 5 See Securities Exchange Act Release No. 80061
data on subcontract awards available at http:// (February 17, 2017), 82 FR 11676 (February 24,
usaspending.gov. 2017) (SR–PEARL–2017–10).
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Document Created: 2018-03-17 04:25:07
Document Modified: 2018-03-17 04:25:07
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 83 FR 12042 |
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