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  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Contents</UNITNAME>
  <CNTNTS>
    <AGCY>
      <EAR/>
      <PRTPAGE P="iii"/>
      <HD>Administrative Conference of the United States</HD>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <DOCENT>
          <DOC>Disclosure of Records or Information,</DOC>
          <PGS>1542-1552</PGS>
          <FRDOCBP D="10" T="11JAP1.sgm">2011-146</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Agriculture</EAR>
      <HD>Agriculture Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Animal and Plant Health Inspection Service</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Farm Service Agency</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Forest Service</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Natural Resources Conservation Service</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Rural Housing Service</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Rural Utilities Service</P>
      </SEE>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1592</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-358</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Alcohol Tobacco Firearms</EAR>
      <HD>Alcohol, Tobacco, Firearms, and Explosives Bureau</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Prevent All Cigarette Trafficking Act Registration Form,</SJDOC>
          <PGS>1640</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-388</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Animal</EAR>
      <HD>Animal and Plant Health Inspection Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>General Conference Committee, National Poultry Improvement Plan,</SJDOC>
          <PGS>1592-1593</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-346</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Army</EAR>
      <HD>Army Department</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Privacy Act; Systems of Records,</DOC>
          <PGS>1606-1607</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-330</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Centers Disease</EAR>
      <HD>Centers for Disease Control and Prevention</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1617-1619</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-328</FRDOCBP>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-335</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Centers Medicare</EAR>
      <HD>Centers for Medicare &amp; Medicaid Services</HD>
      <CAT>
        <HD>RULES</HD>
        <SJ>Medicare Programs:</SJ>
        <SJDENT>
          <SJDOC>Payment Policies under Physician Fee Schedule and other Revisions to Part B for CY 2011; Corrections,</SJDOC>
          <PGS>1670-1859</PGS>
          <FRDOCBP D="189" T="11JAR2.sgm">2010-33264</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Children</EAR>
      <HD>Children and Families Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Statewide Automated Child Welfare Information System Assessment Review Guide,</SJDOC>
          <PGS>1619-1620</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-332</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Coast Guard</EAR>
      <HD>Coast Guard</HD>
      <CAT>
        <HD>RULES</HD>
        <SJ>Security Zones:</SJ>
        <SJDENT>
          <SJDOC>Fleet Industrial Supply Center Pier, San Diego, CA,</SJDOC>
          <PGS>1521-1523</PGS>
          <FRDOCBP D="2" T="11JAR1.sgm">2011-309</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Sabine Bank Channel, Sabine Pass Channel and Sabine-Neches Waterway, TX,</SJDOC>
          <PGS>1519-1521</PGS>
          <FRDOCBP D="2" T="11JAR1.sgm">2011-172</FRDOCBP>
        </SJDENT>
      </CAT>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <SJ>Special Local Regulations and Safety Zones:</SJ>
        <SJDENT>
          <SJDOC>Recurring Events in Northern New England,</SJDOC>
          <PGS>1568-1578</PGS>
          <FRDOCBP D="10" T="11JAP1.sgm">2011-173</FRDOCBP>
        </SJDENT>
        <SJ>Special Local Regulations:</SJ>
        <SJDENT>
          <SJDOC>Temporary Change of Dates for Recurring Marine Event in the Fifth Coast Guard District,</SJDOC>
          <PGS>1564-1568</PGS>
          <FRDOCBP D="4" T="11JAP1.sgm">2011-169</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Commerce</EAR>
      <HD>Commerce Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Foreign-Trade Zones Board</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>International Trade Administration</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>National Oceanic and Atmospheric Administration</P>
      </SEE>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1598-1599</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-313</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Commodity Futures</EAR>
      <HD>Commodity Futures Trading Commission</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Reporting of Pre-enactment Swap Transactions,</SJDOC>
          <PGS>1603-1604</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-326</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Comptroller</EAR>
      <HD>Comptroller of the Currency</HD>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <SJ>Risk-Based Capital Guidelines:</SJ>
        <SJDENT>
          <SJDOC>Market Risk,</SJDOC>
          <PGS>1890-1922</PGS>
          <FRDOCBP D="32" T="11JAP2.sgm">2010-32189</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Corporation</EAR>
      <HD>Corporation for National and Community Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Meetings; Sunshine Act,</DOC>
          <PGS>1604</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-467</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Defense Department</EAR>
      <HD>Defense Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Army Department</P>
      </SEE>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Renewals of Department of Defense Federal Advisory Committees,</DOC>
          <PGS>1604-1606</PGS>
          <FRDOCBP D="2" T="11JAN1.sgm">2011-329</FRDOCBP>
        </DOCENT>
        <SJ>Science and Technology Reinvention Laboratory Personnel Management Demonstration Projects:</SJ>
        <SJDENT>
          <SJDOC>Department of Navy, Space and Naval Warfare Systems Center, SSC Atlantic and SSC Pacific,</SJDOC>
          <PGS>1924-1964</PGS>
          <FRDOCBP D="40" T="11JAN3.sgm">2011-237</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Energy Department</EAR>
      <HD>Energy Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Federal Energy Regulatory Commission</P>
      </SEE>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>Blue Ribbon Commission on America's Nuclear Future,</SJDOC>
          <PGS>1607-1608</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-349</FRDOCBP>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-351</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Environmental Protection</EAR>
      <HD>Environmental Protection Agency</HD>
      <CAT>
        <HD>RULES</HD>
        <SJ>Approval and Promulgation of Air Quality Implementation Plans:</SJ>
        <SJDENT>
          <SJDOC>Texas; Revisions to Rules and Regulations for Control of Air Pollution, etc.,</SJDOC>
          <PGS>1525-1532</PGS>
          <FRDOCBP D="7" T="11JAR1.sgm">2011-222</FRDOCBP>
        </SJDENT>
        <SJ>Determinations of Attainment by the Applicable Attainment Date:</SJ>
        <SJDENT>
          <SJDOC>Hayden, Nogales, Paul Spur/Douglas PM10 Nonattainment Areas, AZ,</SJDOC>
          <PGS>1532-1535</PGS>
          <FRDOCBP D="3" T="11JAR1.sgm">2011-221</FRDOCBP>
        </SJDENT>
      </CAT>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <SJ>Approval and Promulgation of Implementation Plans:</SJ>
        <SJDENT>
          <SJDOC>New Mexico; Interstate Transport of Pollution Affecting Visibility and Best Available Retrofit Technology Determination,</SJDOC>
          <PGS>1578-1579</PGS>
          <FRDOCBP D="1" T="11JAP1.sgm">2011-374</FRDOCBP>
        </SJDENT>
        <SJ>Approvals and Promulgations of Implementation Plans:</SJ>
        <SJDENT>
          <SJDOC>State of Idaho; Regional Haze State Implementation Plan and Interstate Transport Plan,</SJDOC>
          <PGS>1579-1591</PGS>
          <FRDOCBP D="12" T="11JAP1.sgm">2011-249</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR/>
      <PRTPAGE P="iv"/>
      <HD>Executive Office of the President</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Presidential Documents</P>
      </SEE>
    </AGCY>
    <AGCY>
      <EAR>Farm Service</EAR>
      <HD>Farm Service Agency</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Measurement Service Records,</SJDOC>
          <PGS>1593</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-345</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Federal Aviation</EAR>
      <HD>Federal Aviation Administration</HD>
      <CAT>
        <HD>RULES</HD>
        <SJ>Amendments of Class D Airspace:</SJ>
        <SJDENT>
          <SJDOC>Fort Worth NAS JRB (Carswell Field), TX,</SJDOC>
          <PGS>1511</PGS>
          <FRDOCBP D="0" T="11JAR1.sgm">2011-204</FRDOCBP>
        </SJDENT>
        <SJ>Amendments of Class E Airspace:</SJ>
        <SJDENT>
          <SJDOC>Horseshoe Bay, TX,</SJDOC>
          <PGS>1513-1514</PGS>
          <FRDOCBP D="1" T="11JAR1.sgm">2011-205</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Savannah, TN,</SJDOC>
          <PGS>1512</PGS>
          <FRDOCBP D="0" T="11JAR1.sgm">2011-202</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Sturgis, KY,</SJDOC>
          <PGS>1512-1513</PGS>
          <FRDOCBP D="1" T="11JAR1.sgm">2011-203</FRDOCBP>
        </SJDENT>
      </CAT>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <SJ>Airworthiness Directives:</SJ>
        <SJDENT>
          <SJDOC>Boeing Co. Model 737-600, -700, -700C, -800,  -900, and -900ER Series Airplanes,</SJDOC>
          <PGS>1552-1556</PGS>
          <FRDOCBP D="4" T="11JAP1.sgm">2011-367</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Bombardier, Inc. Model CL-600-2C10 (Regional Jet Series 700, 701 and 702) Airplanes, Model CL-600-2D15 (Regional Jet Series 705) Airplanes, and Model CL-600-2D24 (Regional Jet Series 900) Airplanes,</SJDOC>
          <PGS>1556-1559</PGS>
          <FRDOCBP D="3" T="11JAP1.sgm">2011-368</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Federal Deposit</EAR>
      <HD>Federal Deposit Insurance Corporation</HD>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <SJ>Risk-Based Capital Guidelines:</SJ>
        <SJDENT>
          <SJDOC>Market Risk,</SJDOC>
          <PGS>1890-1922</PGS>
          <FRDOCBP D="32" T="11JAP2.sgm">2010-32189</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Federal Emergency</EAR>
      <HD>Federal Emergency Management Agency</HD>
      <CAT>
        <HD>RULES</HD>
        <DOCENT>
          <DOC>Final Flood Elevation Determinations,</DOC>
          <PGS>1535-1539</PGS>
          <FRDOCBP D="4" T="11JAR1.sgm">2011-293</FRDOCBP>
        </DOCENT>
      </CAT>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Disaster Declarations:</SJ>
        <SJDENT>
          <SJDOC>Amendment No. 1; New Mexico,</SJDOC>
          <PGS>1625-1626</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-386</FRDOCBP>
        </SJDENT>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>National Advisory Council,</SJDOC>
          <PGS>1626</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-391</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Federal Energy</EAR>
      <HD>Federal Energy Regulatory Commission</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Applications for Amendment of License:</SJ>
        <SJDENT>
          <SJDOC>Duke Energy Carolinas, LLC,</SJDOC>
          <PGS>1609</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-301</FRDOCBP>
        </SJDENT>
        <SJ>Initial Market-Based Rate Filings Including Requests for Blanket Section 204 Authorizations:</SJ>
        <SJDENT>
          <SJDOC>Evraz Claymont Steel, Inc.,</SJDOC>
          <PGS>1610</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-298</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Morris Cogeneration, LLC,</SJDOC>
          <PGS>1609-1610</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-297</FRDOCBP>
        </SJDENT>
        <SJ>Intents to File License Applications, etc.:</SJ>
        <SJDENT>
          <SJDOC>Yuba County Water Agency,</SJDOC>
          <PGS>1610-1611</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-302</FRDOCBP>
        </SJDENT>
        <SJ>License Applications:</SJ>
        <SJDENT>
          <SJDOC>Natural Currents Energy Services, LLC,</SJDOC>
          <PGS>1612</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-303</FRDOCBP>
        </SJDENT>
        <DOCENT>
          <DOC>Meetings; Change in Time,</DOC>
          <PGS>1613</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-300</FRDOCBP>
        </DOCENT>
        <DOCENT>
          <DOC>Membership of Performance Review Board for Senior Executives,</DOC>
          <PGS>1613</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-299</FRDOCBP>
        </DOCENT>
        <SJ>Preliminary Permit Applications:</SJ>
        <SJDENT>
          <SJDOC>Mahoning Hydropower, LLC,</SJDOC>
          <PGS>1613</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-296</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Federal Highway</EAR>
      <HD>Federal Highway Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Final Federal Agency Actions:</SJ>
        <SJDENT>
          <SJDOC>Proposed Highway in North Carolina,</SJDOC>
          <PGS>1663-1664</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-366</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>State Highway 99 (Segment G),</SJDOC>
          <PGS>1664-1665</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-336</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Federal Reserve</EAR>
      <HD>Federal Reserve System</HD>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <SJ>Risk-Based Capital Guidelines:</SJ>
        <SJDENT>
          <SJDOC>Market Risk,</SJDOC>
          <PGS>1890-1922</PGS>
          <FRDOCBP D="32" T="11JAP2.sgm">2010-32189</FRDOCBP>
        </SJDENT>
      </CAT>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1613-1616</PGS>
          <FRDOCBP D="3" T="11JAN1.sgm">2011-270</FRDOCBP>
        </DOCENT>
        <DOCENT>
          <DOC>Domestic Policy Directives,</DOC>
          <PGS>1616</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-348</FRDOCBP>
        </DOCENT>
        <DOCENT>
          <DOC>Formations of, Acquisitions by, and Mergers of Bank Holding Companies,</DOC>
          <PGS>1616</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-341</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Fish</EAR>
      <HD>Fish and Wildlife Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>Sport Fishing and Boating Partnership Council; Teleconference,</SJDOC>
          <PGS>1628</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-338</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Food and Drug</EAR>
      <HD>Food and Drug Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Establishments of Public Dockets:</SJ>
        <SJDENT>
          <SJDOC>Trials to Verify and Describe Clinical Benefit of Midodrine Hydrochloride,</SJDOC>
          <PGS>1620-1621</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-355</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Foreign Trade</EAR>
      <HD>Foreign-Trade Zones Board</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Applications for Manufacturing Authority:</SJ>
        <SJDENT>
          <SJDOC>SGL Automotive Carbon Fibers, LLC, Moses Lake, WA,</SJDOC>
          <PGS>1599</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-398</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Forest</EAR>
      <HD>Forest Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>Amador County Resource Advisory Council,</SJDOC>
          <PGS>1594-1595</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-362</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Central Idaho Resource Advisory Committee,</SJDOC>
          <PGS>1593-1594</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-320</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Francis Marion Sumter National Forests Resource Advisory Committee,</SJDOC>
          <PGS>1594</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-340</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>North Central Idaho Resource Advisory Committee,</SJDOC>
          <PGS>1594</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-96</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Health and Human</EAR>
      <HD>Health and Human Services Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Centers for Disease Control and Prevention</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Centers for Medicare &amp; Medicaid Services</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Children and Families Administration</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Food and Drug Administration</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>National Institutes of Health</P>
      </SEE>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1616-1617</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-310</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Homeland</EAR>
      <HD>Homeland Security Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Coast Guard</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Federal Emergency Management Agency</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>U.S. Customs and Border Protection</P>
      </SEE>
    </AGCY>
    <AGCY>
      <EAR>Housing</EAR>
      <HD>Housing and Urban Development Department</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Exigent Health and Safety Deficiency Correction Certification,</SJDOC>
          <PGS>1627-1628</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-396</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Interior</EAR>
      <HD>Interior Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Fish and Wildlife Service</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Land Management Bureau</P>
      </SEE>
    </AGCY>
    <AGCY>
      <EAR>Internal Revenue</EAR>
      <HD>Internal Revenue Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1666-1668</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-277</FRDOCBP>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-279</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>International Trade Adm</EAR>
      <HD>International Trade Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Countervailing Duty Determinations:</SJ>
        <SJDENT>
          <SJDOC>Drill Pipe from People's Republic of China,</SJDOC>
          <PGS>1971-1974</PGS>
          <FRDOCBP D="3" T="11JAN4.sgm">2011-392</FRDOCBP>
        </SJDENT>
        <PRTPAGE P="v"/>
        <SJ>Final Determinations of Sales at Less than Fair Value and Critical Circumstances:</SJ>
        <SJDENT>
          <SJDOC>Drill Pipe from People's Republic of China,</SJDOC>
          <PGS>1966-1971</PGS>
          <FRDOCBP D="5" T="11JAN4.sgm">2011-390</FRDOCBP>
        </SJDENT>
        <SJ>Final Results of Antidumping Duty Administrative Reviews:</SJ>
        <SJDENT>
          <SJDOC>Stainless Steel Bar from Brazil,</SJDOC>
          <PGS>1599-1600</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-395</FRDOCBP>
        </SJDENT>
        <DOCENT>
          <DOC>U.S. Aerospace Supplier and Investment Mission,</DOC>
          <PGS>1600-1602</PGS>
          <FRDOCBP D="2" T="11JAN1.sgm">2011-308</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Justice Department</EAR>
      <HD>Justice Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Alcohol, Tobacco, Firearms, and Explosives Bureau</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Justice Programs Office</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Prisons Bureau</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Victims of Crime Office</P>
      </SEE>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>Office on Violence Against Women,</SJDOC>
          <PGS>1629-1630</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-365</FRDOCBP>
        </SJDENT>
        <DOCENT>
          <DOC>Supplemental Guidelines for Sex Offender Registration and Notification,</DOC>
          <PGS>1630-1640</PGS>
          <FRDOCBP D="10" T="11JAN1.sgm">2011-505</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Justice Programs</EAR>
      <HD>Justice Programs Office</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Victims of Crime Act, Victim Compensation Grant Program, State Performance Report,</SJDOC>
          <PGS>1641-1642</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-389</FRDOCBP>
        </SJDENT>
        <DOCENT>
          <DOC>Establishment of Science Advisory Board,</DOC>
          <PGS>1640</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-290</FRDOCBP>
        </DOCENT>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>Science Advisory Board,</SJDOC>
          <PGS>1641</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-287</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Labor Department</EAR>
      <HD>Labor Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Labor-Management Standards Office</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Mine Safety and Health Administration</P>
      </SEE>
    </AGCY>
    <AGCY>
      <EAR>Labor Management Standards</EAR>
      <HD>Labor-Management Standards Office</HD>
      <CAT>
        <HD>PROPOSED RULES</HD>
        <DOCENT>
          <DOC>Guidelines for the Use of Electronic Voting Systems in Union Officer Elections,</DOC>
          <PGS>1559-1564</PGS>
          <FRDOCBP D="5" T="11JAP1.sgm">2011-311</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Land</EAR>
      <HD>Land Management Bureau</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Public Land Orders:</SJ>
        <SJDENT>
          <SJDOC>No. (7758); Revocation of Secretarial Order Dated March 7, 1932; Wyoming,</SJDOC>
          <PGS>1629</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-318</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>No. 7756; Revocation of Secretarial Order,</SJDOC>
          <PGS>1628-1629</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-317</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>No. 7757; Withdrawal of National Forest System Land for Big Ice Cave, MT,</SJDOC>
          <PGS>1629</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-319</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Legal</EAR>
      <HD>Legal Services Corporation</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Calendar Year 2011 Competitive Grant Funds; Availability,</DOC>
          <PGS>1642</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-278</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Maritime</EAR>
      <HD>Maritime Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>U.S.-Flag Great Lakes Fleet Revitalization Study; Correction,</SJDOC>
          <PGS>1665-1666</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-327</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Mine</EAR>
      <HD>Mine Safety and Health Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>State's Mine Health and Safety Grants,</DOC>
          <PGS>1642</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-268</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>National Archives</EAR>
      <HD>National Archives and Records Administration</HD>
      <CAT>
        <HD>RULES</HD>
        <DOCENT>
          <DOC>New Agency Logos,</DOC>
          <PGS>1523-1525</PGS>
          <FRDOCBP D="2" T="11JAR1.sgm">2011-492</FRDOCBP>
        </DOCENT>
      </CAT>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Records Schedules; Availability and Request for Comments,</DOC>
          <PGS>1642-1644</PGS>
          <FRDOCBP D="2" T="11JAN1.sgm">2011-496</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>National Institute</EAR>
      <HD>National Institutes of Health</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Online Skills Training for PCPs on Substance Abuse,</SJDOC>
          <PGS>1622</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-381</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Toolbox for Assessment of Neurological and Behavioral Function,</SJDOC>
          <PGS>1621</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-379</FRDOCBP>
        </SJDENT>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>Center for Scientific Review,</SJDOC>
          <PGS>1622-1624</PGS>
          <FRDOCBP D="2" T="11JAN1.sgm">2011-385</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>National Cancer Institute,</SJDOC>
          <PGS>1625</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-382</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>National Institute of Diabetes and Digestive and Kidney Diseases,</SJDOC>
          <PGS>1624-1625</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-387</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>National Institute of Mental Health,</SJDOC>
          <PGS>1625</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-384</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>National Institute on Aging,</SJDOC>
          <PGS>1625</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-383</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>National Oceanic</EAR>
      <HD>National Oceanic and Atmospheric Administration</HD>
      <CAT>
        <HD>RULES</HD>
        <SJ>Fisheries of the Exclusive Economic Zone Off Alaska</SJ>
        <SJDENT>
          <SJDOC>Inseason Adjustment to the 2011 Bering Sea, et al., Mackerel Total Allowable Catch Amount,</SJDOC>
          <PGS>1539-1541</PGS>
          <FRDOCBP D="2" T="11JAR1.sgm">2011-393</FRDOCBP>
        </SJDENT>
      </CAT>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1602-1603</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-275</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>National Science</EAR>
      <HD>National Science Foundation</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Meetings; Sunshine Act,</DOC>
          <PGS>1644</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-434</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>National Resources</EAR>
      <HD>Natural Resources Conservation Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Proposed Changes to National Handbook of Conservation Practices,</DOC>
          <PGS>1595</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-373</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Nuclear Regulatory</EAR>
      <HD>Nuclear Regulatory Commission</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Applications and Amendments to Facility Operating Licenses, etc.,</DOC>
          <PGS>1644-1653</PGS>
          <FRDOCBP D="9" T="11JAN1.sgm">2011-218</FRDOCBP>
        </DOCENT>
        <DOCENT>
          <DOC>Meetings; Sunshine Act,</DOC>
          <PGS>1653</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-490</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Presidential Documents</EAR>
      <HD>Presidential Documents</HD>
      <CAT>
        <HD>ADMINISTRATIVE ORDERS</HD>
        <SJ>Defense and National Security:</SJ>
        <SJDENT>
          <SJDOC>U.S. Joint Forces Command; Disestablishment (Memorandum of January 6, 2011),</SJDOC>
          <PGS>1975-1977</PGS>
          <FRDOCBP D="2" T="11JAO0.sgm">2011-590</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Prisons</EAR>
      <HD>Prisons Bureau</HD>
      <CAT>
        <HD>RULES</HD>
        <DOCENT>
          <DOC>Inmate Furloughs,</DOC>
          <PGS>1516-1519</PGS>
          <FRDOCBP D="3" T="11JAR1.sgm">2011-281</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Rural Housing Service</EAR>
      <HD>Rural Housing Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1595-1597</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-304</FRDOCBP>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-305</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Rural Utilities</EAR>
      <HD>Rural Utilities Service</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals,</DOC>
          <PGS>1597-1598</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-372</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Securities</EAR>
      <HD>Securities and Exchange Commission</HD>
      <CAT>
        <HD>RULES</HD>
        <DOCENT>
          <DOC>Adoption of Updated EDGAR Filer Manual,</DOC>
          <PGS>1514-1516</PGS>
          <FRDOCBP D="2" T="11JAR1.sgm">2011-378</FRDOCBP>
        </DOCENT>
      </CAT>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Self-Regulatory Organizations; Proposed Rule Changes:</SJ>
        <SJDENT>
          <SJDOC>New York Stock Exchange LLC,</SJDOC>
          <PGS>1653-1655</PGS>
          <FRDOCBP D="2" T="11JAN1.sgm">2011-321</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>NYSE Amex LLC,</SJDOC>
          <PGS>1656-1657</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-322</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Small Business</EAR>
      <PRTPAGE P="vi"/>
      <HD>Small Business Administration</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>National Small Business Development Center Advisory Board,</SJDOC>
          <PGS>1657-1658</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-314</FRDOCBP>
        </SJDENT>
        <SJ>Surrenders of Licenses of Small Business Investment Companies:</SJ>
        <SJDENT>
          <SJDOC>Toucan Capital Fund II,</SJDOC>
          <PGS>1658</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-316</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>State Department</EAR>
      <HD>State Department</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Mentor Protege Program Application,</SJDOC>
          <PGS>1658</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-359</FRDOCBP>
        </SJDENT>
        <SJ>Applications:</SJ>
        <SJDENT>
          <SJDOC>Presidential Permit to Construct, Operate and Maintain Pipeline Facilities on United States Border,</SJDOC>
          <PGS>1659</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-352</FRDOCBP>
        </SJDENT>
        <SJ>Culturally Significant Objects Imported for Exhibition Determinations:</SJ>
        <SJDENT>
          <SJDOC>Art in Cameroon; Sculptural Dialogues,</SJDOC>
          <PGS>1660</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-363</FRDOCBP>
        </SJDENT>
        <SJDENT>
          <SJDOC>Reconfiguring African Icon; Odes to Mask by Modern and Contemporary Artists from Three Continents,</SJDOC>
          <PGS>1660</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-361</FRDOCBP>
        </SJDENT>
        <SJ>Information Requests:</SJ>
        <SJDENT>
          <SJDOC>2011 Trafficking in Persons Report,</SJDOC>
          <PGS>1660-1663</PGS>
          <FRDOCBP D="3" T="11JAN1.sgm">2011-354</FRDOCBP>
        </SJDENT>
        <SJ>Meetings:</SJ>
        <SJDENT>
          <SJDOC>International Telecommunication Advisory Committee,</SJDOC>
          <PGS>1663</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-360</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Surface Transportation</EAR>
      <HD>Surface Transportation Board</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Control Exemptions:</SJ>
        <SJDENT>
          <SJDOC>Susquehanna Union Railroad Co.; North Shore Railroad Co.; Nittany and Bald Eagle Railroad Co. et al.,</SJDOC>
          <PGS>1666</PGS>
          <FRDOCBP D="0" T="11JAN1.sgm">2011-350</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Tennessee</EAR>
      <HD>Tennessee Valley Authority</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Privacy Act; Systems of Records,</DOC>
          <PGS>1862-1888</PGS>
          <FRDOCBP D="26" T="11JAN2.sgm">2011-150</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Transportation Department</EAR>
      <HD>Transportation Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Federal Aviation Administration</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Federal Highway Administration</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Maritime Administration</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Surface Transportation Board</P>
      </SEE>
    </AGCY>
    <AGCY>
      <EAR>Treasury</EAR>
      <HD>Treasury Department</HD>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Comptroller of the Currency</P>
      </SEE>
      <SEE>
        <HD SOURCE="HED">See</HD>
        <P>Internal Revenue Service</P>
      </SEE>
    </AGCY>
    <AGCY>
      <EAR>Customs</EAR>
      <HD>U.S. Customs and Border Protection</HD>
      <CAT>
        <HD>NOTICES</HD>
        <DOCENT>
          <DOC>Customs Brokers User Fee Payment for 2011,</DOC>
          <PGS>1626-1627</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-312</FRDOCBP>
        </DOCENT>
      </CAT>
    </AGCY>
    <AGCY>
      <EAR>Victims</EAR>
      <HD>Victims of Crime Office</HD>
      <CAT>
        <HD>NOTICES</HD>
        <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
        <SJDENT>
          <SJDOC>Victims of Crime Act, Victim Compensation Grant Program, State Performance Report,</SJDOC>
          <PGS>1641-1642</PGS>
          <FRDOCBP D="1" T="11JAN1.sgm">2011-389</FRDOCBP>
        </SJDENT>
      </CAT>
    </AGCY>
    <PTS>
      <HD SOURCE="HED">Separate Parts In This Issue</HD>
      <HD>Part II</HD>
      <DOCENT>
        <DOC>Health and Human Services Department, Centers for Medicare &amp; Medicaid Services,</DOC>
        <PGS>1670-1859</PGS>
        <FRDOCBP D="189" T="11JAR2.sgm">2010-33264</FRDOCBP>
      </DOCENT>
      <HD>Part III</HD>
      <DOCENT>
        <DOC>Tennessee Valley Authority,</DOC>
        <PGS>1862-1888</PGS>
        <FRDOCBP D="26" T="11JAN2.sgm">2011-150</FRDOCBP>
      </DOCENT>
      <HD>Part IV</HD>
      <DOCENT>
        <DOC>Federal Deposit Insurance Corporation,</DOC>
        <PGS>1890-1922</PGS>
        <FRDOCBP D="32" T="11JAP2.sgm">2010-32189</FRDOCBP>
      </DOCENT>
      <DOCENT>
        <DOC>Federal Reserve System,</DOC>
        <PGS>1890-1922</PGS>
        <FRDOCBP D="32" T="11JAP2.sgm">2010-32189</FRDOCBP>
      </DOCENT>
      <DOCENT>
        <DOC>Treasury Department, Comptroller of the Currency,</DOC>
        <PGS>1890-1922</PGS>
        <FRDOCBP D="32" T="11JAP2.sgm">2010-32189</FRDOCBP>
      </DOCENT>
      <HD>Part V</HD>
      <DOCENT>
        <DOC>Defense Department,</DOC>
        <PGS>1924-1964</PGS>
        <FRDOCBP D="40" T="11JAN3.sgm">2011-237</FRDOCBP>
      </DOCENT>
      <HD>Part VI</HD>
      <DOCENT>
        <DOC>Commerce Department, International Trade Administration,</DOC>
        <PGS>1966-1974</PGS>
        <FRDOCBP D="3" T="11JAN4.sgm">2011-392</FRDOCBP>
        <FRDOCBP D="5" T="11JAN4.sgm">2011-390</FRDOCBP>
      </DOCENT>
      <HD>Part VII</HD>
      <DOCENT>
        <DOC>Presidential Documents,</DOC>
        <PGS>1975-1977</PGS>
        <FRDOCBP D="2" T="11JAO0.sgm">2011-590</FRDOCBP>
      </DOCENT>
    </PTS>
    <AIDS>
      <HD SOURCE="HED">Reader Aids</HD>
      <P>Consult the Reader Aids section at the end of this page for phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws.</P>
      
      <P>To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http://listserv.access.gpo.gov and select Online mailing list archives, FEDREGTOC-L, Join or leave the list (or change settings); then follow the instructions.</P>
    </AIDS>
  </CNTNTS>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Rules and Regulations</UNITNAME>
  <RULES>
    <RULE>
      <PREAMB>
        <PRTPAGE P="1511"/>
        <AGENCY TYPE="F">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Aviation Administration</SUBAGY>
        <CFR>14 CFR Part 71</CFR>
        <DEPDOC>[Docket No. FAA-2010-0183; Airspace Docket No. 10-ASW-5]</DEPDOC>
        <SUBJECT>Amendment of Class D Airspace; Fort Worth NAS JRB (Carswell Field), TX</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Aviation Administration (FAA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This action amends the geographic coordinates within the Fort Worth Naval Air Station (NAS) JRB (Carswell Field), TX, area and renames the navigation aids, at the request of the U.S. Navy, that are listed in the description. This action does not change the boundaries or operating requirements of the airspace.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective date:</E>0901 UTC, March 10, 2011. The Director of the Federal Register approves this incorporation by reference action under 1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.</P>
        </EFFDATE>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Scott Enander, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone (817) 321-7716.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">The Rule</HD>
        <P>This action amends Title 14 Code of Federal Regulations (14 CFR) part 71 by adjusting the geographic coordinates of the Fort Worth NAS JRB (Carswell Field) Class D airspace, Fort Worth, TX, and the navigation aids, to coincide with the FAAs Aeronautical Products. This action also changes the names of the Carswell ILS Localizer North, Carswell ILS Localizer South, and Carswell TACAN to the NAS JRB Fort Worth ILS Localizer North, NAS JRB Fort Worth ILS Localizer South, and NAS JRB Fort Worth TACAN at the request of the U.S. Navy. This is an administrative change and does not affect the boundaries, altitudes, or operating requirements of the airspace, therefore, notice and public procedures under 5 U.S.C. 553(b) are unnecessary.</P>
        <P>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. Therefore, this regulation: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.</P>
        <P>The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the U.S. Code. Subtitle 1, section 106, describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in subtitle VII, part A, subpart I, section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it amends controlled airspace at Fort Worth NAS JRB (Carswell Field), Fort Worth, TX.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 14 CFR Part 71</HD>
          <P>Airspace, Incorporation by reference, Navigation (Air).</P>
        </LSTSUB>
        <REGTEXT PART="71" TITLE="14">
          <HD SOURCE="HD1">Adoption of the Amendment</HD>
          <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
          </PART>
          <AMDPAR>1. The authority citation for 14 CFR part 71 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>49 U.S.C. 106(g), 40103, 40113, 40120; E. O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
          </AUTH>
          <SECTION>
            <SECTNO>§ 71.1</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
          </SECTION>
        </REGTEXT>
        <REGTEXT PART="71" TITLE="14">
          <AMDPAR>2. The incorporation by reference in 14 CFR 71.1 of the Federal Aviation Administration Order 7400.9U, Airspace Designations and Reporting Points, dated August 18, 2010, and effective September 15, 2010, is amended as follows:</AMDPAR>
          <EXTRACT>
            <HD SOURCE="HD2">Paragraph 5000Class D airspace.</HD>
            <STARS/>
            <HD SOURCE="HD1">ASW TX DFort Worth NAS JRB (Carswell Field), TX[Amended]</HD>
            <FP SOURCE="FP-2">Fort Worth Naval Air Station JRB (Carswell Field), TX</FP>
            <FP SOURCE="FP1-2">(Lat. 32°46′09″ N., long. 97°26′30″ W.)</FP>
            <FP SOURCE="FP-2">NAS JRB Fort Worth ILS Localizer North</FP>
            <FP SOURCE="FP1-2">(Lat. 32°47′19″ N., long. 97°26′29″ W.)</FP>
            <FP SOURCE="FP-2">NAS JRB Fort Worth TACAN</FP>
            <FP SOURCE="FP1-2">(Lat. 32°46′17″ N., long. 97°26′22″ W.)</FP>
            <FP SOURCE="FP-2">NAS JRB Fort Worth ILS Localizer South</FP>
            <FP SOURCE="FP1-2">(Lat. 32°44′47″ N., long. 97°26′30″ W.)</FP>
            
            <P>That airspace extending upward from the surface up to and including 3,000 feet MSL within a 4.5-mile radius of Fort Worth Naval Air Station JRB (Carswell Field) and within 1 mile each side of the NAS JRB Fort Worth ILS Localizer North course extending from the 4.5-mile radius to 6.5 miles north of the airport, and within 1.3 miles each side of the 359° radial of the NAS JRB Fort Worth TACAN extending from the 4.5-mile radius to 6.5 miles north of the airport, and within 1 mile each side of the NAS JRB Fort Worth ILS Localizer South course extending from the 4.5-mile radius to 6.5 miles south of the airport, and within 1.3 miles each side of the 182° radial from the NAS JRB Fort Worth TACAN extending from the 4.5-mile radius to 6.5 miles south of the airport, excluding that airspace east of long. 97°24′00″ W.</P>
          </EXTRACT>
        </REGTEXT>
        <SIG>
          <DATED>Issued in Fort Worth, Texas, on December 21, 2010.</DATED>
          <NAME>Roger M. Trevino,</NAME>
          <TITLE>Acting Manager Operations Support Group, ATO Central Service Center.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-204 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-13-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <PRTPAGE P="1512"/>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Aviation Administration</SUBAGY>
        <CFR>14 CFR Part 71</CFR>
        <DEPDOC>[Docket No. FAA-2010-1047; Airspace Docket No. 10-ASO-37]</DEPDOC>
        <SUBJECT>Amendment of Class E Airspace; Savannah, TN</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Aviation Administration (FAA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This action amends Class E airspace at Savannah, TN. The Pinhook Non-Directional Beacon (NDB) has been decommissioned and new Standard Instrument Approach Procedures (SIAPs) have been developed for Savannah-Hardin County Airport. This action enhances the safety and airspace management of Instrument Flight Rules (IFR) operations at the airport.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>Effective 0901 UTC, March 10, 2011. 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.</P>
        </EFFDATE>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Melinda Giddens, Operations Support Group, Eastern Service Center, Federal Aviation Administration, P. O. Box 20636, Atlanta, Georgia 30320; telephone (404) 305-5610.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">History</HD>
        <P>On October 26, 2010, the FAA published in the<E T="04">Federal Register</E>a notice of proposed rulemaking to amend Class E airspace 700 feet above the surface, at Savannah, TN (75 FR 65584) Docket No. FAA-2010-1047. Interested parties were invited to participate in this rulemaking effort by submitting written comments on the proposal to the FAA. No comments were received. Class E airspace designations are published in paragraph 6005 of FAA Order 7400.9U dated August 18, 2010, and effective September 15, 2010, 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.</P>
        <HD SOURCE="HD1">The Rule</HD>
        <P>This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 amends Class E airspace extending upward from 700 feet above the surface to support new SIAPs developed at Savannah-Hardin County Airport, Savannah, TN. Airspace reconfiguration is necessary due to the decommissioning of the Pinhook NDB and cancellation of the NDB approach, and for continued safety and management of IFR operations at the airport. This action also updates the geographic coordinates of the airport to coincide with the FAAs Aeronautical Products.</P>
        <P>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 will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.</P>
        <P>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.</P>
        <P>This rulemaking is promulgated under the authority described in subtitle VII, part A, subpart I, section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it amends Class E airspace at Savannah, TN.</P>
        <LSTSUB>
          <HD SOURCE="HED">Lists of Subjects in 14 CFR Part 71</HD>
          <P>Airspace, Incorporation by reference, Navigation (Air).</P>
        </LSTSUB>
        <REGTEXT PART="71" TITLE="14">
          <HD SOURCE="HD1">Adoption of the Amendment</HD>
          <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
          </PART>
          <AMDPAR>1. The authority citation for part 71 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>49 U.S.C. 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
          </AUTH>
        </REGTEXT>
        <REGTEXT PART="71" TITLE="14">
          <SECTION>
            <SECTNO>§ 71.1</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
          </SECTION>
          <AMDPAR>2. The incorporation by reference in 14 CFR 71.1 of Federal Aviation Administration Order 7400.9U, Airspace Designations and Reporting Points, dated August 18, 2010, effective September 15, 2010, is amended as follows:</AMDPAR>
          <EXTRACT>
            <HD SOURCE="HD2">Paragraph 6005Class E airspace areas extending upward from 700 feet or more above the surface of the earth.</HD>
            <STARS/>
            <HD SOURCE="HD1">ASO TN E5Savannah, TN [AMENDED]</HD>
            <FP SOURCE="FP-2">Savannah-Hardin County Airport, TN</FP>
            <FP SOURCE="FP1-2">(Lat. 35°10′13″ N., long. 88°13′00″ W.)</FP>
            
            <P>That airspace extending upward from 700 feet above the surface within a 6.5-mile radius of the Savannah-Hardin County Airport and within 3.7 miles each side of the 008° bearing from the airport extending from the 6.5-mile radius to 9.9 miles north of the Savannah-Hardin County Airport.</P>
          </EXTRACT>
        </REGTEXT>
        <SIG>
          <DATED/>
          <P>Issued in College Park, Georgia, on December 10, 2010.</P>
          <NAME>Barry A. Knight,</NAME>
          <TITLE>Acting Manager, Operations Support Group, Eastern Service Center, Air Traffic Organization.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-202 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-13-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Aviation Administration</SUBAGY>
        <CFR>14 CFR Part 71</CFR>
        <DEPDOC>[Docket No. FAA-2010-0992; Airspace Docket No. 10-ASO-36]</DEPDOC>
        <SUBJECT>Amendment of Class E Airspace; Sturgis, KY</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Aviation Administration (FAA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This action amends Class E airspace at Sturgis, KY. The Tradewater Non-Directional Beacon (NDB) has been decommissioned and new Standard Instrument Approach Procedures (SIAPs) have been developed for Sturgis Municipal Airport. This action enhances the safety and airspace management of Instrument Flight Rules (IFR) operations at the airport.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>

          <P>Effective 0901 UTC, March 10, 2011. 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<PRTPAGE P="1513"/>7400.9 and publication of conforming amendments.</P>
        </EFFDATE>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Melinda Giddens, Operations Support Group, Eastern Service Center, Federal Aviation Administration, P. O. Box 20636, Atlanta, Georgia 30320; telephone (404) 305-5610.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">History</HD>
        <P>On October 22, 2010, the FAA published in the<E T="04">Federal Register</E>a notice of proposed rulemaking to amend Class E airspace 700 feet above the surface, at Sturgis, KY (75 FR 65253) Docket No. FAA-2010-0992. Interested parties were invited to participate in this rulemaking effort by submitting written comments on the proposal to the FAA. No comments were received. Class E airspace designations are published in paragraph 6005 of FAA Order 7400.9U dated August 18, 2010, and effective September 15, 2010, 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.</P>
        <HD SOURCE="HD1">The Rule</HD>
        <P>This amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 amends Class E airspace extending upward from 700 feet above the surface to support new SIAPs developed at Sturgis Municipal Airport, Sturgis, KY. Airspace reconfiguration is necessary due to the decommissioning of the Tradewater NDB and cancellation of the NDB approach, and for continued safety and management of IFR operations at the airport. This action also updates the geographic coordinates of the airport to coincide with the FAAs Aeronautical Products.</P>
        <P>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 will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.</P>
        <P>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.</P>
        <P>This rulemaking is promulgated under the authority described in subtitle VII, part A, subpart I, section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it amends Class E airspace at Sturgis, KY.</P>
        <LSTSUB>
          <HD SOURCE="HED">Lists of Subjects in 14 CFR Part 71</HD>
          <P>Airspace, Incorporation by reference, Navigation (Air).</P>
        </LSTSUB>
        <REGTEXT PART="71" TITLE="14">
          <HD SOURCE="HD1">Adoption of the Amendment</HD>
          <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
          </PART>
          <AMDPAR>1. The authority citation for part 71 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>49 U.S.C. 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
          </AUTH>
        </REGTEXT>
        <REGTEXT PART="71" TITLE="14">
          <SECTION>
            <SECTNO>§ 71.1</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
          </SECTION>
          <AMDPAR>2. The incorporation by reference in 14 CFR 71.1 of Federal Aviation Administration Order 7400.9U, Airspace Designations and Reporting Points, dated August 18, 2010, effective September 15, 2010, is amended as follows:</AMDPAR>
          <EXTRACT>
            <HD SOURCE="HD2">Paragraph 6005Class E airspace areas extending upward from 700 feet or more above the surface of the earth.</HD>
            <STARS/>
            <HD SOURCE="HD1">ASO KY E5Sturgis, KY [AMENDED]</HD>
            <FP SOURCE="FP-2">Sturgis Municipal Airport, KY</FP>
            <FP SOURCE="FP1-2">(Lat. 37°32′30″ N., long. 87°57′16″ W.)</FP>
            
            <P>That airspace extending upward from 700 feet above the surface within a 6.5-mile radius of the Sturgis Municipal Airport and within 4 miles each side of the 183° bearing from the airport extending from the 6.5-mile radius to 9.9 miles south of the airport: and within 4 miles each side of the 003° bearing from the airport extending from the 6.5-mile radius to 10 miles north of the Sturgis Municipal Airport.</P>
          </EXTRACT>
        </REGTEXT>
        <SIG>
          <P>Issued in College Park, Georgia, on December 10, 2010.</P>
          <NAME>Barry A. Knight,</NAME>
          <TITLE>Acting Manager, Operations Support Group, Eastern Service Center, Air Traffic Organization.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-203 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-13-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Aviation Administration</SUBAGY>
        <CFR>14 CFR Part 71</CFR>
        <DEPDOC>[Docket No. FAA-2010-0843; Airspace Docket No. 10-ASW-12]</DEPDOC>
        <SUBJECT>Amendment of Class E Airspace; Horseshoe Bay, TX</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Aviation Administration (FAA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This action amends Class E airspace for Horseshoe Bay, TX. Decommissioning of the Horseshoe Bay Resort non-directional beacon (NDB) at Horseshoe Bay Resort Airport, Horseshoe Bay, TX, has made this action necessary to enhance the safety and management of Instrument Flight Rule (IFR) operations at the airport.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>Effective date 0901 UTC, March 10, 2011. The Director of the Federal Register approves this incorporation by reference action under 1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.</P>
        </EFFDATE>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Scott Enander, Central Service Center, Operations Support Group, Federal Aviation Administration, Southwest Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone (817) 321-7716.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">History</HD>
        <P>On October 27, 2010, the FAA published in the<E T="04">Federal Register</E>a notice of proposed rulemaking to amend Class E airspace for Horseshoe Bay, TX, reconfiguring controlled airspace at Horseshoe Bay Resort Airport (75 FR 66013) Docket No. FAA-2010-0843. Interested parties were invited to participate in this rulemaking effort by submitting written comments on the proposal to the FAA. No comments were received. Class E airspace designations are published in paragraph 6005 of FAA Order 7400.9U dated August 18, 2010, and effective September 15, 2010, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations<PRTPAGE P="1514"/>listed in this document will be published subsequently in the Order.</P>
        <HD SOURCE="HD1">The Rule</HD>
        <P>This action amends Title 14 Code of Federal Regulations (14 CFR) Part 71 by amending Class E airspace for the Horseshoe Bay, TX area. Decommissioning of the Horseshoe Bay Resort NDB and cancellation of the NDB approach at Horseshoe Bay Resort Airport has made this action necessary for the safety and management of IFR operations at the airport. This action also reflects the name change of the airport from Horseshoe Bay Airpark to Horseshoe Bay Resort Airport.</P>
        <P>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. Therefore, this regulation: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.</P>
        <P>The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the U.S. Code. Subtitle 1, section 106, describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in subtitle VII, part A, subpart I, section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it amends controlled airspace at Horseshoe Bay Resort Airport, Horseshoe Bay, TX.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 14 CFR Part 71</HD>
          <P>Airspace, Incorporation by reference, Navigation (Air).</P>
        </LSTSUB>
        <HD SOURCE="HD1">Adoption of the Amendment</HD>
        <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:</P>
        <REGTEXT PART="71" TITLE="14">
          <PART>
            <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
          </PART>
          <AMDPAR>1. The authority citation for 14 CFR part 71 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>49 U.S.C. 106(g), 40103, 40113, 40120; E. O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
          </AUTH>
        </REGTEXT>
        <REGTEXT PART="71" TITLE="14">
          <SECTION>
            <SECTNO>§ 71.1</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
          </SECTION>
          <AMDPAR>2. The incorporation by reference in 14 CFR 71.1 of the Federal Aviation Administration Order 7400.9U, Airspace Designations and Reporting Points, dated August 18, 2010, and effective September 15, 2010 is amended as follows:</AMDPAR>
          
          <EXTRACT>
            <STARS/>
            <HD SOURCE="HD2">Paragraph 6005Class E airspace areas extending upward from 700 feet or more above the surface.</HD>
            <STARS/>
            <HD SOURCE="HD1">ASW TX E5Austin, Horseshoe Bay Resort Airport, TX [Amended]</HD>
            <FP SOURCE="FP-2">Horseshoe Bay Resort Airport, TX</FP>
            <FP SOURCE="FP1-2">(Lat. 30°31′37″ N., long. 98°21′32″ W.)</FP>
            
            <P>That airspace extending upward from 700 feet above the surface within a 6.5-mile radius of Horseshoe Bay Resort Airport.</P>
          </EXTRACT>
        </REGTEXT>
        <SIG>
          <DATED>Issued in Fort Worth, Texas, on December 21, 2010.</DATED>
          <NAME>Roger M. Trevino,</NAME>
          <TITLE>Acting Manager, Operations Support Group, ATO Central Service Center.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-205 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-13-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
        <CFR>17 CFR Part 232</CFR>
        <DEPDOC>[Release Nos. 33-9169; 34-63646, 39-2473, IC-29547]</DEPDOC>
        <SUBJECT>Adoption of Updated EDGAR Filer Manual</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Securities and Exchange Commission.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR system. The revisions are being made primarily to implement the new EDGARLink Online Application which will allow filers to submit EDGARLink submission form types online without the use of the offline EDGARLink Tool, to support the electronic filing of submission form types ABS 15G, ABS 15G/A, a new Form 8-K Item 6.10, and to support minor changes in XBRL validations for filings containing Exhibit 101 attachments. The EDGAR system is scheduled to be upgraded to support this functionality on December 13, 2010.</P>
          <P>The filer manual is also being revised to address changes previously made in EDGAR to support the electronic filing of new submission form types SC 14N, SC 14N/A, SC 14N-S, SC 14N-S/A, and the new Form 8-K Item 5.08.</P>
          <P>The revisions to the Filer Manual reflect changes within Volume I entitled EDGAR Filer Manual, Volume I: “General Information,” Version 9 (December 2010) and Volume II entitled EDGAR Filer Manual, Volume II: “EDGAR Filing,” Version 16 (December 2010). The updated manual will be incorporated by reference into the Code of Federal Regulations.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>January 11, 2011. The incorporation by reference of the EDGAR Filer Manual is approved by the Director of the Federal Register as of January 11, 2011.</P>
        </EFFDATE>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>In the Division of Corporation Finance, for questions concerning submission form types ABS 15G, ABS 15G/A, SC 14N, SC 14N/A, SC 14N-S, SC 14N-S/A, Form 8-K Item 5.08 and Item 6.10 contact Cecile Peters, Chief, Office of Information Technology, at (202) 551-3600; in the Office of Interactive Disclosure for questions concerning XBRL validation requirements contact Jeffrey Naumann, Assistant Director of the Office of Interactive Disclosure, at (202) 551-5352; and in the Office of Information Technology, contact Rick Heroux, at (202) 551-8800.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>We are adopting an updated EDGAR Filer Manual, Volume I and Volume II. The Filer Manual describes the technical formatting requirements for the preparation and submission of electronic filings through the EDGAR system.<SU>1</SU>
          <FTREF/>It also describes the requirements for filing using EDGARLink<SU>2</SU>
          <FTREF/>, EDGARLink Online, and the Online Forms/XML Web site.</P>
        <FTNT>
          <P>

            <SU>1</SU>We originally adopted the Filer Manual on April 1, 1993, with an effective date of April 26, 1993. Release No. 33-6986 (April 1, 1993) [58 FR 18638]. We implemented the most recent update to the Filer Manual on September 15, 2010.<E T="03">See</E>Release No. 33-9140 (September 9, 2010) [75 FR 55965].</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>2</SU>This is the filer assistance software we provide filers filing on the EDGAR system.</P>
        </FTNT>

        <P>The Filer Manual contains all the technical specifications for filers to submit filings using the EDGAR system. Filers must comply with the applicable provisions of the Filer Manual in order<PRTPAGE P="1515"/>to assure the timely acceptance and processing of filings made in electronic format.<SU>3</SU>
          <FTREF/>Filers may consult the Filer Manual in conjunction with our rules governing mandated electronic filing when preparing documents for electronic submission.<SU>4</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>3</SU>
            <E T="03">See</E>Rule 301 of Regulation S-T (17 CFR 232.301).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>4</SU>
            <E T="03">See</E>Release No. 33-9140 (September 9, 2010) [75 FR 55965] in which we implemented EDGAR Release 10.3. For a additional history of Filer Manual rules, please see the cites therein.</P>
        </FTNT>

        <P>The EDGAR system will be upgraded to Release 10.4 on December 13, 2010 and will introduce a new EDGARLink Online Application (EDGARLink Online) to allow filers to submit EDGARLink submission form types online, without the use of the offline EDGARLink Tool. EDGARLink Online can be accessed from the EDGAR Filing Web site (<E T="03">https://www.edgarfiling.sec.gov</E>), by selecting the “EDGARLink Online Submissions” or by clicking the “Are you an EDGARLink filer or would you like to create a new Asset-Backed Securities Issuing Entity?” link from the EDGAR Portal Web site (<E T="03">http://www.portal.edgarfiling.sec.gov</E>). The existing offline EDGARLink Tool and the associated Templates 1-6 will continue to be available. A new chapter, “Preparing and Transmitting EDGARLink Online Submissions”, has been added to Volume II of the EDGAR Filer Manual to guide filers through the filing process using the new tool.</P>
        <P>Submission type ABS 15G<SU>5</SU>
          <FTREF/>and its amendment will be available on EDGARLink Online only.</P>
        <FTNT>
          <P>
            <SU>5</SU>
            <E T="03">See</E>Proposing Release No. 33-9148, Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.</P>
        </FTNT>
        <P>A new 8-K Item 6.10 (Alternative Filings of Asset-Backed Issuers) will be available on EDGARLink Submission Template #3 and EDGARLink Online for submission form types 8-K and 8-K/A. Item 6.10 requires a PDF attachment to be included as Exhibit 99.</P>
        <P>In addition, the validation rules processed for filings containing EX-101.INS XBRL documents will be changed to remove restrictions to allow domain items to be abstract and to allow footnoteArc elements to omit the order attribute. The validations were relaxed for EX-101.INS XBRL documents to allow a Discoverable Taxonomy Set (DTS) that has type declarations in any standard international or US namespace, to allow internationally recommended type and role declarations to be used in its DTS, and for documents whose DTS has arc role declarations to allow the link:footnoteArc element to have an arcrole that is either standard or is declared in a standard taxonomy schema. Additional validations were added for EX-101.INS XBRL documents to require a DTS that has type declarations in any standard international or US namespace to enforce restrictions on combinations of numeric data types and unit of measure declarations according to internationally recommended and US-specific data types registry.</P>

        <P>The filer manual is also being revised to address a changes made previously in EDGAR to support new submission form types SC 14N, SC 14N-S and their amendments on both the offline EDGARLink Template #2 and EDGARLink Online and a new item in Form 8-K Item 5.08 (Shareholder Director Nominations) on both the offline EDGARLink Template #3 and EDGARLink Online for submission form types 8-K, 8-K12B, 8-K12G3, 8-K15D5 and their amendments. However, the use of the SC 14N, SC 14N-S and Form 8-K Item 5.08 is delayed until further notice.<E T="03">See</E>Order Rel. No. 33-9149 (Order Granting Stay) and Rel. No. 33-9151 (Notice of stay of effective and compliance dates) for more information.</P>
        <P>Along with adoption of the Filer Manual, we are amending Rule 301 of Regulation S-T to provide for the incorporation by reference into the Code of Federal Regulations of today's revisions. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.</P>

        <P>You may obtain paper copies of the updated Filer Manual at the following address: Public Reference Room, U.S. Securities and Exchange Commission, 100 F Street, NE., Room 1543, Washington DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. We will post electronic format copies on the Commission's Web site; the address for the Filer Manual is<E T="03">http://www.sec.gov/info/edgar.shtml</E>.</P>
        <P>Since the Filer Manual relates solely to agency procedures or practice, publication for notice and comment is not required under the Administrative Procedure Act (APA).<SU>6</SU>
          <FTREF/>It follows that the requirements of the Regulatory Flexibility Act<SU>7</SU>
          <FTREF/>do not apply.</P>
        <FTNT>
          <P>
            <SU>6</SU>5 U.S.C. 553(b).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>7</SU>5 U.S.C. 601-612.</P>
        </FTNT>
        <P>The effective date for the updated Filer Manual and the rule amendments is January 11, 2011. In accordance with the APA,<SU>8</SU>
          <FTREF/>we find that there is good cause to establish an effective date less than 30 days after publication of these rules. The EDGAR system upgrade to Release 10.4 is scheduled to become available on December 13, 2010. The Commission believes that establishing an effective date less than 30 days after publication of these rules is necessary to coordinate the effectiveness of the updated Filer Manual with the system upgrade.</P>
        <FTNT>
          <P>
            <SU>8</SU>5 U.S.C. 553(d)(3).</P>
        </FTNT>
        <HD SOURCE="HD1">Statutory Basis</HD>
        <P>We are adopting the amendments to Regulation S-T under Sections 6, 7, 8, 10, and 19(a) of the Securities Act of 1933,<SU>9</SU>
          <FTREF/>Sections 3, 12, 13, 14, 15, 23, and 35A of the Securities Exchange Act of 1934,<SU>10</SU>
          <FTREF/>Section 319 of the Trust Indenture Act of 1939,<SU>11</SU>
          <FTREF/>and Sections 8, 30, 31, and 38 of the Investment Company Act of 1940.<SU>12</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>9</SU>15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>10</SU>15 U.S.C. 78c, 78<E T="03">l,</E>78m, 78n, 78o, 78w, and 78<E T="03">ll.</E>
          </P>
        </FTNT>
        <FTNT>
          <P>
            <SU>11</SU>15 U.S.C. 77sss.</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>12</SU>15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.</P>
        </FTNT>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 17 CFR Part 232</HD>
          <P>Incorporation by reference, Reporting and recordkeeping requirements, Securities.</P>
        </LSTSUB>
        <REGTEXT PART="232" TITLE="17">
          <HD SOURCE="HD1">Text of the Amendment</HD>
          <P>In accordance with the foregoing, Title 17, Chapter II of the Code of Federal Regulations is amended as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 232—REGULATION S-T—GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS</HD>
          </PART>
          <AMDPAR>1. The authority citation for part 232 continues to read in part as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>

            <P>15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77z-3, 77sss(a), 78c(b), 78<E T="03">l,</E>78m, 78n, 78o(d), 78w(a), 78<E T="03">ll,</E>80a-6(c), 80a-8, 80a-29, 80a-30, 80a-37, and 7201<E T="03">et seq.;</E>and 18 U.S.C. 1350.</P>
          </AUTH>
        </REGTEXT>
        
        <REGTEXT PART="232" TITLE="17">
          <STARS/>
          <AMDPAR>2. Section 232.301 is revised to read as follows:</AMDPAR>
          <SECTION>
            <SECTNO>§ 232.301</SECTNO>
            <SUBJECT>EDGAR Filer Manual.</SUBJECT>

            <P>Filers must prepare electronic filings in the manner prescribed by the EDGAR Filer Manual, promulgated by the Commission, which sets out the technical formatting requirements for electronic submissions. The requirements for becoming an EDGAR Filer and updating company data are set forth in the updated EDGAR Filer Manual, Volume I: “General Information,” Version 9 (December 2010). The requirements for filing on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II: “EDGAR Filing,” Version 16 (December<PRTPAGE P="1516"/>2010). Additional provisions applicable to Form N-SAR filers are set forth in the EDGAR Filer Manual, Volume III: “N-SAR Supplement,” Version 1 (September 2005). All of these provisions have been incorporated by reference into the Code of Federal Regulations, which action was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You must comply with these requirements in order for documents to be timely received and accepted. You can obtain paper copies of the EDGAR Filer Manual from the following address: Public Reference Room, U.S. Securities and Exchange Commission, 100 F Street, NE., Room 1543, Washington, DC 20549, on official business days between the hours of 10 a.m and 3 p.m. Electronic copies are available on the Commission's Web site. The address for the Filer Manual is<E T="03">http://www.sec.gov/info/edgar.shtml</E>. You can also inspect the document 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:<E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
            </P>
          </SECTION>
        </REGTEXT>
        <SIG>
          <P>By the Commission.</P>
          
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Elizabeth M. Murphy,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-378 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 8011-01-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBAGY>Bureau of Prisons</SUBAGY>
        <CFR>28 CFR Part 570</CFR>
        <DEPDOC>[BOP Docket No. 1144-F]</DEPDOC>
        <RIN>RIN 1120-AB44</RIN>
        <SUBJECT>Inmate Furloughs</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Bureau of Prisons, Justice.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In this document, the Bureau of Prisons (Bureau) revises its federal regulations on the inmate furlough program primarily to more clearly provide for and define transfer furloughs. Also, under this rule, the Bureau is expanding the authority of its Wardens to consider all inmates potentially eligible for non-transfer furloughs, as opposed to the current rule, which limits consideration to inmates with community custody status.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>This rule is effective on February 10, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Sarah Qureshi, Office of General Counsel, Bureau of Prisons, phone (202) 307-2105.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Bureau revises its federal regulations on the inmate furlough program primarily to more clearly provide for and define transfer furloughs. Through this change, we also seek to reorganize and clarify the rules, while eliminating language that constitutes agency guidance to staff. Any such guidance language will be retained in the relevant Bureau policy. Also, under this rule, the Bureau is expanding the authority of its Wardens to consider all inmates potentially eligible for non-transfer furloughs, as opposed to the current rule, which limits consideration to inmates with community custody status.</P>
        <P>A proposed rule on this subject was published on December 6, 2006 (71 FR 70696). We received three comments, which we respond to below.</P>
        <HD SOURCE="HD1">Payment for Urinalysis, Breathalyzer, and Other Comparable Tests Upon Return From Furlough</HD>
        <P>Section 570.38(b)(4) of the proposed rule stated that a furlough will only be approved if an inmate agrees to certain conditions, including the condition that the inmate may “be thoroughly searched and given a urinalysis, breathalyzer, and other comparable test, during the furlough or upon return to the institution, and must prepay the cost of such test(s) if the inmate or family members are paying the other costs of the furlough.” Further, this regulation provides that the inmate “must pre-authorize all testing fee(s) to be withdrawn directly from his/her inmate deposit fund account.”</P>
        <P>One commenter questioned the payment process described in § 570.38. The commenter suggested that the inmate should pay for all potential testing before he/she be “allowed to leave.” This is not practical. Depending on Bureau resources, the inmate's particular situation, and the particular circumstances surrounding the furlough, it is possible that the inmate will not undergo all of the available testing upon the inmate's return from furlough. It is therefore unnecessary and impractical to require an inmate to pre-pay the costs of tests that he/she may not be required to undergo.</P>
        <P>The commenter then suggested that “charging an inmate that is on an emergency non-transferral furlough is not reasonable before they be allowed to leave. Postponing their payment until they return seems to be more reasonable.” The Bureau agrees with this statement, which is why the regulation requires not that inmates pre-pay, but only that the inmate sign a form pre-authorizing payment for testing that will be conducted upon the inmate's return.</P>
        <P>For clarity, we have modified that part of the regulation to state that the inmate “must pre-authorize the cost of such test(s) if the inmate or family members are paying the other costs of the furlough.”</P>
        <HD SOURCE="HD1">Conditions Under Which a Furlough May Be Granted</HD>
        <P>One commenter stated that the rule “does not make clear that inmates in Low, Medium, or High security institutions are categorically ineligible for emergency or other non-transfer furloughs.”</P>
        <P>However, according to the regulation as proposed, “inmates in Low, Medium, or High security institutions” are not “categorically ineligible for emergency or other non-transfer furloughs,” but instead will be considered on a case-by-case basis, in accordance with these regulations and in the Warden's discretion.</P>
        <P>§ 570.36 specifies the conditions under which a non-transfer furlough may be granted. This section contains a chart which clarifies the eligibility requirements for non-transfer furloughs and describes the types of non-transfer furloughs an inmate may be eligible for, based on the inmate's length of confinement or time remaining on the inmate's sentence. The chart has been revised in the final rule for greater clarity and accuracy. This section also describes circumstances under which Wardens will ordinarily deny non-transfer furloughs.</P>
        <P>Under this rule, the Bureau is expanding the authority of its Wardens to consider all inmates potentially eligible for non-transfer furloughs, as opposed to the current rule, which limits consideration to inmates with community custody status. Community custody, the lowest custody level assigned to an inmate, affords the lowest level of security and staff supervision. The Bureau believes this change is justified by the potential prisoner re-entry and rehabilitative benefits to be afforded by a non-transfer furlough. Further, any resulting public safety concerns are adequately addressed by the limitations contained within §§ 570.35(b) and 570.36.</P>

        <P>Further, § 570.31 describes inmate eligibility for furloughs, and states that sentenced inmates housed in Bureau facilities, pretrial inmates housed in Bureau facilities, and sentenced inmates housed in Bureau facilities and classified as central inmate monitoring cases may be eligible for furloughs.<PRTPAGE P="1517"/>Inmates who are not eligible for furloughs through the Bureau include sentenced inmates housed in contract facilities and inmates who are U.S. Marshals prisoners housed in contract facilities.</P>
        <P>It should be noted that revised § 570.35(a) states that inmates transferring to administrative, low, medium, or high security facilities are generally not eligible for participation in the Bureau's transfer furlough program. Inmates transferring to facilities with these security designations are considered to pose a potential risk to the community if granted a transfer furlough. An inmate's security level is based on relevant factual information, such as the inmate's current offense, sentence, criminal history, and institutional behavior that requires additional security measures. Because of the potential risk to public safety, inmates transferring to administrative, low, medium, or high security facilities are not appropriate for participation in the Bureau's transfer furlough program.</P>
        <HD SOURCE="HD1">Guidance to Staff Is Needed</HD>
        <P>The third commenter recommended that “further guidance be given to the Warden or person making the decision so that there will be more consistency in the granting of furloughs.”</P>
        <P>Further guidance will be given to all staff regarding furloughs in the corresponding Bureau policy on furloughs, which is a guidance document for staff. The Bureau intends for the corresponding policy guidance to promote consistency in the granting of furloughs.</P>
        <P>For the aforementioned reasons, the Bureau finalizes, with minor changes, the proposed rule published on December 6, 2006 (71 FR 70696).</P>
        <HD SOURCE="HD2">Executive Order 12866</HD>
        <P>This rule falls within a category of actions that the Office of Management and Budget (OMB) has determined not to constitute “significant regulatory actions” under section 3(f) of Executive Order 12866 and, accordingly, it was not reviewed by OMB.</P>
        <P>The Bureau has assessed the costs and benefits of this rule as required by Executive Order 12866 Section 1(b)(6) and has made a reasoned determination that the benefits of this rule justify its costs. This rule will provide a more accurate description of the inmate furlough program. There will be no new costs associated with this rulemaking.</P>
        <HD SOURCE="HD2">Executive Order 13132</HD>
        <P>This regulation will not have substantial direct effects on the States, on the relationship between the national government and the States, or on distribution of power and responsibilities among the various levels of government. Therefore, under Executive Order 13132, we determine that this rule does not have sufficient Federalism implications to warrant the preparation of a Federalism Assessment.</P>
        <HD SOURCE="HD2">Regulatory Flexibility Act</HD>
        <P>The Director of the Bureau of Prisons, under the Regulatory Flexibility Act (5 U.S.C. 605(b)), reviewed this regulation and by approving it certifies that it will not have a significant economic impact upon a substantial number of small entities for the following reasons: This rule pertains to the correctional management of offenders committed to the custody of the Attorney General or the Director of the Bureau of Prisons, and its economic impact is limited to the Bureau's appropriated funds.</P>
        <HD SOURCE="HD2">Unfunded Mandates Reform Act of 1995</HD>
        <P>This rule will not result in the expenditure by State, local and tribal governments, in the aggregate, or by the private sector, of $100,000,000 or more in any one year, and it will not significantly or uniquely affect small governments. Therefore, no actions were deemed necessary under the provisions of the Unfunded Mandates Reform Act of 1995.</P>
        <HD SOURCE="HD2">Small Business Regulatory Enforcement Fairness Act of 1996</HD>
        <P>This rule is not a major rule as defined by section 804 of the Small Business Regulatory Enforcement Fairness Act of 1996. This rule will not result in an annual effect on the economy of $100,000,000 or more; a major increase in costs or prices; or significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of United States-based companies to compete with foreign-based companies in domestic and export markets.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 28 CFR Part 570</HD>
          <P>Prisoners.</P>
        </LSTSUB>
        <SIG>
          <NAME>Harley G. Lappin,</NAME>
          <TITLE>Director, Bureau of Prisons.</TITLE>
        </SIG>
        <REGTEXT PART="570" TITLE="28">
          <P>Accordingly, under rulemaking authority vested in the Attorney General in 5 U.S.C. 301; 28 U.S.C. 509, 510 and delegated to the Director, Bureau of Prisons in 28 CFR 0.96, we amend 28 CFR part 570 as set forth below.</P>
          <SUBCHAP>
            <HD SOURCE="HED">SUBCHAPTER D—COMMUNITY PROGRAMS AND RELEASE</HD>
            <PART>
              <HD SOURCE="HED">PART 570—COMMUNITY PROGRAMS</HD>
            </PART>
          </SUBCHAP>
          <AMDPAR>1. The authority citation for 28 CFR part 570 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>5 U.S.C. 301; 18 U.S.C. 751, 3621, 3622, 3624, 4001, 4042, 4081, 4082 (Repealed in part as to offenses committed on or after November 1, 1987), 4161-4166, 5006-5024 (Repealed October 12, 1984 as to offenses committed after that date), 5039; 28 U.S.C. 509, 510.</P>
          </AUTH>
        </REGTEXT>
        
        <REGTEXT PART="570" TITLE="28">
          <AMDPAR>2. Revise subpart C to read as follows:</AMDPAR>
          <SUBPART>
            <HD SOURCE="HED">Subpart C—Furloughs</HD>
          </SUBPART>
          <CONTENTS>
            <SECHD>Sec.</SECHD>
            <SECTNO>570.30</SECTNO>
            <SUBJECT>Purpose.</SUBJECT>
            <SECTNO>570.31</SECTNO>
            <SUBJECT>Inmate eligibility for furloughs.</SUBJECT>
            <SECTNO>570.32</SECTNO>
            <SUBJECT>Types of furloughs.</SUBJECT>
            <SECTNO>570.33</SECTNO>
            <SUBJECT>Justification for furlough.</SUBJECT>
            <SECTNO>570.34</SECTNO>
            <SUBJECT>Expenses of furlough.</SUBJECT>
            <SECTNO>570.35</SECTNO>
            <SUBJECT>Transfer furlough eligibility requirements.</SUBJECT>
            <SECTNO>570.36</SECTNO>
            <SUBJECT>Non-transfer furlough eligibility requirements.</SUBJECT>
            <SECTNO>570.37</SECTNO>
            <SUBJECT>Procedures to apply for a furlough.</SUBJECT>
            <SECTNO>570.38</SECTNO>
            <SUBJECT>Conditions of Furlough.</SUBJECT>
          </CONTENTS>
          <SECTION>
            <SECTNO>§ 570.30</SECTNO>
            <SUBJECT>Purpose.</SUBJECT>
            <P>The purpose of this subpart is to describe the procedures governing the furlough program of the Federal Bureau of Prisons (Bureau), which is authorized by 18 U.S.C. 3622. Under the furlough program, the Bureau allows inmates who meet certain requirements to be temporarily released from custody under carefully prescribed conditions.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.31</SECTNO>
            <SUBJECT>Inmate eligibility for furloughs.</SUBJECT>
            <P>(a)<E T="03">Eligible inmates.</E>The following types of inmates may be eligible for furloughs:</P>
            <P>(1) Sentenced inmates housed in Bureau facilities.</P>
            <P>(2) Pretrial inmates housed in Bureau facilities (provided that they comply with the requirements of 28 CFR part 551, Subpart J).</P>
            <P>(3) Sentenced inmates housed in Bureau facilities and classified as central inmate monitoring cases (provided that they comply with the requirements of 28 CFR part 524, Subpart F).</P>
            <P>(b)<E T="03">Ineligible inmates.</E>The following types of inmates are not eligible for furloughs:</P>
            <P>(1) Sentenced inmates housed in contract facilities are not eligible to participate in the Bureau's furlough program under these rules, but may apply for furloughs as specified in that facility's written agreement with the Bureau.</P>

            <P>(2) Inmates who are U.S. Marshals prisoners housed in contract facilities are not eligible to participate, but must<PRTPAGE P="1518"/>direct any furlough requests to the U.S. Marshals.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.32</SECTNO>
            <SUBJECT>Types of furloughs.</SUBJECT>
            <P>A furlough is an authorized absence from an institution by an inmate who is not under escort of a staff member, U.S. Marshal, or state or federal agents. The two types of furloughs are:</P>
            <P>(a)<E T="03">Transfer furlough</E>—A furlough for the purpose of transferring an inmate from one Bureau facility to another, a non-federal facility, or community confinement (including home confinement) as noted below at § 570.33(a).</P>
            <P>(b)<E T="03">Non-transfer furlough</E>—A furlough for any purpose other than a transfer furlough, and which may be defined based on its nature, as either emergency or routine, as follows:</P>
            <P>(1)<E T="03">Emergency furlough</E>—A furlough allowing an inmate to address a family crisis or other urgent situation as noted below at § 570.33(b).</P>
            <P>(2)<E T="03">Routine furlough</E>—A furlough for any of the reasons noted below at § 570.33 (a) and (c) through (j).</P>
            <P>(c)<E T="03">Duration and distance of non-transfer furlough</E>—</P>
            <P>(1)<E T="03">Day furlough</E>—A furlough within the geographic limits of the commuting area of the institution, which lasts 16 hours or less and ends before midnight.</P>
            <P>(2)<E T="03">Overnight furlough</E>—A furlough which falls outside the criteria of a day furlough.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.33</SECTNO>
            <SUBJECT>Justification for furlough.</SUBJECT>
            <P>The Warden or designee may authorize a furlough, for 30 calendar days or less, for an inmate to:</P>
            <P>(a) Transfer directly to another Bureau institution, a non-federal facility, or community confinement;</P>
            <P>(b) Be present during a crisis in the immediate family, or in other urgent situations;</P>
            <P>(c) Participate in the development of release plans;</P>
            <P>(d) Establish or reestablish family and community ties;</P>
            <P>(e) Participate in selected educational, social, civic, and religious activities which will facilitate release transition;</P>
            <P>(f) Appear in court in connection with a civil action;</P>
            <P>(g) Comply with an official request to appear before a grand jury, or to comply with a request from a legislative body, or regulatory or licensing agency;</P>
            <P>(h) Appear in or prepare for a criminal court proceeding, but only when the use of a furlough is requested or recommended by the applicable court or prosecuting attorney;</P>
            <P>(i) Participate in special training courses or in institution work assignments, including Federal Prison Industries (FPI) work assignments, when daily commuting from the institution is not feasible; or</P>
            <P>(j) Receive necessary medical, surgical, psychiatric, or dental treatment not otherwise available.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.34</SECTNO>
            <SUBJECT>Expenses of furlough.</SUBJECT>
            <P>All expenses of a furlough, including transportation, food, lodging, and incidentals, are the responsibility of the inmate, the inmate's family, or other appropriate source approved by the Warden, except that the government may bear the expense of a furlough if it is for the government's primary benefit.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.35</SECTNO>
            <SUBJECT>Transfer furlough eligibility requirements.</SUBJECT>
            <P>(a) Inmates transferring to administrative, low, medium, or high security facilities are generally not eligible for participation in the Bureau's transfer furlough program.</P>
            <P>(b) For a transfer furlough, inmates other than those described in paragraph (a) of this section must:</P>
            <P>(1) Be physically and mentally capable of completing the furlough; and</P>
            <P>(2) Demonstrate sufficient responsibility to provide reasonable assurance that furlough requirements will be met.</P>
            <P>(c) Inmates transferring to minimum security facilities must meet the requirements described in paragraph (b) of this section, and must also be:</P>
            <P>(1) Transferring from a low or minimum security facility; and</P>
            <P>(2) Appropriate for placement in a minimum security facility based on the inmate's security designation and custody classification at the time of transfer.</P>
            <P>(d) Inmates transferring to community confinement must meet the requirements described in paragraph (b) of this section, and must also be appropriate for placement in community confinement based on the inmate's security designation and custody classification at the time of transfer.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.36</SECTNO>
            <SUBJECT>Non-transfer furlough eligibility requirements.</SUBJECT>
            <P>(a) An inmate may be eligible for a non-transfer furlough if the inmate meets the criteria described in 570.35(b) and the following additional criteria:</P>
            <GPOTABLE CDEF="s100,r100" COLS="2" OPTS="L2,tp0,i1">
              <TTITLE/>
              <BOXHD>
                <CHED H="1" O="L">If an inmate has . . .</CHED>
                <CHED H="1" O="L">Then the inmate may only be considered<LI>for . . .</LI>
                </CHED>
              </BOXHD>
              <ROW>
                <ENT I="01">been confined at the initially designated institution for less than 90 days</ENT>
                <ENT>an emergency furlough.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">more than two years remaining until the projected release date</ENT>
                <ENT>an emergency furlough.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">2 years or less remaining until the projected release date</ENT>
                <ENT>an emergency furlough or a routine day furlough.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">18 months or less remaining until the projected release date</ENT>
                <ENT>an emergency furlough, a routine day furlough, or a routine overnight furlough within the institution's commuting area.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">1 year or less remaining until the projected release date</ENT>
                <ENT>an emergency furlough, a routine day furlough, or a routine overnight furlough either within or outside the institution's commuting area.</ENT>
              </ROW>
            </GPOTABLE>
            <P>(b) Ordinarily, Wardens will not grant a furlough to an inmate if:</P>
            <P>(1) The inmate is convicted of a serious crime against a person;</P>
            <P>(2) The inmate's presence in the community could attract undue public attention, create unusual concern, or diminish the seriousness of the offense; or</P>
            <P>(3) The inmate has been granted a furlough in the past 90 days.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.37</SECTNO>
            <SUBJECT>Procedures to apply for a furlough.</SUBJECT>
            <P>(a)<E T="03">Application.</E>Inmates may submit a furlough application to staff, who will review it for compliance with these regulations and Bureau policy.</P>
            <P>(b)<E T="03">Notification of decision.</E>An inmate will be notified of the Warden's decision on the furlough application. Where a furlough application is denied, the inmate will be notified of the reasons for the denial.</P>
            <P>(c)<E T="03">Appeal.</E>An inmate may appeal any aspect of the furlough program through the Administrative Remedy Program, 28 CFR Part 542, Subpart B.</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 570.38</SECTNO>
            <SUBJECT>Conditions of Furlough.</SUBJECT>

            <P>(a) An inmate who violates the conditions of a furlough may be considered an escapee under 18 U.S.C. 4082 or 18 U.S.C. 751, and may be subject to criminal prosecution and institution disciplinary action.<PRTPAGE P="1519"/>
            </P>
            <P>(b) A furlough will only be approved if an inmate agrees to the following conditions and understands that, while on furlough, he/she:</P>
            <P>(1) Remains in the legal custody of the U.S. Attorney General, in service of a term of imprisonment;</P>
            <P>(2) Is subject to prosecution for escape if he/she fails to return to the institution at the designated time;</P>
            <P>(3) Is subject to institution disciplinary action, arrest, and criminal prosecution for violating any condition(s) of the furlough;</P>
            <P>(4) May be thoroughly searched and given a urinalysis, breathalyzer, and other comparable test, during the furlough or upon return to the institution, and must pre-authorize the cost of such test(s) if the inmate or family members are paying the other costs of the furlough. The inmate must pre-authorize all testing fee(s) to be withdrawn directly from his/her inmate deposit fund account;</P>
            <P>(5) Must contact the institution (or United States Probation Officer) in the event of arrest, or any other serious difficulty or illness; and</P>
            <P>(6) Must comply with any other special instructions given by the institution.</P>
            <P>(c) While on furlough, the inmate must not:</P>
            <P>(1) Violate the laws of any jurisdiction (federal, state, or local);</P>
            <P>(2) Leave the area of his/her furlough without permission, except for traveling to the furlough destination, and returning to the institution;</P>
            <P>(3) Purchase, sell, possess, use, consume, or administer any narcotic drugs, marijuana, alcohol, or intoxicants in any form, or frequent any place where such articles are unlawfully sold, dispensed, used, or given away;</P>
            <P>(4) Use medication that is not prescribed and given to the inmate by the institution medical department or a licensed physician;</P>
            <P>(5) Have any medical/dental/surgical/psychiatric treatment without staff's written permission, unless there is an emergency. Upon return to the institution, the inmate must notify institution staff if he/she received any prescribed medication or treatment in the community for an emergency;</P>
            <P>(6) Possess any firearm or other dangerous weapon;</P>
            <P>(7) Get married, sign any legal papers, contracts, loan applications, or conduct any business without staff's written permission;</P>
            <P>(8) Associate with persons having a criminal record or with persons who the inmate knows to be engaged in illegal activities without staff's written permission;</P>
            <P>(9) Drive a motor vehicle without staff's written permission, which can only be obtained if the inmate has proof of a currently valid driver's license and proof of appropriate insurance; or</P>
            <P>(10) Return from furlough with anything the inmate did not take out with him/her (for example, clothing, jewelry, or books).</P>
          </SECTION>
        </REGTEXT>
        
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-281 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4410-05-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Coast Guard</SUBAGY>
        <CFR>33 CFR Part 165</CFR>
        <DEPDOC>[Docket No. USCG-2009-0316]</DEPDOC>
        <RIN>RIN 1625-AA87</RIN>
        <SUBJECT>Security Zones; Sabine Bank Channel, Sabine Pass Channel and Sabine-Neches Waterway, TX</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Coast Guard, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Coast Guard is establishing moving security zones for certain vessels for which the Captain of the Port, Port Arthur deems enhanced security measures necessary. In addition, it is establishing security zones encompassing the mooring basins of LNG carriers while they are moored at the Golden Pass LNG facility in Sabine, TX and/or the Sabine Pass LNG facility located in Cameron Parish, LA.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>This rule is effective February 10, 2011.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>Comments and material received from the public, as well as documents mentioned in this preamble as being available in the docket, are part of docket USCG-2009-0316 are available online by going to<E T="03">http://www.regulations.gov,</E>inserting USCG-2009-0316 in the “Keyword” box, and then clicking “Search.” This material is also available for inspection or copying at the Docket Management Facility (M-30), U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>If you have questions on this rule, call or e-mail Mr. Scott Whalen, Marine Safety Unit Port Arthur, TX; telephone 409-719-5086, e-mail<E T="03">scott.k.whalen@uscg.mil.</E>If you have questions on viewing the docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202-366-9826.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P/>
        <HD SOURCE="HD1">Regulatory Information</HD>

        <P>On May 27, 2010, we published a notice of proposed rulemaking (NPRM) entitled Security Zones; Sabine Bank Channel, Sabine Pass Channel and Sabine-Neches Waterway, TX in the<E T="04">Federal Register</E>(75 FR 29695). We received one comment on the proposed rule. On October 22, 2010, we then published an interim rule discussing and incorporating the recommendation from that one comment and requesting further comments (75 FR 65232).</P>
        <P>No public meeting was requested and none was held. Additionally, no comments concerning the interim rule were received.</P>
        <HD SOURCE="HD1">Basis and Purpose</HD>
        <P>The Coast Guard is establishing moving security zones for certain vessels, for which the Captain of the Port deems enhanced security measures are necessary. The purpose of these security zones is to protect certain vessels designated as requiring such enhanced security measures. Mariners will be notified of the activation of a moving security zone around designated vessels by Broadcast Notice to Mariners. Vessels with active moving security zones will also be identified by the presence of escort vessels displaying flashing blue law enforcement lights.</P>
        <P>The moving security zones would be activated for certain vessels within the U.S. territorial waters through Sabine Bank Channel, Sabine Pass Channel and the Sabine-Neches Waterway, extending from the surface to the bottom. These moving security zones would extend channel edge to channel edge on the Sabine Bank and Sabine Pass Channel and shoreline to shoreline on the Sabine-Neches Waterway, 2 miles ahead and 1 mile astern of the designated vessels while in transit. Meeting, crossing or overtaking situations are not permitted within the security zone unless specifically authorized by the Captain of the Port.</P>
        <P>In addition, the Coast Guard is establishing security zones for the mooring basins at the Golden Pass LNG facility in Sabine, TX and the Sabine Pass LNG facility located in Cameron Parish, LA while LNG carriers are moored at these facilities.</P>
        <P>These security zones are part of a comprehensive port security regime designed to safeguard human life, vessels, and waterfront facilities against sabotage or terrorist attacks.</P>

        <P>All vessels not exempted under paragraph (b) of § 165.819 would be<PRTPAGE P="1520"/>prohibited from entering or remaining in these security zones unless authorized by the Captain of the Port, Port Arthur or his designated representative. For authorization to enter the proposed security zones, vessels can contact the Captain of the Port's on-scene representative or Vessel Traffic Service Port Arthur on VHF Channel 01A or 65A, by telephone at (409) 719-5070, or by facsimile at (409) 719-5090.</P>
        <HD SOURCE="HD1">Background</HD>
        <P>On May 27, 2010 we published a notice of proposed rulemaking (NPRM) to establish this security zone regulation. We received one comment on the proposed rule. Based on that comment, the security zone area proposed in the NPRM was extended to include the entire mooring basins for LNG carriers. The Coast Guard concurs with that recommendation and modified the regulatory language accordingly for the interim rule. Additionally, the same commenter noted that the location of the Sabine Pass facility should be changed from Cheneire, LA to Cameron Parish, LA. This change was also incorporated into the interim rule regulatory language.</P>
        <HD SOURCE="HD1">Discussion of Comments and Changes</HD>
        <P>The Coast Guard received no comments concerning the interim rule requesting that the establishment of a security zone extending 100-feet around LNG carriers while moored at Sabine Pass LNG and Golden Pass LNG facilities be extended to include the entire mooring basin. For clarity, the Coast Guard has amended the final rule regulatory text to include “mooring basin” as a body of water description for the fixed security zones. Mooring basin as a descriptive term is in addition to the latitude and longitude positions, which are already part of the regulatory text, and does not change the areas included in the fixed security zone. This final rule contains no substantive changes from the interim rule as published.</P>
        <HD SOURCE="HD1">Regulatory Analyses</HD>
        <P>We developed this rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on 13 of these statutes or executive orders.</P>
        <HD SOURCE="HD2">Regulatory Planning and Review</HD>
        <P>This rule is not a significant regulatory action under section 3(f) of Executive Order 12866, Regulatory Planning and Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. The Office of Management and Budget has not reviewed it under that Order.</P>
        <P>We expect the economic impact of this rule to be so minimal that a full Regulatory Evaluation is unnecessary. The basis of this finding is that the proposed fixed security zones around moored LNG carriers are of limited size and duration and the affected area does not hinder or delay regular vessel traffic. The moving security zone is limited and does not create undue delay to vessel traffic because vessel traffic may request permission to enter the zone from the Captain of the Port.</P>
        <HD SOURCE="HD2">Small Entities</HD>
        <P>Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have considered whether this rule would have a significant economic impact on a substantial number of small entities. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000.</P>
        <P>The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a significant economic impact on a substantial number of small entities.</P>
        <P>This rule will affect the following entities, some of which might be small entities: The owners or operators of vessels intending to transit through the fixed or moving security zones. The fixed security zones are of limited size and duration and the affected area will not hinder or delay regular vessel traffic. The moving security zone rule will not create undue delay to vessel traffic because vessel traffic may request permission to enter the zone.</P>
        <HD SOURCE="HD2">Assistance for Small Entities</HD>
        <P>Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), in the NPRM we offered to assist small entities in understanding the rule so that they could better evaluate its effects on them and participate in the rulemaking process.</P>
        <P>Small businesses may send comments on the actions of Federal employees who enforce, or otherwise determine compliance with, Federal regulations to the Small Business and Agriculture Regulatory Enforcement Ombudsman and the Regional Small Business Regulatory Fairness Boards. The Ombudsman evaluates these actions annually and rates each agency's responsiveness to small business. If you wish to comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR (1-888-734-3247). The Coast Guard will not retaliate against small entities that question or complain about this rule or any policy or action of the Coast Guard.</P>
        <HD SOURCE="HD2">Collection of Information</HD>
        <P>This rule calls for no new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).</P>
        <HD SOURCE="HD2">Federalism</HD>
        <P>A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on State or local governments and would either preempt State law or impose a substantial direct cost of compliance on them. We have analyzed this rule under that Order and have determined that it does not have implications for federalism.</P>
        <HD SOURCE="HD2">Unfunded Mandates Reform Act</HD>
        <P>The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or more in any one year. Though this rule will not result in such an expenditure, we do discuss the effects of this rule elsewhere in this preamble.</P>
        <HD SOURCE="HD2">Taking of Private Property</HD>
        <P>This rule will not cause a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.</P>
        <HD SOURCE="HD2">Civil Justice Reform</HD>
        <P>This rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.</P>
        <HD SOURCE="HD2">Protection of Children</HD>
        <P>We have analyzed this rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and does not create an environmental risk to health or risk to safety that may disproportionately affect children.</P>
        <HD SOURCE="HD2">Indian Tribal Governments</HD>

        <P>This rule does not have tribal implications under Executive Order 13175, Consultation and Coordination<PRTPAGE P="1521"/>with Indian Tribal Governments, because it does not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes</P>
        <HD SOURCE="HD2">Energy Effects</HD>
        <P>We have analyzed this rule under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. We have determined that it is not a “significant energy action” under that order because it is not a “significant regulatory action” under Executive Order 12866 and is not likely to have a significant adverse effect on the supply, distribution, or use of energy. The Administrator of the Office of Information and Regulatory Affairs has not designated it as a significant energy action. Therefore, it does not require a Statement of Energy Effects under Executive Order 13211.</P>
        <HD SOURCE="HD2">Technical Standards</HD>
        <P>The National Technology Transfer and Advancement Act (NTTAA) (15 U.S.C. 272 note) directs agencies to use voluntary consensus standards in their regulatory activities unless the agency provides Congress, through the Office of Management and Budget, with an explanation of why using these standards would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (e.g., specifications of materials, performance, design, or operation; test methods; sampling procedures; and related management systems practices) that are developed or adopted by voluntary consensus standards bodies.</P>
        <P>This rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards.</P>
        <HD SOURCE="HD2">Environment</HD>

        <P>We have analyzed this rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded this action is one of a category of actions that do not individually or cumulatively have a significant effect on the human environment. This rule is categorically excluded, under figure 2-1, paragraph (34)(g), of the Instruction. This rule involves regulations establishing, disestablishing, or changing Regulated Navigation Areas and security or safety zones. An environmental analysis checklist and a categorical exclusion determination are available in the docket where indicated under<E T="02">ADDRESSES</E>.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 33 CFR 165</HD>
          <P>Harbors, Marine safety, Navigation (water), Reporting and recordkeeping requirements, Security measures, Waterways.</P>
        </LSTSUB>
        <REGTEXT PART="165" TITLE="33">
          <P>For the reasons discussed in the preamble, the Coast Guard adopts the interim rule amending 33 CFR part 165 that was published at 75 FR 65235 on October 22, 2010, as a final rule with the following changes:</P>
          <PART>
            <HD SOURCE="HED">PART 165—REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS</HD>
          </PART>
          <AMDPAR>1. The authority citation to part 165 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>33 U.S.C. 1231; 46 U.S.C. Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub. L. 107-295, 116 Stat. 2064; Department of Homeland Security Delegation No. 0170.1.</P>
          </AUTH>
        </REGTEXT>
        
        <REGTEXT PART="165" TITLE="33">
          <SECTION>
            <SECTNO>§ 165.819</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
          </SECTION>
          <AMDPAR>2. In § 165.819—</AMDPAR>
          <AMDPAR>a. Amend paragraph (a)(1)(i) by inserting the words “mooring basin” immediately before the word “waters”, and</AMDPAR>
          <AMDPAR>b. Amend paragraph (a)(1)(ii) by inserting the words “mooring basin” immediately before the word “waters”.</AMDPAR>
        </REGTEXT>
        <SIG>
          <DATED>Dated: November 22, 2010.</DATED>
          <NAME>J.J. Plunkett,</NAME>
          <TITLE>Captain, U.S. Coast Guard, Captain of the Port, Port Arthur.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-172 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9110-04-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Coast Guard</SUBAGY>
        <CFR>33 CFR Part 165</CFR>
        <DEPDOC>[Docket No. USCG-2010-0423]</DEPDOC>
        <RIN>RIN 1625-AA87</RIN>
        <SUBJECT>Security Zone: Fleet Industrial Supply Center Pier, San Diego, CA</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Coast Guard, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Coast Guard is removing a security zone on the navigable waters of San Diego Bay, San Diego, CA. The existing zone is around the former Fleet Industrial Supply Center Pier. The pier is no longer owned by the U.S. Navy and the existing security zone is no longer necessary to provide for the security of the U.S. Naval vessels, their crews, and the public from sabotage or other subversive acts, accidents, criminal actions, or other causes of a similar nature.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>This rule is effective February 10, 2011.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>Documents indicated in this preamble as being available in the docket are part of docket USCG-2010-0423 and are available online by going to<E T="03">http://www.regulations.gov,</E>inserting USCG-2010-0423 in the “Keyword” box, and then clicking “Search.” They are also available for inspection or copying at the Docket Management Facility (M-30), U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>If you have questions on this rule, call or e-mail Commander Mike Dolan, Waterways Management, U.S. Coast Guard Sector San Diego; telephone 619-278-7261, e-mail<E T="03">Michael.b.dolan@uscg.mil.</E>If you have questions on viewing the docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202-366-9826.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Regulatory Information</HD>
        <P>The Coast Guard is issuing this final rule without prior notice and opportunity to comment pursuant to authority under section 4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This provision authorizes an agency to issue a rule without prior notice and opportunity to comment when the agency for good cause finds that those procedures are “impracticable, unnecessary, or contrary to the public interest.” Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good cause exists for not publishing a notice of proposed rulemaking (NPRM). It is unnecessary to seek comments on this rulemaking because the purpose of this security zone—to provide for the security of the U.S. Naval vessels, their crews, and the public from sabotage or other subversive acts, accidents, criminal actions, or other causes of a similar nature—no longer exists because the Navy no longer owns this facility.</P>

        <P>Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause exists for making this rule effective 30 days after publication in the<E T="04">Federal Register</E>. The pier is no longer owned by the U.S.<PRTPAGE P="1522"/>Navy and the existing security zone is no longer necessary.</P>
        <HD SOURCE="HD1">Basis and Purpose</HD>
        <P>The Coast Guard is removing a security zone on the navigable waters of the San Diego Bay, San Diego, CA. The existing security zone is around the former Fleet Industrial Supply Center Pier. The security zone encompasses all navigable waters within 100 feet of the former Fleet Industrial Supply Center Pier. The pier is no longer owned by the U.S. Navy and the security zone is no longer needed to protect U.S. Naval vessels, their crews, and the public from sabotage or other subversive acts, accidents, criminal actions or other causes of a similar nature.</P>
        <HD SOURCE="HD1">Discussion of Rule</HD>
        <P>The Coast Guard is removing a security zone. The current limits of the security zone include all navigable waters within 100 feet of the former Fleet Industrial Supply Center Pier enclosed by lines connecting the following points: 32°42′50″ N, 117°10′25″ W; 32°42′50″ N, 117°10′38″ W; 32°42′54″ N, 117°10′38″ W; 32°42′54″ N, 117°10′25″ W.</P>
        <FP>The security zone is no longer necessary to protect U.S. Naval vessels, their crews, and the public from sabotage or other subversive acts, accidents, criminal actions, or other causes of a similar nature.</FP>
        <HD SOURCE="HD1">Regulatory Analyses</HD>
        <P>We developed this rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on 13 of these statutes or executive orders.</P>
        <HD SOURCE="HD2">Regulatory Planning and Review</HD>
        <P>This rule is not a significant regulatory action under section 3(f) of Executive Order 12866, Regulatory Planning and Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. The Office of Management and Budget has not reviewed it under that Order. The entities most likely to be affected are pleasure craft engaged in recreational activities and sightseeing. As such, the Coast Guard expects the economic impact of this rule to be minimal.</P>
        <HD SOURCE="HD2">Small Entities</HD>
        <P>Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have considered whether this rule would have a significant economic impact on a substantial number of small entities. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000.</P>
        <P>The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a significant economic impact on a substantial number of small entities.</P>
        <P>This rule will affect the following entities, some of which might be small entities: The owners or operators of vessels intending to transit or anchor in a portion of the San Diego Bay. The removal of this security zone will not have a significant economic impact on a substantial number of small entities for the following reason. Removing the security zone will allow the public to access an area of the waterway that is currently restricted.</P>
        <HD SOURCE="HD2">Assistance for Small Entities</HD>
        <P>Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we offer to assist small entities in understanding the rule so that they can better evaluate its effects on them and participate in the rulemaking process.</P>
        <P>Small businesses may send comments on the actions of Federal employees who enforce, or otherwise determine compliance with, Federal regulations to the Small Business and Agriculture Regulatory Enforcement Ombudsman and the Regional Small Business Regulatory Fairness Boards. The Ombudsman evaluates these actions annually and rates each agency's responsiveness to small business. If you wish to comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR (1-888-734-3247). The Coast Guard will not retaliate against small entities that question or complain about this rule or any policy or action of the Coast Guard.</P>
        <HD SOURCE="HD2">Collection of Information</HD>
        <P>This rule calls for no new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).</P>
        <HD SOURCE="HD2">Federalism</HD>
        <P>A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on State or local governments and would either preempt State law or impose a substantial direct cost of compliance on them. We have analyzed this rule under that Order and have determined that it does not have implications for federalism.</P>
        <HD SOURCE="HD2">Unfunded Mandates Reform Act</HD>
        <P>The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or more in any one year. Though this rule will not result in such an expenditure, we do discuss the effects of this rule elsewhere in this preamble.</P>
        <HD SOURCE="HD2">Taking of Private Property</HD>
        <P>This rule will not cause a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.</P>
        <HD SOURCE="HD2">Civil Justice Reform</HD>
        <P>This rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.</P>
        <HD SOURCE="HD2">Protection of Children</HD>
        <P>We have analyzed this rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and does not create an environmental risk to health or risk to safety that may disproportionately affect children.</P>
        <HD SOURCE="HD2">Indian Tribal Governments</HD>
        <P>This rule does not have tribal implications under Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, because it does not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes.</P>
        <HD SOURCE="HD2">Energy Effects</HD>

        <P>We have analyzed this rule under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. We have determined that it is not a “significant energy action” under that order because it is not a “significant regulatory action” under Executive Order 12866 and is not likely to have a significant adverse effect on the supply, distribution, or use of energy. The Administrator of the Office of Information and Regulatory Affairs has not designated it as a significant energy action. Therefore, it does not<PRTPAGE P="1523"/>require a Statement of Energy Effects under Executive Order 13211.</P>
        <HD SOURCE="HD2">Technical Standards</HD>

        <P>The National Technology Transfer and Advancement Act (NTTAA) (15 U.S.C. 272 note) directs agencies to use voluntary consensus standards in their regulatory activities unless the agency provides Congress, through the Office of Management and Budget, with an explanation of why using these standards would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (<E T="03">e.g.,</E>specifications of materials, performance, design, or operation; test methods; sampling procedures; and related management systems practices) that are developed or adopted by voluntary consensus standards bodies.</P>
        <P>This rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards.</P>
        <HD SOURCE="HD2">Environment</HD>
        <P>We have analyzed this rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded this action is one of a category of actions that do not individually or cumulatively have a significant effect on the human environment. This rule is categorically excluded, under figure 2-1, paragraph (34)(g.), of the Instruction. This rule involves the removal of a security zone.</P>

        <P>An environmental analysis checklist and a categorical exclusion determination are available in the docket where indicated under<E T="02">ADDRESSES</E>.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 33 CFR Part 165</HD>
          <P>Harbors, Marine safety, Navigation (water), Reporting and recordkeeping requirements, Security measures, Waterways.</P>
        </LSTSUB>
        <REGTEXT PART="165" TITLE="33">
          <P>For the reasons discussed in the preamble, the Coast Guard amends 33 CFR part 165 as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 165—REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS</HD>
          </PART>
          <AMDPAR>1. The authority citation for part 165 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub. L. 107-295, 116 Stat. 2064; Department of Homeland Security Delegation No. 0170.1.</P>
          </AUTH>
        </REGTEXT>
        <REGTEXT PART="165" TITLE="33">
          <SECTION>
            <SECTNO>§ 165.1121</SECTNO>
            <SUBJECT>[Removed and Reserved]</SUBJECT>
          </SECTION>
          <AMDPAR>2. Remove and reserve § 165.1121.</AMDPAR>
        </REGTEXT>
        <SIG>
          <DATED>Dated: December 29, 2010.</DATED>
          <NAME>P.J. Hill,</NAME>
          <TITLE>Commander, U.S. Coast Guard, Acting Captain of the Port San Diego.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-309 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9110-04-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">NATIONAL ARCHIVES AND RECORDS ADMINISTRATION</AGENCY>
        <CFR>36 CFR Part 1200</CFR>
        <DEPDOC>[NARA-10-0006]</DEPDOC>
        <RIN>RIN 3095-AB70</RIN>
        <SUBJECT>New Agency Logos</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>National Archives and Records Administration (NARA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Direct final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>NARA is adding four new official logos. One is the new agency-wide official logo for use on agency correspondence and other communications and publicity media. The other three logos are for new offices within NARA—the Office of Government Information Services (OGIS), the Controlled Unclassified Information Office (CUI), and the National Declassification Center (NDC).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>

          <P>Effective January 11, 2011 without further action, unless adverse comment is received by February 10, 2011. If adverse comment is received, NARA will publish a timely withdrawal of the rule in the<E T="04">Federal Register</E>.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Adverse comments may be submitted by the deadline. Please include “RIN 3095-AB70,” “Attn: Kimberly Keravuori,” and your name and mailing address in your comments. Comments may be submitted by any of the following methods:</P>
          <P>•<E T="03">Federal eRulemaking Portal:</E>Go to:<E T="03">http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>•<E T="03">Fax:</E>Submit comments by facsimile transmission to 301-837-0319.</P>
          <P>•<E T="03">Mail:</E>Send comments to Regulations Comments Desk (NPOL), Room 4100, National Archives and Records Administration; Policy and Planning Office;<E T="03">Attn:</E>Kimberly Keravuori; 8601 Adelphi Road; College Park, MD 20740.</P>
          <P>•<E T="03">Hand Delivery or Courier:</E>Deliver comments to 8601 Adelphi Road, College Park, MD.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Kimberly Keravuori at 301-837-3151.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>For the purposes of agency recognition and branding, and in compliance with the Office of Management and Budget's Memorandum 10-23, Guidance for Agency Use of Third-Party Web sites and Applications, and the agency's Open Government initiatives, the Archivist has designated a NARA-wide official agency logo. This logo is for use on agency letterhead, all agency social media sites, and other agency communications or publicity media as a consistent branding image for agency recognition. The logo does not replace NARA's official seals.</P>
        <P>The second logo is for the Office of Government Information Services (OGIS). The OPEN Government Act of 2007 amended the Freedom of Information Act, or FOIA (5 U.S.C. 552) to create the OGIS within NARA. As part of its statutory duties as ombudsman of the Federal FOIA program, OGIS has developed an office logo for instant recognition of OGIS and its programs and services across the Federal government and amongst FOIA requesters.</P>
        <P>The third logo is for the Controlled Unclassified Information (CUI) Office. The Archivist of the United States' Memorandum, dated May 21, 2008, established the CUI Office within NARA and its purpose is to develop and implement policy standards for CUI, guided by Presidential direction. The CUI logo is a symbol of NARA's policy office for CUI and has been designed to convey recognition of the standardization of CUI policy across the Federal government.</P>
        <P>The fourth logo is for the National Declassification Center (NDC). The NDC was established in accordance with Section 3.7 of Executive Order 13526, by the Archivist of the United States on December 30, 2009. Its mission is to align people, processes, and technologies to advance the declassification and public release of historically valuable permanent records while maintaining national security. The NDC logo is being adopted to provide a recognizable, standard brand for the NDC and its activities.</P>
        <P>Permission is required for the replication or use of these logos.</P>

        <P>This rule is effective upon publication for good cause as permitted by the Administrative Procedure Act (5 U.S.C. 553(d)(3)). NARA believes that delaying the effective date for 30 days is unnecessary as this rule represents minor technical amendments and there are no changes to the public's ability to utilize its logos or of services to the public. In addition, the public will benefit immediately from recognition of NARA's new official logo when it appears on documents.<PRTPAGE P="1524"/>
        </P>
        <P>This direct final rule is not a significant regulatory action for the purposes of Executive Order 12866 and has not been reviewed by the Office of Management and Budget (OMB). As required by the Regulatory Flexibility Act, it is hereby certified that this rule will not have a significant impact on a substantial number of small business entities because this rules applies to the agency by adding new agency logos. This rule does not have any federalism implications.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 36 CFR Part 1200</HD>
          <P>Logos, archives and records.</P>
        </LSTSUB>
        <AMDPAR>For the reasons stated in the preamble, NARA amends Title 36 of the Code of Federal Regulations as follows:</AMDPAR>
        <REGTEXT PART="1200" TITLE="36">
          <PART>
            <HD SOURCE="HED">PART 1200—OFFICIAL SEALS</HD>
          </PART>
          <AMDPAR>1. The authority citation for part 1200 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>18 U.S.C. 506, 701, 1017; 44 U.S.C. 2104(e), 2116(b), 2302.</P>
          </AUTH>
          <SUBPART>
            <HD SOURCE="HED">Subpart B—How are NARA's Official Seals and Logos Designed and Used?</HD>
            <SECTION>
              <SECTNO>§ 1200.4</SECTNO>
              <SUBJECT>[Amended]</SUBJECT>
            </SECTION>
          </SUBPART>
        </REGTEXT>
        <REGTEXT PART="1200" TITLE="36">
          <AMDPAR>2. Amend § 1200.4 (a)(1) by removing the punctuation and phrase “, e.g., stationery”.</AMDPAR>
        </REGTEXT>
        <REGTEXT PART="1200" TITLE="36">
          <AMDPAR>3. In § 1200.7:</AMDPAR>
          <AMDPAR>a. Redesignate paragraphs (a) through (d) as paragraphs (d) through (g);</AMDPAR>
          <AMDPAR>b. Add new paragraphs (a) through (c);</AMDPAR>
          <AMDPAR>c. Revise newly redesignated paragraph (d) introductory text;</AMDPAR>
          <AMDPAR>d. In newly redesignated paragraph (d)(7), remove “and”;</AMDPAR>
          <AMDPAR>e. In newly redesignated paragraph (d)(8), remove the period and add a semicolon in its place; and</AMDPAR>
          <AMDPAR>f. Add paragraphs (d)(10), (11), and (12).</AMDPAR>
          <AMDPAR>g. In newly redesignated paragraph (e) introductory text, italicize the paragraph heading; and</AMDPAR>
          <AMDPAR>h. Revise newly redesignated paragraphs (f) introductory text and (g).</AMDPAR>
          <P>The revisions and additions read as follows:</P>
          <SECTION>
            <SECTNO>§ 1200.7</SECTNO>
            <SUBJECT>What are NARA logos and how are they used?</SUBJECT>
            <P>(a)<E T="03">Agency logo.</E>NARA has one official agency logo, which is illustrated as follows:</P>
            <GPH DEEP="146" SPAN="3">
              <GID>ER11JA11.201</GID>
            </GPH>
            <P>(b) The official agency logo is used:</P>
            <P>(1) On agency letterhead and business cards;</P>
            <P>(2) On all NARA web and social media sites (intranet and internet), whether hosted internally, remotely, or on a public forum (including sites on which a NARA office or program logo also appears);</P>
            <P>(3) On exhibits;</P>
            <P>(4) On publicity and other branding materials, and on items associated with a one-time or recurring NARA event or activity;</P>
            <P>(5) On agency communications and presentations; and</P>
            <P>(6) On other items as approved by the Archivist or his designee.</P>

            <P>(c) The official agency logo does not replace NARA's official seals on other agency official business, such as certified records, the<E T="04">Federal Register</E>, and authenticated copies.</P>
            <P>(d)<E T="03">Office and program logos.</E>NARA's official office and program logos include, but are not limited to, those illustrated as follows:</P>
            <STARS/>
            <P>(10) The Office of Government Information Services (OGIS);</P>
            <GPH DEEP="97" SPAN="3">
              <GID>ER11JA11.202</GID>
            </GPH>
            <P>(11) The Controlled Unclassified Information Office (CUI); and</P>
            <GPH DEEP="105" SPAN="3">
              <PRTPAGE P="1525"/>
              <GID>ER11JA11.203</GID>
            </GPH>
            <P>(12) The National Declassification Center (NDC).</P>
            <GPH DEEP="76" SPAN="3">
              <GID>ER11JA11.204</GID>
            </GPH>
            <P>(f) NARA uses its office, program, and other official logos (usually in conjunction with the agency logo) for official business, which includes, but is not limited to:</P>
            <STARS/>
            <P>(g)<E T="03">Use of logos by others.</E>NARA logos may be used by the public and other Federal agencies for events or activities co-sponsored by NARA, but only with the written approval of the Archivist or his designee.<E T="03">See</E>Subpart C for procedures to request approval for use.</P>
          </SECTION>
        </REGTEXT>
        <REGTEXT PART="1200" TITLE="36">
          <SUBPART>
            <HD SOURCE="HED">Subpart C—[Amended]</HD>
          </SUBPART>
          <AMDPAR>4. Revise the heading for § 1200.8 to read as follows:</AMDPAR>
          <SECTION>
            <SECTNO>§ 1200.8</SECTNO>
            <SUBJECT>How do I request to use the official seals and logos?</SUBJECT>
            <STARS/>
          </SECTION>
        </REGTEXT>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>David S. Ferriero,</NAME>
          <TITLE>Archivist of the United States.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-492 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 7515-01-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
        <CFR>40 CFR Part 52</CFR>
        <DEPDOC>[EPA-R06-OAR-2005-TX-0031; FRL-9248-9]</DEPDOC>
        <SUBJECT>Approval and Promulgation of Air Quality Implementation Plans; Texas; Revisions to Rules and Regulations for Control of Air Pollution; Permitting of Grandfathered and Electing Electric Generating Facilities</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Environmental Protection Agency (EPA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>EPA is taking final action to partially approve and partially disapprove revisions of the Texas State Implementation Plan (SIP) submitted by the Texas Commission on Environmental Quality (TCEQ, or Commission) on January 3, 2000, and July 31, 2002, as supplemented on August 5, 2009. These revisions are to regulations of the TCEQ that relate to application and permitting procedures for grandfathered electric generating facilities (EGFs). The revisions address a mandate by the Texas Legislature under Senate Bill 7 to achieve nitrogen oxide (NO<E T="52">X</E>), sulfur dioxide (SO<E T="52">2</E>) and particulate matter (PM) emission reductions from grandfathered EGFs. The emissions reductions will contribute to achieving attainment and help ensure attainment and continued maintenance of the National Ambient Air Quality Standards (NAAQS) for ozone, sulfur dioxide, and particulate matter in the State of Texas. As a result of these mandated emissions reductions, in accordance with section 110(l) of the Federal Clean Air Act, as amended (the Act, or CAA), partial approval of these revisions will not interfere with attainment of the NAAQS, reasonable further progress, or any other applicable requirement of the Act. EPA has determined that the revisions, but for a severable provision, meet section 110, part C, and part D of the Federal Clean Air Act (the Act or CAA) and EPA's regulations. Therefore, EPA is taking final action to approve the revisions but for a severable portion that allows collateral emissions increases of carbon monoxide (CO) created by the imposition of technology controls to be permitted under the State's Standard Permit (SP) for Pollution Control Projects (PCP). EPA is taking final action to disapprove this severable portion concerning the issuance of a PCP SP for the CO collateral emissions increases.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>This final rule is effective on February 10, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>EPA has established a docket for this action under Docket Identification No. EPA-R06-OAR-2005-TX-0031. All documents in this docket are listed at<E T="03">http://www.regulations.gov.</E>Although listed in the index, some information is not publicly available, e.g., Confidential Business Information or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either<PRTPAGE P="1526"/>electronically through<E T="03">http://www.regulations.gov</E>or in hard copy at the Air Permits Section (6PD-R), Environmental Protection Agency, 1445 Ross Avenue, Suite 700, Dallas, Texas 75202-2733. The file will be made available by appointment for public inspection in the Region 6 FOIA Review Room between the hours of 8:30 am and 4:30 pm weekdays except for legal holidays. Contact the person listed in the<E T="02">FOR FURTHER INFORMATION CONTACT</E>paragraph below to make an appointment. If possible, please make the appointment at least two working days in advance of your visit. There will be a 15 cent per page fee for making photocopies of documents. On the day of the visit, please check in at the EPA Region 6 reception area at 1445 Ross Avenue, Suite 700, Dallas, Texas.</P>
          <P>The State submittal, which is part of the EPA record, is also available for public inspection at the State Air Agency listed below during official business hours by appointment:</P>
          <P>Texas Commission on Environmental Quality, Office of Air Quality, 12124 Park 35 Circle, Austin, Texas 78753.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Mr. Rick Barrett, Air Permits Section (6PD-R), Environmental Protection Agency, Region 6, 1445 Ross Avenue, Suite 700, Dallas, Texas 75202-2733, telephone 214-665-7227; fax number 214-665-7263; e-mail address:<E T="03">barrett.richard@epa.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Throughout this document “we,” “our,” and “us” refers to EPA.</P>
        <HD SOURCE="HD1">Outline</HD>
        <EXTRACT>
          <FP SOURCE="FP-2">I. What action is EPA taking?</FP>
          <FP SOURCE="FP-2">II. Background</FP>
          <FP SOURCE="FP1-2">A. Texas Senate Bill 7</FP>
          <FP SOURCE="FP1-2">B. January 3, 2000 Submittal</FP>
          <FP SOURCE="FP1-2">C. July 31, 2002 Submittal</FP>
          <FP SOURCE="FP-2">III. What are the grounds for these actions?</FP>
          <FP SOURCE="FP1-2">A. January 3, 2000 Submittal</FP>
          <FP SOURCE="FP1-2">B. July 31, 2002 Submittal</FP>
          <FP SOURCE="FP-2">IV. Did we receive public comments on the proposed rulemaking?</FP>
          <FP SOURCE="FP-2">V. Final Action</FP>
          <FP SOURCE="FP-2">VI. Statutory and Executive Order Reviews</FP>
        </EXTRACT>
        <HD SOURCE="HD1">I. What action is EPA taking?</HD>
        <P>We are partially approving and partially disapproving the revision to Title 30, Chapter 116, of the TAC submitted by the State of Texas on January 3, 2000. We are also fully approving the revision to Title 30, Chapter 116, of the TAC submitted by the State of Texas on July 31, 2002. The January 3, 2000 submittal concerns Subchapter A: “Definitions,” section 116.18; and Subchapter I: “Electric Generating Facility Permits,” sections 116.910-914, 116.916, 116.920-922, 116.930, and 116.931. We are fully approving all of this 2000 submittal but for the severable reference in 30 TAC 116.911(a)(2) that, if approved, would allow the use of a Texas PCP SP for the permitting of the CO collateral emissions increases. We are disapproving this reference in submitted 30 TAC 116.911(a)(2) allowing the use of a PCP SP for the collateral CO emissions. The July 31, 2002 submittal concerns Subchapter A: “Definitions,” sections 116.10 and 116.18; and Subchapter I: “Electric Generating Facility Permits,” sections 116.910, 116.911, 116.913, 116.917, 116.918, 116.921, 116.926, 116.928, and 116.930. The TCEQ adopted these revisions on December 16, 1999, and May 22, 2002, respectively.</P>

        <P>Please note that in the July 31, 2002 submittal concerning Subchapter A: “Definitions,” section 116.10 is severable and was approved in a separate rulemaking (<E T="03">See</E>75 FR 19468 April 14, 2010).</P>

        <P>EPA is taking final action on the submitted application and permitting procedures for grandfathered EGFs, as mandated by the Texas Legislature, to achieve NO<E T="52">X</E>, SO<E T="52">2</E>and PM emission reductions (Texas SB7 SIP) by December 31, 2010, as provided in the Consent Decree entered on January 21, 2010 in BCCA Appeal Group v. EPA, Case No. 3:08-cv-01491-N (N.D. Tex).</P>
        <HD SOURCE="HD1">II. Background</HD>
        <HD SOURCE="HD2">A. Texas Senate Bill 7</HD>
        <P>Texas Senate Bill 7 (SB 7), formed under the 76th Texas State Legislature, 1999,amended the Texas Utilities Code (TUC), Title 2, Public Utility Regulatory Act, Subtitle B, Electric Utilities, and created a new Texas Utilities Code Chapter 39, “Restructuring of Electric Utility Industry.” SB 7 requires the TCEQ to establish a regulatory program implementing the statute's mandatory emissions reductions for “grandfathered facilities” under the Texas Utilities Code section 39.264. A “grandfathered facility” is one that existed at the time the Legislature amended the Texas Clean Air Act (TCAA) in 1971.</P>
        <P>These facilities were not required to comply with (<E T="03">i.e.</E>, grandfathered from) the then new requirement to obtain permits for construction or modifications of facilities that emit air contaminants. Texas began permitting new and modified sources in 1971, and sources built before Texas' permitting rules became effective were not required to obtain permits for air emissions as long as they were not modified as defined under Texas' New Source Review SIP program.</P>
        <P>Section 39.264 of the TUC now requires EGFs that existed on January 1, 1999, to obtain a permit from the Commission even though these sources were not previously required to obtain a permit under the TCAA, section 382.0518(g).</P>

        <P>Section 39.264 of the TUC specifically requires owners or operators of all grandfathered EGFs to apply for a permit to emit NO<E T="52">X</E>and, for coal-fired grandfathered EGFs, SO<E T="52">2,</E>and PM through opacity limitations. These applications were due on or before September 1, 2000. A grandfathered EGF that does not obtain a permit may not operate after May 1, 2003, unless the Commission finds good cause for an extension. Section 39.264 of the TUC requires that for the 12-month period beginning May 1, 2003, and for each 12-month period following, annual emissions of NO<E T="52">X</E>from grandfathered EGFs not exceed 50% of the NO<E T="52">X</E>emissions reported to the Commission for 1997. Furthermore, it requires that emissions of SO<E T="52">2</E>from coal-fired grandfathered EGFs not exceed 75% of the SO<E T="52">2</E>emissions reported to the Commission in 1997. In addition, TUC section 39.264(e) requires electric generating facility permits (EGFPs) for coal-fired, grandfathered EGFs to contain appropriate opacity limitations provided by the commission's rules in 30 Texas Administrative Code (TAC) Ch.111.111, “Requirements for Specified Sources.” As described in more detail below, the emission limitations may be satisfied by using control technology or by participating in the banking and trading of allowances under Texas' Emission Banking and Trading of Allowances (EBTA) program.</P>
        <P>Overall, SB 7 mandates specific pollution reduction in an area, while allowing individual sources flexibility in how they meet emissions reductions. As participants in the program, EGFs must obtain a permit allocating them a certain level of emissions which they cannot exceed. In each defined region, the total level of emissions are restricted, or capped, to a level consistent with the SB 7 statutory goals. The individual EGF, to meet its allocated emissions level, can either choose to install pollution controls, shut down operations, or purchase allowances from another source that already reduced emission levels below its permitted amount.</P>

        <P>To achieve SB 7's mandate, the TCEQ revised 30 TAC Chapter 116, “Control of Air Pollution by Permits for New Construction or Modification,” by establishing an allowance and permitting program for regulating grandfathered EGFs under Subchapter I.<PRTPAGE P="1527"/>TCEQ concurrently adopted Chapter 101, Subchapter H, “Emissions Banking and Trading,” that establishes a regional cap and trade system to distribute emission allowances for use by EGFs. The new Division 2, Chapter 101, Subchapter H, concerning EBTA, sets out the allowance system to be used to assist grandfathered and electing EGFs in meeting the emission reduction requirements of TUC, section 39.264. Together, the two rules define categories of EGFs that are eligible to use the trading system. As discussed above, the first category consists of grandfathered facilities. The second category of EGFs consist of currently permitted EGFs that are not subject to the permitting requirements mandated by SB 7, yet elect to participate in the allowance trading system. These are referred to as “electing” EGFs and participation in the permitting program will allow electing EGFs to obtain allowances under the EBTA.</P>
        <P>Please note that EPA's action on 30 TAC Chapter 101, Subchapter H, Division 2, concerning Emissions Banking and Trading of Allowances, is being finalized in a separate notice and is evaluated in a separate TSD. (RME Docket R06-OAR-2005-TX-0012).</P>
        <P>The background for today's actions is also discussed in more detail in our October 19, 2010, proposal to partially approve and partially disapprove revisions to the Texas SIP (75 FR 64235-64240).</P>
        <HD SOURCE="HD2">B. January 3, 2000 Submittal</HD>

        <P>Regarding the January 3, 2000 submittal, SB 7 requires that for the 12-month period beginning May 1, 2003, and for each 12-month period following, annual emissions of NO<E T="52">X</E>from all grandfathered EGFs not exceed 50% of the NO<E T="52">X</E>emissions reported to the Commission for 1997. Furthermore, the legislation requires that emissions of SO<E T="52">2</E>from all coal-fired grandfathered EGFs not exceed 75% of the SO<E T="52">2</E>emissions reported to the Commission in 1997, and to contain appropriate opacity limitations by way of permitting the emissions of particulate matter.</P>
        <HD SOURCE="HD2">C. July 31, 2002 Submittal</HD>
        <P>Regarding the July 31, 2002 submittal, this submittal allows the owners or operators of previously grandfathered and electing EGFs who have already applied for an electric generating facility (EGF) permit required by SB 7 to also obtain a permit for all air contaminants, certain generators and auxiliary fossil fuel fired combustion facilities.</P>
        <HD SOURCE="HD1">III. What are the grounds for these actions?</HD>
        <HD SOURCE="HD2">A. January 3, 2000 Submittal</HD>
        <P>These submitted provisions, with the exception of 116.911(a)(2) discussed below, meet the requirement in 40 CFR 51.160(a) that each plan include legally enforceable procedures to determine whether the construction or modification of a facility, building, structure, or installation, or combination of these will result in (1) a violation of applicable portions of the control strategy; or (2) interference with attainment or maintenance of a national standard in the State in which the proposed source (or modification) is located or in a neighboring State. As such, they are consistent with the Act and its permitting requirements.</P>

        <P>Regarding the submitted 30 TAC 116.911(a)(2), EPA approved Texas's general regulations for Standard Permits in 30 TAC Subchapter F of 30 TAC Chapter 116 on November 14, 2003 (68 FR 64548) as meeting the minor NSR SIP requirements. The Texas Clean Air Act provides that the TCEQ may issue a standard permit for “new or existing similar facilities” if it is enforceable and compliance can be adequately monitored.<E T="03">See</E>section 382.05195 of the TCAA. EPA approved the State's Standard Permit program as part of the Texas Minor NSR SIP program on November 14, 2003 (68 FR 64548). However, when EPA approved the Texas Standard Permits Program as part of the Texas Minor NSR SIP, it explicitly did not approve the Pollution Control Project (PCP) Standard Permit (30 TAC 116.617). This is the PCP SP referenced in 30 TAC 116.911(a)(2) of this SIP submittal which owners or operators of grandfathered or electing electric generating facilities used to permit collateral emissions of CO which, otherwise, would have triggered PSD review. Following the<E T="03">State of New York, et al.</E>v.<E T="03">EPA,</E>413 F.3d 801 (D.C. Cir. 2005) court decision (New York I), Texas submitted a repeal of the previously submitted PCP Standard Permit and submitted the adoption of a new PCP Standard Permit at 30 TAC 116.617—State Pollution Control Project Standard Permit, on February 1, 2006. One of the main reasons Texas adopted a new PCP Standard Permit was to meet the new Federal requirements to explicitly limit this PCP Standard Permit only to Minor NSR. In New York I, the Court vacated the federal pollution control project provisions for NNSR and PSD. Although the new PCP Standard Permit explicitly prohibits the use of it for Major NSR purposes, TCEQ failed to demonstrate how this particular Standard Permit met the Texas Standard Permits NSR SIP since it applies to numerous types of pollution control projects, which can be used at any source that wants to use a PCP, and is not an authorization for similar sources. EPA disapproved the new PCP Standard Permit submittal on September 15, 2010. 75 FR 56,424 (September 15, 2010). Thus, we are disapproving the submitted 116.911 (a)(2) because it refers to and relies on the PCP SP that does not meet the applicable requirements of the Act, and was previously disapproved by EPA as a part of the Texas SIP.</P>
        <P>The rationale for today's actions is also discussed in more detail in our October 19, 2010, proposal to partially approve and partially disapprove revisions to the Texas SIP (75 FR 64237-64239). See our Technical Support Document, Attachment A, for additional details.</P>
        <HD SOURCE="HD2">B. July 31, 2002 Submittal</HD>
        <P>These provisions meet the requirement in 40 CFR 51.160(a) that each plan include legally enforceable procedures to determine whether the construction or modification of a facility, building, structure, or installation, or combination of these will result in (1) a violation of applicable portions of the control strategy; or (2) interference with attainment or maintenance of a national standard in the state in which the proposed source (or modification) is located or in a neighboring state. As such, they are consistent with the Act and its permitting requirements.</P>
        <P>The rationale for today's actions is also discussed in more detail in our October 19, 2010, proposal to partially approve and partially disapprove revisions to the Texas SIP (75 FR 64239). See our Technical Support Document, Attachment B, for additional details.</P>
        <HD SOURCE="HD1">IV. Did we receive public comments on the proposed rulemaking?</HD>
        <P>In response to our October 19, 2010, proposal, we received comments from the following: Association of Electric Companies of Texas (AECT); Baker Botts, L.L.P., on behalf of Texas Industrial Project (TIP); Jackson Walker L.L.P., on behalf of the Gulf Coast Lignite Coalition (GCLC); Luminant Generation Company LLC (Luminant); Texas Commission on Environmental Quality (TCEQ); and Texas Mining and Reclamation Association (TMRA).</P>

        <P>We respond to these comments in our evaluation and review under this final action below.<PRTPAGE P="1528"/>
        </P>
        <P>
          <E T="03">Comment 1:</E>TMRA, Luminant, GCLC, AECT, and TCEQ commented generally that the submitted 30 TAC 116.911(a)(2) was in compliance with all federal regulations and policies at the time it was adopted and submitted to EPA, and the subsequent court decisions including the EPA appeal decision, to vacate the provision should not be applied retroactively. Further, these commenters assert that EPA action on this provision should apply prospectively only and not to any permits issued prior to the court decisions.</P>
        <P>
          <E T="03">Response:</E>EPA disagrees with this comment. As discussed above, EPA approved the State's Standard Permit program as part of the Texas Minor NSR SIP program on November 14, 2003 (68 FR 64548). When EPA approved the Texas Standard Permits Program as part of the Texas Minor NSR SIP, it explicitly DID NOT approve the Pollution Control Project (PCP) Standard Permit (30 TAC 116.617). This is the PCP SP referenced in 30 TAC 116.911(a)(2) of this SIP submittal which owners or operators of grandfathered or electing electric generating facilities used to permit collateral emissions of CO which, otherwise, would have triggered PSD review. Following New York 1, Texas submitted a repeal of the previously submitted PCP Standard Permit and submitted the adoption of a new PCP Standard Permit at 30 TAC 116.617—State Pollution Control Project Standard Permit, on February 1, 2006. One of the main reasons Texas adopted a new PCP Standard Permit was to meet the new Federal requirements to explicitly limit this PCP Standard Permit only to Minor NSR. In New York 1, the Court vacated the federal pollution control project provisions for NNSR and PSD. Although the new PCP Standard Permit explicitly prohibits the use of it for Major NSR purposes, TCEQ has failed to demonstrate how this particular Standard Permit meets the Texas Standard Permits NSR SIP since it applies to numerous types of pollution control projects, which can be used at any source that wants to use a PCP, and is not an authorization for similar sources. EPA disapproved the new PCP Standard Permit submittal on September 15, 2010. 75 FR 56,424 (September 15, 2010).</P>

        <P>We are disapproving the submitted 116.911(a)(2) because the reference in it which allows obtaining a PCP SP for the collateral emissions does not meet the applicable requirements of the Act, as discussed herein, and was disapproved by EPA as a part of the Texas SIP. EPA is required to review a SIP revision for its compliance with the Act and EPA regulations. See CAA section 110(k)(3);<E T="03">see</E>also<E T="03">BCCA Appeal Group</E>v.<E T="03">EPA,</E>355 F 3d.817, 822 (5th Cir 2003);<E T="03">Natural Resources Defense Council, Inc.</E>v.<E T="03">Browner,</E>57 F.3d 1122, 1123 (D.C. Cir 1995).</P>
        <P>
          <E T="03">Comment 2:</E>TMRA, TIP, Luminant, GCLC, and AECT commented generally that the Clean Air Act requires that EPA “shall not approve a revision of a plan if the revision would interfere with any applicable requirement concerning attainment and reasonable further progress * * *.” EPA should therefore approve 116.911(a)(2) because EPA discusses in its proposed rule dated October 19, 2010, that the CO increases do not interfere with attainment or maintenance of the NAAQS for CO, nor cause or contribute to increase in PSD increments, much less a violation of any NAAQS.</P>
        <P>
          <E T="03">Response:</E>This comment misunderstands the basis on which we are disapproving 116.911(a)(2). We are disapproving the submitted 30 TAC 116.911(a)(2) because it allows the source to obtain a permit for its collateral CO emissions that is not a part of the Texas SIP. EPA previously disapproved the permit allowed for the collateral CO emissions because it did not meet the applicable requirements of the Act. EPA is required to review a SIP revision for its compliance with the Act and EPA regulations. See CAA section 110(k)(3);<E T="03">see</E>also<E T="03">BCCA Appeal Group</E>v.<E T="03">EPA,</E>355 F 3d.817, 822 (5th Cir 2003);<E T="03">Natural Resources Defense Council, Inc.</E>v.<E T="03">Browner,</E>57 F.3d 1122, 1123 (D.C. Cir 1995).</P>
        <P>
          <E T="03">Comment 3:</E>TIP, Luminant, and GCLC commented generally that the court decision of June 24, 2005, does not apply to 116.911(a)(2). That court decision dealt with an exclusion from major NSR, whereas the PCP SP is a minor NSR permitting process and authorization tool and the SP cannot be used to circumvent major NSR. One commenter noted that “in light of” the court decision, on February 1, 2006, Texas submitted to EPA a revised version of 30 TAC § 116.617 (Standard Permits for Pollution Control Projects) to “limit the use of the state's PCP SP to Minor NSR”.</P>
        <P>
          <E T="03">Response:</E>EPA disagrees with this comment. See response to comment 1.</P>
        <P>
          <E T="03">Comment 4:</E>TMRA, Luminant, and AECT commented generally that they disagree with EPA's allegation that there were two facilities where collateral emissions of Carbon Monoxide (CO) above the PSD significance level occurred following the installation of pollution control equipment. Further, that they disagree with EPA's proposal to disapprove these already issued permits.</P>
        <P>
          <E T="03">Response:</E>EPA disagrees with this comment. EPA is not disapproving these two already issued permits with this SIP action. Our disapproval is strictly limited to the provision 30 TAC 116.911(a)(2) of the January 3, 2000, SIP submittal. Although it is not a basis for EPA's final action here, EPA stands by its previous discussion of the facilities where collateral emissions of CO above PSD significance levels occurred following the installation of pollution control equipment.</P>
        <P>
          <E T="03">Comment 5:</E>TMRA, Luminant, and AECT commented that EPA should follow its established position that Pollution Control Project permits are acceptable under the Clean Air Act.</P>
        <P>
          <E T="03">Response:</E>It is not EPA's position, established or otherwise, that PCP permits are acceptable under the Clean Air Act for Major NSR. Furthermore, the New York I opinion addressed the use of PCPs and disapproved their use for Major NSR requirements. In that decision, the court vacated the provisions of the Federal 2002 NSR Reform rule that specifically related to PCPs. The EPA must comply with the court decision. EPA disapproved the State's submitted PCP SP for Minor NSR. See response to comment 1.</P>
        <P>
          <E T="03">Comment 6:</E>TMRA and AECT commented generally that the proposed disapproval has a chilling effect on much needed economic investment and makes it even more difficult for companies to create jobs and provide for economic growth. Further, that the Senate Bill 7 program has achieved substantial emission reductions while providing a fair and predictable regulatory framework that is protective of human health and the environment.</P>
        <P>
          <E T="03">Response:</E>Under the NAAQS provisions of the CAA, air pollution control at its source is the primary responsibility of States and local governments. EPA is respectful of the Act and cognizant of the cooperative federalism principle contained therein. However, while the Act does give States a fair degree of latitude in choosing the mix of controls necessary to meet and maintain the NAAQS, it also places some limits on the choices States can make. EPA's role is to ensure that the SIP submittal is consistent with the CAA. Any SIP submittal must adhere to applicable requirements of the federal CAA, including the obligation to provide for attainment and maintenance of the NAAQS and to ensure that the SIP may be adequately enforced. EPA's statutory responsibilities in reviewing a SIP are to ensure it meets the requirements of the Act. As explained in<PRTPAGE P="1529"/>the proposal and above, as part of EPA's review, we determined that the provision providing for the obtaining of a non-SIP PCP SP is inconsistent with the CAA. See CAA section 110(k)(3);<E T="03">see also BCCA Appeal Group</E>v.<E T="03">EPA,</E>355 F 3d.817, 822 (5th Cir 2003);<E T="03">Natural Resources Defense Council, Inc.</E>v.<E T="03">Browner,</E>57 F.3d 1122, 1123 (D.C. Cir 1995).</P>
        <P>
          <E T="03">Comment 7:</E>Luminant commented that EPA incorrectly concludes that its prior disapproval of 30 TAC 116.617 necessitates disapproval of 30 TAC 116.911(a)(2). Rather, EPA must independently justify its disapproval of these provisions relating to the Texas Senate Bill No. 7 (“SB7”) permitting program. Further, that EPA's disapproval of 30 TAC 116.617 does not justify or require disapproval of 30 TAC 116.911(a)(2). Also, the obligation thus originates from the SB7 permit rules, and EPA has an independent obligation to justify its disapproval of the substance of those requirements in this rulemaking and not simply rely on a prior one that did not involve the SB7 permit program.</P>
        <P>
          <E T="03">Response:</E>EPA disagrees with this comment. 30 TAC 116.911(a)(2) allows a SB7 source that has collateral emissions of CO to obtain a TCEQ PCP SP rather than obtaining a Texas NSR SIP permit, for its CO collateral emissions. The PCP SP is not a part of the Texas NSR SIP. See the response to comment 1. Moreover, EPA is required to review a SIP revision for its compliance with the Act and EPA regulations. See CAA section 110(k)(3);<E T="03">see also</E>
          <E T="03">BCCA Appeal Group</E>v.<E T="03">EPA,</E>355 F 3d.817, 822 (5th Cir 2003);<E T="03">Natural Resources Defense Council, Inc.</E>v.<E T="03">Browner,</E>57 F.3d 1122, 1123 (D.C. Cir 1995).</P>
        <P>
          <E T="03">Comment 8:</E>Luminant commented that it supports the remainder of proposed approval of the January 3, 2000 and July 31, 2002 submittals. It also supports the EPA's November 16, 2010 direct final rule to approve the EBTA program.</P>
        <P>
          <E T="03">Response:</E>EPA acknowledges this comment.</P>
        <P>
          <E T="03">Comment 9:</E>The TCEQ commented that it maintains its position that § 116.617 is an efficient and legally supportable authorization for pollution control projects in Texas.</P>
        <P>
          <E T="03">Response:</E>EPA disagrees with this comment. We disapproved the PCP SP on September 15, 2010.<E T="03">See</E>75 FR 56,424 (September 15, 2010).</P>
        <HD SOURCE="HD1">IV. Final Action</HD>
        <P>EPA is partially approving and partially disapproving revisions to the Texas SIP that include 30 TAC Chapter 116, Subchapter A: “Definitions,” section 116.18; and Subchapter I: “Electric Generating Facility Permits,” sections 116.910-914, 116.916, 116.920-922, 116.930, and 116.931, which Texas submitted on January 3, 2000.</P>
        <P>EPA is approving all of the January 3, 2000, SIP revision submittal as part of the Texas NSR SIP but for 30 TAC 116.911(a)(2). EPA is disapproving the submitted severable 30 TAC 116.911(a)(2) for collateral emissions increases of CO that are allowed to be permitted under the Texas PCP SP.</P>
        <P>Further, EPA is approving revisions to the Texas SIP that include 30 TAC Chapter 116, Subchapter A: “Definitions,” section 116.18; and Subchapter I: “Electric Generating Facility Permits,” sections 116.910, 116.911, 116.913, 116.917, 116.918, 116.921, 116.926, 116.928, and 116.930, which Texas submitted on July 31, 2002. We are taking no action on Chapter 116, Subchapter H: “Permits for Grandfathered Facilities,” which Texas submitted on July 31, 2002. The State understands that EPA will take future action on Subchapter H because it is independent from Subchapters A and I, and action is not necessary at this time.</P>

        <P>The January 3, 2000 and July 31, 2002 submittals address the applicability and permitting requirements for grandfathered and electing electric generating facilities. The revisions will contribute to improvement in overall air quality in Texas. There will be no increase in ozone, SO<E T="52">2</E>, and PM concentration levels because of approving the revisions. We have evaluated the State's submittal, determined that it meets the applicable requirements of the CAA and EPA air quality regulations, and is consistent with EPA policy.</P>
        <HD SOURCE="HD1">V. Statutory and Executive Order Reviews</HD>
        <HD SOURCE="HD2">A. Executive Order 12866, Regulatory Planning and Review</HD>
        <P>This final action has been determined not to be a “significant regulatory action” subject to review by the Office of Management and Budget under Executive Order 12866 (58 FR 51735, October 4, 1993).</P>
        <HD SOURCE="HD2">B. Paperwork Reduction Act</HD>

        <P>This action does not impose an information collection burden under the provisions of the Paperwork Reduction Act, 44 U.S.C. 3501<E T="03">et seq.,</E>because this SIP disapproval under section 110 and subchapter I, part D of the Clean Air Act will not in-and-of itself create any new information collection burdens but simply disapproves certain State requirements for inclusion into the SIP. Burden is defined at 5 CFR 1320.3(b). Because this final action does not impose an information collection burden, the Paperwork Reduction Act does not apply.</P>
        <HD SOURCE="HD2">C. Regulatory Flexibility Act</HD>
        <P>The Regulatory Flexibility Act (RFA) generally requires an agency to conduct a regulatory flexibility analysis of any rule subject to notice and comment rulemaking requirements unless the agency certifies that the rule will not have a significant economic impact on a substantial number of small entities. Small entities include small businesses, small not-for-profit enterprises, and small governmental jurisdictions. For purposes of assessing the impacts of today's rule on small entities, small entity is defined as: (1) A small business as defined by the Small Business Administration's (SBA) regulations at 13 CFR 121.201; (2) a small governmental jurisdiction that is a government of a city, county, town, school district or special district with a population of less than 50,000; and (3) a small organization that is any not-for-profit enterprise which is independently owned and operated and is not dominant in its field. This rule will not have a significant impact on a substantial number of small entities because SIP approvals and disapprovals under section 110 and part D of the Clean Air Act do not create any new requirements but simply approve or disapprove requirements that the States are already imposing.</P>

        <P>Furthermore, as explained in this action, the submissions do not meet the requirements of the Act and EPA cannot approve the submissions. The final disapproval will not affect any existing State requirements applicable to small entities in the State of Texas. Federal disapproval of a State submittal does not affect its State enforceability. After considering the economic impacts of today's rulemaking on small entities, and because the Federal SIP disapproval does not create any new requirements or impact a substantial number of small entities, I certify that this action will not have a significant economic impact on a substantial number of small entities. Moreover, due to the nature of the Federal-State relationship under the Clean Air Act, preparation of flexibility analysis would constitute Federal inquiry into the economic reasonableness of state action. The Clean Air Act forbids EPA to base its actions concerning SIPs on such grounds.<E T="03">Union Electric Co.</E>v.<E T="03">U.S. EPA,</E>
          <PRTPAGE P="1530"/>427 U.S. 246, 255-66 (1976); 42 7410(a)(2).</P>
        <HD SOURCE="HD2">D. Unfunded Mandates Reform Act</HD>
        <P>This action contains no Federal mandates under the provisions of Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), 2 U.S.C. 1531-1538 “for State, local, or tribal governments or the private sector.” EPA has determined that the disapproval action does not include a Federal mandate that may result in estimated costs of $100 million or more to either State, local, or tribal governments in the aggregate, or to the private sector. This Federal action determines that pre-existing requirements under State or local law should not be approved as part of the Federally approved SIP. It imposes no new requirements. Accordingly, no additional costs to State, local, or tribal governments, or to the private sector, result from this action.</P>
        <HD SOURCE="HD2">E. Executive Order 13132, Federalism</HD>
        <P>Executive Order 13132, entitled “Federalism” (64 FR 43255, August 10, 1999), requires EPA to develop an accountable process to ensure “meaningful and timely input by State and local officials in the development of regulatory policies that have Federalism implications.” “Policies that have Federalism implications” is defined in the Executive Order to include regulations that 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.”</P>
        <P>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, as specified in Executive Order 13132, because it merely disapproves certain State requirements for inclusion into the SIP and does not alter the relationship or the distribution of power and responsibilities established in the Clean Air Act. Thus, Executive Order 13132 does not apply to this action.</P>
        <HD SOURCE="HD2">F. Executive Order 13175, Coordination With Indian Tribal Governments</HD>
        <P>This action does not have tribal implications, as specified in Executive Order 13175 (59 FR 22951, November 9, 2000), because the SIP EPA is disapproving would not 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. This final rule does not have tribal implications, as specified in Executive Order 13175. It will not have substantial direct effects on tribal governments, on the relationship between the Federal government and Indian tribes, or on the distribution of power and responsibilities between the Federal government and Indian tribes. This action does not involve or impose any requirements that affect Indian Tribes. Thus, Executive Order 13175 does not apply to this action.</P>
        <HD SOURCE="HD2">G. Executive Order 13045, Protection of Children From Environmental Health Risks and Safety Risks</HD>
        <P>EPA interprets Executive Order 13045 (62 FR 19885, April 23, 1997) as applying only to those regulatory actions that concern health or safety risks, such that the analysis required under section 5-501 of the Executive Order has the potential to influence the regulation. This action is not subject to Executive Order 13045 because it is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997). This SIP disapproval under section 110 and subchapter I, part D of the Clean Air Act will not in-and-of itself create any new regulations but simply disapproves certain State requirements for inclusion into the SIP.</P>
        <HD SOURCE="HD2">H. Executive Order 13211, Actions That Significantly Affect Energy Supply, Distribution, or Use</HD>
        <P>This rule is not subject to Executive Order 13211 (66 FR 28355, May 22, 2001) because it is not a significant regulatory action under Executive Order 12866.</P>
        <HD SOURCE="HD2">I. National Technology Transfer and Advancement Act</HD>

        <P>Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (“NTTAA”), Public Law 104-113, section 12(d) (15 U.S.C. 272 note) directs EPA to use voluntary consensus standards in its regulatory activities unless to do so would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (<E T="03">e.g.,</E>materials specifications, test methods, sampling procedures, and business practices) that are developed or adopted by voluntary consensus standards bodies. NTTAA directs EPA to provide Congress, through the Office of Management and Budget, explanations when the Agency decides not to use available and applicable voluntary consensus standards.</P>
        <P>EPA believes that this action is not subject to requirements of Section 12(d) of NTTAA because application of those requirements would be inconsistent with the Clean Air Act. Today's action does not require the public to perform activities conducive to the use of voluntary consensus standards.</P>
        <HD SOURCE="HD2">J. Executive Order 12898: Federal Actions To Address Environmental Justice in Minority Populations and Low-Income Populations</HD>
        <P>Executive Order 12898 (59 FR 7629, (February 16, 1994)) establishes Federal executive policy on environmental justice. Its main provision directs Federal agencies, to the greatest extent practicable and permitted by law, to make environmental justice part of their mission by identifying and addressing, as appropriate, disproportionately high and adverse human health or environmental effects of their programs, policies, and activities on minority populations and low-income populations in the United States.</P>
        <P>EPA lacks the discretionary authority to address environmental justice in this action. In reviewing SIP submissions, EPA's role is to approve or disapprove state choices, based on the criteria of the Clean Air Act. Accordingly, this action merely disapproves certain State requirements for inclusion into the SIP under section 110 and subchapter I, part D of the Clean Air Act and will not in-and-of itself create any new requirements. Accordingly, it 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 E`xecutive Order 12898.</P>
        <HD SOURCE="HD2">K. Congressional Review Act</HD>
        <P>The Congressional Review Act, 5 U.S.C. 801<E T="03">et seq.,</E>as added by the Small Business Regulatory Enforcement Fairness Act of 1996, generally provides that before a rule may take effect, the agency promulgating the rule must submit a rule report, which includes a copy of the rule, to each House of the Congress and to the Comptroller General of the United States. EPA will submit a report containing this rule and other required information to the U.S. Senate, the U.S. House of Representatives, and the Comptroller General of the United States prior to publication of the rule in the<E T="04">Federal Register</E>. A major rule cannot take effect until 60 days after it is published in the<E T="04">Federal Register</E>. This action is not a “major rule” as defined by 5 U.S.C. 804(2).<PRTPAGE P="1531"/>
        </P>
        <HD SOURCE="HD2">L. Petitions for Judicial Review</HD>

        <P>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<E T="03">March 14, 2011.</E>Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this rule 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.<E T="03">See</E>section 307(b)(2).</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 40 CFR Part 52</HD>
          <P>Environmental protection, Air pollution control, Carbon monoxide, Incorporation by reference, Intergovernmental relations, Nitrogen oxides, Nonattainment, Ozone, Particulate matter, Reporting and recordkeeping requirements, Sulfur dioxide.</P>
        </LSTSUB>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>42 U.S.C. 7401<E T="03">et seq.</E>
          </P>
        </AUTH>
        <SIG>
          <DATED>Dated: December 29, 2010.</DATED>
          <NAME>Samuel Coleman,</NAME>
          <TITLE>Acting Regional Administrator, Region 6.</TITLE>
        </SIG>
        <REGTEXT PART="52" TITLE="40">
          <P>40 CFR part 52 is amended as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 52—[AMENDED]</HD>
            <P>1. The authority citation for part 52 continues to read as follows:</P>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>42 U.S.C. 7410<E T="03">et seq.</E>
              </P>
            </AUTH>
          </PART>
        </REGTEXT>
        <REGTEXT PART="52" TITLE="40">
          <SUBPART>
            <HD SOURCE="HED">Subpart SS—Texas</HD>
          </SUBPART>
          <AMDPAR>2. The table in § 52.2270 (c) entitled “EPA Approved Regulations in the Texas SIP” is amended under Chapter 116—Control of Air Pollution by Permits for New Construction or Modification, as follows:</AMDPAR>
          <AMDPAR>a. Immediately following the entry for Section 116.14, by adding a new entry for Section 116.18, Electric Generating Facility Permits Definitions; and</AMDPAR>
          <AMDPAR>b. Immediately following section 116.615, by adding a new centered heading entitled “Subchapter I—Electric Generating Facility Permits” followed by new entries for Sections 116.910, 116.911, 116.912, 116.913, 116.914, 116.916, 116.917, 116.918, 116.920, 116.921, 116.922, 116.926, 116.928, 116.930, and 116.931.</AMDPAR>
          <P>The additions read as follows:</P>
          <SECTION>
            <SECTNO>§ 52.2270</SECTNO>
            <SUBJECT>Identification of plan.</SUBJECT>
            <P>(c) * * *</P>
          </SECTION>
        </REGTEXT>
        <GPOTABLE CDEF="xs80,r50,12,r50,r50" COLS="5" OPTS="L1,tp0,i1">
          <TTITLE/>
          <BOXHD>
            <CHED H="1">State citation</CHED>
            <CHED H="1">Title/subject</CHED>
            <CHED H="1">State<LI>approval/</LI>
              <LI>submittal</LI>
              <LI>date</LI>
            </CHED>
            <CHED H="1">EPA approval date</CHED>
            <CHED H="1">Explanation</CHED>
          </BOXHD>
          <ROW>
            <ENT I="22"/>
          </ROW>
          <ROW>
            <ENT I="28">*******</ENT>
          </ROW>
          <ROW EXPSTB="04">
            <ENT I="21">
              <E T="02">Chapter 116 (Reg 6)—Control of Air Pollution by Permits for New Construction or Modification</E>
            </ENT>
          </ROW>
          <ROW EXPSTB="00">
            <ENT I="22"/>
          </ROW>
          <ROW>
            <ENT I="28">*******</ENT>
          </ROW>
          <ROW EXPSTB="04">
            <ENT I="21">
              <E T="02">Subchapter A—Definitions</E>
            </ENT>
          </ROW>
          <ROW EXPSTB="00">
            <ENT I="22"/>
          </ROW>
          <ROW>
            <ENT I="28">*******</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.18</ENT>
            <ENT>Electric Generating Facility Permits Definitions</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="22"/>
          </ROW>
          <ROW>
            <ENT I="28">*******</ENT>
          </ROW>
          <ROW EXPSTB="04">
            <ENT I="21">
              <E T="02">Subchapter I—Electric Generating Facility Permits</E>
            </ENT>
          </ROW>
          <ROW EXPSTB="00">
            <ENT I="22"/>
          </ROW>
          <ROW>
            <ENT I="28">*******</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.910</ENT>
            <ENT>Applicability</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.911</ENT>
            <ENT>Electric Generating Facility Permit</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT>116.911(a)(2) is not in the SIP.</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.912</ENT>
            <ENT>Electric Generating Facilities</ENT>
            <ENT>12/16/1999</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.913</ENT>
            <ENT>General and Special Conditions</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.914</ENT>
            <ENT>Emissions Monitoring and Reporting Requirements</ENT>
            <ENT>12/16/1999</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.916</ENT>
            <ENT>Permits for Grandfathered and Electing Generating Facilities in El Paso County</ENT>
            <ENT>12/16/1999</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.917</ENT>
            <ENT>Electric Generating Facility Permit Application for Certain Grandfathered Coal-Fired Electric Generating Facilities and Certain Facilities Located at Electric Generating Facility Sites</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.918</ENT>
            <ENT>Additional General Special Conditions for Grandfathered Coal-Fired Electric Generating Facilities and Certain Facilities Located at Electric Generating Facility Sites</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.920</ENT>
            <ENT>Applicability</ENT>
            <ENT>12/16/1999</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.921</ENT>
            <ENT>Notice and Comment Hearings for Initial Issuance</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <PRTPAGE P="1532"/>
            <ENT I="01">Section 116.922</ENT>
            <ENT>Notice of Final Action</ENT>
            <ENT>12/16/1999</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.926</ENT>
            <ENT>Permit Fee</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.928</ENT>
            <ENT>Delegation</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.930</ENT>
            <ENT>Amendments and Alterations Issued Under this Subchapter</ENT>
            <ENT>5/22/2002</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW>
            <ENT I="01">Section 116.931</ENT>
            <ENT>Renewal</ENT>
            <ENT>12/16/1999</ENT>
            <ENT>1/11/2011, [Insert FR page number where document begins]</ENT>
            <ENT/>
          </ROW>
          <ROW EXPSTB="00">
            <ENT I="22"/>
          </ROW>
          <ROW>
            <ENT I="28">*******</ENT>
          </ROW>
        </GPOTABLE>
        <AMDPAR>3. Section 52.2273 is amended by adding a new paragraph (f) to read as follows:</AMDPAR>
        <SECTION>
          <SECTNO>§ 52.2273</SECTNO>
          <SUBJECT>Approval status.</SUBJECT>
          <STARS/>
          <P>(f) EPA is disapproving the Texas SIP revision submittals under 30 TAC Chapter 116—Control of Air Pollution by Permits for New Construction or Modification as follows:</P>
          <P>(1) Subchapter I—Electric Generating Facility Permits—Section 116.911(a)(2) (Electric Generating Facility Permit), adopted December 16, 1999, and submitted January 3, 2000.</P>
          
        </SECTION>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-222 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6560-50-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
        <CFR>40 CFR Part 81</CFR>
        <DEPDOC>[EPA-R09-OAR-2010-0718; FRL-9250-1]</DEPDOC>

        <SUBJECT>Determinations of Attainment by the Applicable Attainment Date for the Hayden, Nogales, Paul Spur/Douglas PM<E T="52">10</E>Nonattainment Areas, Arizona</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Environmental Protection Agency (EPA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>EPA is making final determinations that the Hayden, Nogales, and Paul Spur/Douglas nonattainment areas in Arizona attained the National Ambient Air Quality Standard (NAAQS) for particulate matter with an aerodynamic diameter of less than or equal to a nominal ten micrometers (PM<E T="52">10</E>) by their applicable attainment dates of December 31, 1994. On the basis of these determinations, EPA concludes that these three “moderate” nonattainment areas are not subject to reclassification by operation of law to “serious.” EPA is not finalizing determinations with respect to the air quality in these areas subsequent to their 1994 attainment dates.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>This rule is effective on February 10, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>EPA has established docket number EPA-R09-OAR-2010-0718 for this action. The index to the docket is available electronically at<E T="03">http://www.regulations.gov</E>and in hard copy at EPA Region IX, 75 Hawthorne Street, San Francisco, California. While all documents in the docket are listed in the index, some information may be publicly available only at the hard copy location (<E T="03">e.g.,</E>copyrighted material), and some may not be publicly available in either location (<E T="03">e.g.,</E>CBI). To inspect the hard copy materials, please schedule an appointment during normal business hours with the contact listed in the<E T="02">FOR FURTHER INFORMATION CONTACT</E>section.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Wienke Tax at telephone number: (415) 947-4192; e-mail address:<E T="03">tax.wienke@epa.gov,</E>or the above EPA, Region IX address.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Throughout this document, wherever “we”, “us” or “our” are used, we mean EPA. Information is organized as follows:</P>
        <HD SOURCE="HD1">Table of Contents</HD>
        <EXTRACT>
          <FP SOURCE="FP-2">I. Context for Today's Actions</FP>
          <FP SOURCE="FP-2">II. Summary of Proposed Actions</FP>
          <FP SOURCE="FP-2">III. Public Comments and EPA Responses</FP>
          <FP SOURCE="FP-2">IV. Final Action</FP>
          <FP SOURCE="FP-2">V. Statutory and Executive Order Reviews</FP>
        </EXTRACT>
        <HD SOURCE="HD1">I. Context for Today's Actions</HD>
        <P>On November 2, 2010 (75 FR 67220), we published a direct final rule that made certain determinations we are making in this document. On November 2, 2010 (75 FR 67303), we also published a corresponding proposed rule in the event that we received adverse comment leading us to withdraw the direct final rule. In our direct final rule, we indicated that we would withdraw the direct final rule if we received adverse comments, and address public comments in a subsequent final rule based on the proposed rule. On November 3, 2010, we received adverse comments, and subsequently withdrew the direct final rule (75 FR 72964, November 29, 2010). Today, we take final action based on our November 2, 2010 proposed rule and our consideration of the public comments received.</P>
        <HD SOURCE="HD1">II. Summary of Proposed Actions</HD>

        <P>In our November 2, 2010 proposed rule, we proposed to determine, pursuant to section 188(b)(2) of the Clean Air Act, that three Arizona “moderate” PM<E T="52">10</E>nonattainment areas (Hayden, Nogales, and Paul Spur/Douglas) had attained the PM<E T="52">10</E>NAAQS by the applicable attainment date (December 31, 1994), and that, based on these proposed determinations, we concluded that none of these areas is subject to reclassification to serious by operation of law. We also proposed to find that more recent data for 2007-2009 show none of the areas is currently attaining the standard. More detailed information is contained in the November 2 direct final rule, which is summarized in the paragraphs that follow.</P>

        <P>First, our direct final rule described the relevant NAAQS, 150 micrograms per cubic meter (µg/m<SU>3</SU>), 24-hour average, against which monitored ambient concentrations of PM<E T="52">10</E>in the three subject areas (Hayden,<SU>1</SU>
          <FTREF/>Nogales,<SU>2</SU>
          <FTREF/>
          <PRTPAGE P="1533"/>and Paul Spur/Douglas<SU>3</SU>

          <FTREF/>) are to be compared in evaluating whether the areas attained the standard. Next, we described the designations and classifications of these three areas, all of which are classified as “moderate” nonattainment with an applicable attainment date of December 31, 1994 under CAA section 188(c). Also, we discussed the status of the various air quality plans submitted by the State of Arizona to address moderate area PM<E T="52">10</E>requirements in the three subject areas (Hayden, Nogales, Paul Spur/Douglas).</P>
        <FTNT>
          <P>
            <SU>1</SU>The Hayden planning area straddles Gila and Pinal counties at the confluence of the Gila and San Pedro rivers in east central Arizona. The nonattainment area covers roughly 700 square miles of mountainous terrain. Cities and towns within this area include Kearney (population roughly 2,800), Hayden (population roughly 800), and Winkelman (population roughly 400).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>2</SU>The Nogales planning area covers approximately 70 square miles along the border with Mexico within Santa Cruz County. The only significant population center in this area is the city of Nogales with a population of roughly 21,000. The population of Nogales, Mexico, which lies just<PRTPAGE/>across the border from Nogales, Arizona is roughly 160,000.</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>3</SU>The Paul Spur/Douglas planning area covers approximately 220 square miles along the border with Mexico within Cochise County. Cities and towns within this area include Douglas (population roughly 20,000) and Pirtleville (population roughly 1,500). The population of Agua Prieta, Mexico, which lies just across the border from Douglas is roughly 70,000.</P>
        </FTNT>

        <P>In our direct final rule, we also described how EPA makes attainment determinations. As explained therein, the 24-hour PM<E T="52">10</E>standard is attained when the expected number of days per calendar year with a 24-hour concentration in excess of the standard (referred to herein as an “exceedance”), as determined in accordance with 40 CFR part 50, appendix K, is equal to or less than one.<SU>4</SU>

          <FTREF/>See 40 CFR 50.6 and 40 CFR part 50, appendix K. Generally, EPA determines whether an area's air quality is meeting the PM<E T="52">10</E>NAAQS based upon complete (minimum of 75 percent of scheduled PM<E T="52">10</E>samples recorded in each quarter), quality-assured data gathered at established state and local air monitoring stations (SLAMS) and national air monitoring stations (NAMS) in the nonattainment area and entered into the EPA Air Quality System (AQS) database. Attainment of the 24-hour PM<E T="52">10</E>standard is determined by calculating the expected number of exceedances of the standard in a year. The 24-hour PM<E T="52">10</E>standard is attained when the expected number of exceedances averaged over a three-year period is less than or equal to one at each monitoring site within the nonattainment area. Generally, three consecutive years of air quality data are required to show attainment of the 24-hour PM<E T="52">10</E>standard. See 40 CFR part 50 and appendix K.</P>
        <FTNT>
          <P>

            <SU>4</SU>An exceedance is defined as a daily value that is above the level of the 24-hour standard (150 µg/m<SU>3</SU>) after rounding to the nearest 10 µg/m<SU>3</SU>(<E T="03">i.e.,</E>values ending in 5 or greater are to be rounded up). Thus, a recorded value of 154 µg/m<SU>3</SU>would not be an exceedance since it would be rounded to 150 µg/m<SU>3</SU>whereas a recorded value of 155 µg/m<SU>3</SU>would be an exceedance since it would be rounded to 160 µg/m<SU>3</SU>. See 40 CFR part 50, appendix K, section 1.0.</P>
        </FTNT>
        <P>Based on the available monitoring data for the 1992-1994 period collected in the three subject Arizona nonattainment areas (Hayden, Nogales,<SU>5</SU>
          <FTREF/>and Paul Spur/Douglas) and the application of the PM<E T="52">10</E>NAAQS attainment criteria described above, we proposed to determine that all three areas attained the PM<E T="52">10</E>NAAQS by the December 31, 1994 attainment date for “moderate” areas, and thus, are not subject to reclassification to “serious” by operation of law under CAA section 188(b)(2). In addition, we proposed to find that, although the three areas attained the standard by the applicable attainment date, none appears to be currently attaining based on the most recent available data, although Hayden appears likely to attain in the near future if current trends continue. We indicated that we plan to address the PM<E T="52">10</E>needs for Nogales and Paul Spur/Douglas areas over the next few years. In today's action, EPA is not finalizing any of the proposed determinations with respect to recent data. Instead, we plan to further assess recent data, including data available for 2010 and 2011, in the context of future rulemaking actions on the submitted, but not yet approved, air quality plans for these areas. Section 188(b)(2) obligates EPA to make a determination only as to whether these areas have attained by their applicable 1994 attainment dates, and we are not required by that section to make determinations regarding subsequent time periods. Other portions of the Clean Air Act authorize EPA to address current air quality issues as needed through separate statutory authority and mechanisms.</P>
        <FTNT>
          <P>
            <SU>5</SU>Table 2 (“Summary of PM<E T="52">10</E>Monitoring Data, Nogales Nonattainment Area, 1992-1994”), as published in our November 2, 2010 direct final rule, contains a publisher's error that erroneously combines certain columns and rows and thereby causes a mismatch between concentrations and the corresponding years in which they were monitored. The correct values for the highest 24-hour PM<E T="52">10</E>concentrations (µg/m<SU>3</SU>) are 153 in 1992, 119 for 1993, and 116 for 1994 from the Nogales Post Office monitor. Also, the maximum concentrations shown for the other three monitors located in Nogales were collected in 1994, not 1993. These errors do not appear in the version of the direct final rule that was signed by the EPA Region IX Regional Administrator. In any event, these errors would not have affected the outcome of our attainment determinations since none of the values for any of the years exceeded 154 µg/m<SU>3</SU>.</P>
        </FTNT>
        <P>Please see our November 2, 2010 direct final rule for more information about our proposal of the same date.</P>
        <HD SOURCE="HD1">III. Public Comments and EPA Responses</HD>
        <P>As noted previously, we published a proposed rule (75 FR 67303) on November 2, 2010. We received comments from WildEarth Guardians (“WildEarth”), dated November 3, 2010, challenging EPA's interpretation of CAA section 188(b)(2) that limits reclassifications by operation of law to the air quality conditions as of the applicable attainment date.</P>
        <P>
          <E T="03">Comment:</E>WildEarth contends that section 188(b)(2) of the Clean Air Act does not state that the EPA is limited only to considering air quality data up until the attainment date when it makes its finding, but rather requires any moderate nonattainment area that fails to attain “after the applicable attainment date” to be reclassified to “serious” regardless of whether EPA makes a timely finding.</P>

        <P>WildEarth finds further support for its interpretation by noting that CAA section 188(b)(2) uses both past-tense and present-tense wording with regards to the context of EPA's assessment of an area's attainment status. Specifically, the statute states that EPA's finding “shall determine whether the area<E T="03">attained</E>* * *” (emphasis added), but then states “If the Administrator finds that any Moderate Area<E T="03">is not in attainment</E>* * *” (emphasis added). WildEarth contends that use of both the past-tense and present-tense in this context indicates that, although the Clean Air Act intended EPA to assess an area's attainment status based on whether it attained the NAAQS by the attainment date, it also required that a moderate nonattainment area be reclassified to “serious” if it “is not in attainment” at the time the EPA makes its finding. If EPA's assessment were to be limited only to whether an area “attained” in the past, WildEarth contends that it would render meaningless the Clean Air Act's substantive requirement that a moderate area be bumped up to “serious” if it “is not in attainment” when EPA makes its finding. WildEarth contends that, as such, EPA's interpretation reads a substantive provision out of the Clean Air Act.</P>
        <P>
          <E T="03">Response:</E>First, we note that WildEarth does not object to any aspect of EPA's proposed rulemaking other than the interpretation as to the legal consequences that they contend would flow from finalizing determinations that, although the three areas attained by their applicable 1994 attainment dates, sixteen years later they are not currently in attainment. First, we note that in today's rulemaking EPA is not finalizing any proposed determinations with respect to the air quality in these areas subsequent to the areas' applicable dates. Nor does section 188(b)(2) impose such an obligation. Pursuant to section<PRTPAGE P="1534"/>188(b)(2), EPA is finalizing here its determinations that the areas attained the standard “by that [applicable attainment] date.” Section 188(b)(2) does not impose upon EPA any obligation to make a final determination of attainment except with respect to an area's applicable attainment date.</P>

        <P>Thus, it is not necessary for the purposes of our final actions here, which are limited to determinations of attainment as of the areas' applicable attainment dates, to respond to WildEarth's assertions regarding the legal consequences of determinations regarding air quality in subsequent decades. Nevertheless, we note our disagreement with WildEarth's interpretation that CAA section 188(b)(2) would require reclassification of any moderate PM<E T="52">10</E>nonattainment area if EPA were to make a final determination that the area was not attaining after the applicable attainment date, regardless of the air quality conditions as of the applicable attainment date itself.</P>
        <P>EPA's interpretation of section 188(b)(2) as requiring and authorizing reclassification to serious based only on air quality conditions as of the applicable attainment date, and not thereafter, is confirmed by a reading of that section in its entirety:</P>
        
        <EXTRACT>
          <P>Within 6 months following the applicable attainment date for a PM-10 nonattainment area, the Administrator shall determine whether the area attained the standard by that date. If the Administrator finds that any Moderate Area is not in attainment after the applicable attainment date—</P>
          <P>(A) The area shall be reclassified by operation of law as a Serious Area; and</P>
          <P>(B) the Administrator shall publish a notice in the<E T="04">Federal Register</E>no later than 6 months following the attainment date, identifying the area as having failed to attain and identifying the reclassification described under subparagraph (A).</P>
        </EXTRACT>
        
        <P>While the second sentence of section 188(b)(2) contains the language quoted by WildEarth (“any Moderate Area is not in attainment after the applicable attainment date”), it is clear that in the context of the first sentence of the provision, which is the sentence that establishes the duty to make an attainment determination, that the duty is to “determine whether the area attained the standard by that date [referring to the phrase “applicable attainment date” in the opening clause of the first sentence].” Thus, EPA's duty is to determine whether the area attained by its attainment date and the language in the second sentence regarding a finding after the attainment date may reasonably be interpreted as referring to the date the finding is made, which would necessarily be after the attainment date, not to the date used in the determination as the benchmark for determining attainment.</P>

        <P>Further, the second sentence of CAA section 188(b)(2), i.e., the one that includes the language cited by WildEarth (“any Moderate Area is not in attainment after the applicable attainment date”), includes two subparagraphs, one of which provides for reclassification of a moderate area to serious by operation of law and another that refers to publication of a notice in the<E T="04">Federal Register</E>six months after the attainment date, identifying the area “as having failed to attain” that clearly relates back to the earlier, legally relevant attainment date (in this case, December 31, 1994). Thus, whether EPA's obligation under CAA section 188(b)(2) is viewed in its entirety, or whether the second sentence of CAA section 188(b)(2) is viewed in isolation, it is clear that the question of whether an area must be reclassified is considered along with the question of whether an area has achieved attainment by the attainment date.<SU>6</SU>
          <FTREF/>To accept WildEarth's interpretation would be to ignore the reference to a specific point in time (“no later than 6 months following the attainment date”) for publishing a notice in subparagraph (B) of CAA section 188(b)(2) in identifying the appropriate benchmark for reclassifying moderate areas to serious under subparagraph (A).<SU>7</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>

            <SU>6</SU>EPA's sole obligation under CAA section 188(b)(2) is to determine whether the three Arizona areas attained the PM<E T="52">10</E>standard by the applicable attainment date, and while the statute requires EPA to make this determination within six months of the applicable attainment date, the applicable attainment date (in this case, December 31, 1994) remains the same no matter when EPA actually makes the determination. EPA was not obligated in the November 2, 2010 proposed rule, nor in this final rule, to determine whether the areas are attaining the standard at the present time. As stated above, EPA is not here finalizing any determinations as to the current air quality in the area, but is merely noting what more recent monitoring data suggest about the current air quality area quality in these areas, sixteen years after the 1994 attainment dates that are the subject of the final rulemaking here. We included the observations about current air quality in our proposed rule because we believe that such observations, and the related discussion of future Agency actions, is of as much public interest, if not more, as are the determinations of the air quality conditions that occurred sixteen years ago.</P>
        </FTNT>
        <FTNT>
          <P>

            <SU>7</SU>While EPA believes that the plain language of section 188(b)(2) supports EPA's interpretation that reclassifications to “serious” are to be based only on air quality conditions as of the applicable attainment date, and not thereafter, EPA believes that, to the extent section 188(b)(2) is ambiguous, EPA's interpretation is reasonable in that it is consistent with the statutory scheme for SIP revisions upon findings of failure to attain under subpart 1 and for mandatory reclassifications under subparts 2 and 3 for ozone and carbon monoxide areas. See CAA sections 179(c) and (d), 181(b)(2) and 186(b)(2) and compare the language from these sections to section 188(b)(2). While the language for such SIP revisions under subpart 1 and for reclassifications for ozone and carbon monoxide areas under subparts 2 and 3 uses slightly different language to link SIP revisions and reclassifications solely to air quality “as of the attainment date” than the language for reclassification of PM<E T="52">10</E>areas under subpart 4, we find no reason that Congress would have established a different scheme for PM<E T="52">10</E>areas under subpart 4 than generally applicable under subpart 1 or for ozone or carbon monoxide areas under subparts 2 and 3. For further explanation of EPA's interpretation of reclassification under the Clean Air Act, see the responses to comments in EPA's final Determination of Attainment of 1-hour Ozone Standard as of November 15, 1993 for the Birmingham, AL Marginal Ozone Nonattainment Area (67 FR 67113, November 4, 2002). To the extent relevant here, EPA reaffirms and incorporates by reference the responses to comments contained in our November 4, 2002 final rule.</P>
        </FTNT>
        <P>Commenter's interpretation of section 188(b)(2) fails to harmonize the second sentence of the section with the first sentence and with the sentences that follow. Indeed, it could more plausibly be argued that the second sentence adds a cumulative condition for reclassification—that is, an area will be reclassified if and only it fails to attain by its attainment date and “if the Administrator finds [the area] is not in attainment after the applicable attainment date.” Contrary to commenter's contention, EPA does not believe that Congress intended for the language regarding determining attainment as of the attainment date not to apply when an attainment determination occurs more than six months after the attainment date. The second sentence of section 188(b)(2) does not somehow override the language of the first sentence and require reclassification if an area slips back into nonattainment after its attainment date. EPA's reading is consistent with the language of section 188(b)(2) and with other provisions of the Clean Air Act, as well as with its structure and purpose. EPA believes that other parts of the Act, notably section 110(k)(5), provide the means to address nonattainment that occurs after an area's attainment date. Contrary to commenter's contention, EPA's reading does not “nullif[y]” applicable text. Rather, EPA is properly reading 188(b)(2) as requiring EPA to determine whether an area has attained by its attainment date, with reclassification as a consequence for areas that fail to do so.</P>

        <P>In the present case, the air quality data from the years 1992-1994 are the relevant data for determining whether the three Arizona areas must be reclassified to serious because their applicable attainment date is December 31, 1994, and because we have<PRTPAGE P="1535"/>determined that the areas did in fact attain by the applicable attainment date, they are not subject to reclassification to serious by operation of law under CAA section 188(b)(2).</P>

        <P>This does not mean that the Clean Air Act provides no means to address NAAQS violations in areas that had initially attained the standard by the applicable attainment date but then experience subsequent violations years after the applicable attainment date. For example, EPA could issue a “SIP call” under CAA section 110(k)(5) if EPA were to determine that the SIP is “substantially inadequate” to attain the PM<E T="52">10</E>NAAQS in areas where violations of the PM<E T="52">10</E>NAAQS occur after the applicable attainment date. Such SIP calls require the State to revise the SIP as necessary to correct the inadequacies. The SIP call, unlike reclassification, is capable of addressing and correcting the specific circumstances causing nonattainment sixteen years after the applicable attainment date. While EPA has no current plans to issue SIP calls for any of the three subject Arizona moderate PM<E T="52">10</E>nonattainment areas, EPA is working with the State of Arizona to update the state's earlier-submitted, but not yet EPA-approved air quality plans. EPA intends to ensure that the plans meet all applicable requirements for moderate PM<E T="52">10</E>nonattainment areas through both cooperative efforts with the State and through subsequent EPA rulemaking actions on the updated plans.</P>
        <HD SOURCE="HD1">IV. Final Action</HD>

        <P>EPA has reviewed the comments that have been submitted, and concluded that none of them convince us to change our action as proposed on November 2, 2010 with respect to determinations of attainment as of the applicable attainment date. Thus, under section 188(b)(2) of the Clean Air Act, and based on sufficient, quality-assured data, we take final action to determine that the Hayden, Nogales, and Paul Spur/Douglas PM<E T="52">10</E>nonattainment areas attained the 24-hour PM<E T="52">10</E>NAAQS by the applicable attainment date, December 31, 1994. On the basis of this determination, EPA concludes that these three “moderate” nonattainment areas are not subject to reclassification to “serious” by operation of law.</P>
        <HD SOURCE="HD1">V. Statutory and Executive Order Reviews</HD>
        <P>This action merely make determinations based on air quality data and does not impose any additional Federal requirements. For that reason, this action:</P>
        <P>• 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);</P>

        <P>• Does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501<E T="03">et seq.</E>);</P>

        <P>• 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<E T="03">et seq.</E>);</P>
        <P>• 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);</P>
        <P>• Does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);</P>
        <P>• 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);</P>
        <P>• 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</P>
        <P>• 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).</P>
        <P>In addition, this rule does not have tribal implications as specified by Executive Order 13175 (65 FR 67249, November 9, 2000), because it will not impose substantial direct costs on tribal governments or preempt tribal law.</P>
        <P>The Congressional Review Act, 5 U.S.C. 801<E T="03">et seq.,</E>as added by the Small Business Regulatory Enforcement Fairness Act of 1996, generally provides that before a rule may take effect, the agency promulgating the rule must submit a rule report, which includes a copy of the rule, to each House of the Congress and to the Comptroller General of the United States. EPA will submit a report containing this action and other required information to the U.S. Senate, the U.S. House of Representatives, and the Comptroller General of the United States prior to publication of the rule in the<E T="04">Federal Register</E>. A major rule cannot take effect until 60 days after it is published in the<E T="04">Federal Register</E>. This action is not a “major rule” as defined by 5 U.S.C. 804(2).</P>

        <P>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 March 14, 2011. 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. (<E T="03">See</E>section 307(b)(2).)</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 40 CFR Part 81</HD>
          <P>Environmental protection, Air pollution control, National parks, Particulate matter, Wilderness areas.</P>
        </LSTSUB>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>42 U.S.C. 7401<E T="03">et seq.</E>
          </P>
        </AUTH>
        <SIG>
          <DATED>Dated: December 30, 2010.</DATED>
          <NAME>Jared Blumenfeld,</NAME>
          <TITLE>Regional Administrator, EPA Region IX.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-221 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6560-50-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Federal Emergency Management Agency</SUBAGY>
        <CFR>44 CFR Part 67</CFR>
        <DEPDOC>[Docket ID FEMA-2010-0003]</DEPDOC>
        <SUBJECT>Final Flood Elevation Determinations</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Emergency Management Agency, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>Base (1% annual-chance) Flood Elevations (BFEs) and modified BFEs are made final for the communities listed below. The BFEs and modified BFEs are the basis for the floodplain management measures that each community is required either to adopt or to show evidence of being already in effect in order to qualify or remain qualified for participation in the National Flood Insurance Program (NFIP).</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>The date of issuance of the Flood Insurance Rate Map (FIRM) showing BFEs and modified BFEs for each community. This date may be obtained by contacting the office where the maps are available for inspection as indicated in the table below.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>The final BFEs for each community are available for inspection at the office of the Chief Executive Officer of each community. The<PRTPAGE P="1536"/>respective addresses are listed in the table below.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance and Mitigation Administration, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472, (202) 646-4064, or (e-mail)<E T="03">luis.rodriguez1@dhs.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Federal Emergency Management Agency (FEMA) makes the final determinations listed below for the modified BFEs for each community listed. These modified elevations have been published in newspapers of local circulation and ninety (90) days have elapsed since that publication. The Deputy Federal Insurance and Mitigation Administrator has resolved any appeals resulting from this notification.</P>
        <P>This final rule is issued in accordance with section 110 of the Flood Disaster Protection Act of 1973, 42 U.S.C. 4104, and 44 CFR part 67. FEMA has developed criteria for floodplain management in floodprone areas in accordance with 44 CFR part 60.</P>
        <P>Interested lessees and owners of real property are encouraged to review the proof Flood Insurance Study and FIRM available at the address cited below for each community. The BFEs and modified BFEs are made final in the communities listed below. Elevations at selected locations in each community are shown.</P>
        <P>
          <E T="03">National Environmental Policy Act.</E>This final rule is categorically excluded from the requirements of 44 CFR part 10, Environmental Consideration. An environmental impact assessment has not been prepared.</P>
        <P>
          <E T="03">Regulatory Flexibility Act.</E>As flood elevation determinations are not within the scope of the Regulatory Flexibility Act, 5 U.S.C. 601-612, a regulatory flexibility analysis is not required.</P>
        <P>
          <E T="03">Regulatory Classification.</E>This final rule is not a significant regulatory action under the criteria of section 3(f) of Executive Order 12866 of September 30, 1993, Regulatory Planning and Review, 58 FR 51735.</P>
        <P>
          <E T="03">Executive Order 13132, Federalism.</E>This final rule involves no policies that have federalism implications under Executive Order 13132.</P>
        <P>
          <E T="03">Executive Order 12988, Civil Justice Reform.</E>This final rule meets the applicable standards of Executive Order 12988.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 44 CFR Part 67</HD>
          <P>Administrative practice and procedure, Flood insurance, Reporting and recordkeeping requirements.</P>
        </LSTSUB>
        <REGTEXT PART="67" TITLE="44">
          <P>Accordingly, 44 CFR part 67 is amended as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 67—[AMENDED]</HD>
          </PART>
          <AMDPAR>1. The authority citation for part 67 continues to read as follows:</AMDPAR>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>42 U.S.C. 4001<E T="03">et seq.;</E>Reorganization Plan No. 3 of 1978, 3 CFR, 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, 3 CFR, 1979 Comp., p. 376.</P>
          </AUTH>
        </REGTEXT>
        
        <REGTEXT PART="67" TITLE="44">
          <SECTION>
            <SECTNO>§ 67.11</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
          </SECTION>
          <AMDPAR>2. The tables published under the authority of § 67.11 are amended as follows:</AMDPAR>
          <GPOTABLE CDEF="s25,r25,xs96,xs150,15" COLS="5" OPTS="L2,tp0,i1">
            <TTITLE/>
            <BOXHD>
              <CHED H="1">State</CHED>
              <CHED H="1">City/town/county</CHED>
              <CHED H="1">Source of flooding</CHED>
              <CHED H="1">Location</CHED>
              <CHED H="1">* Elevation in feet (NGVD)<LI>+ Elevation in feet (NAVD)</LI>
                <LI># Depth in feet above ground</LI>
                <LI>⁁ Elevation in</LI>
                <LI>meters</LI>
                <LI>(MSL)</LI>
                <LI>Modified</LI>
              </CHED>
            </BOXHD>
            <ROW EXPSTB="04">
              <ENT I="21">
                <E T="02">Unincorporated Areas of Poinsett County, Arkansas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1083</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Arkansas</ENT>
              <ENT>Unincorporated Areas of Poinsett County</ENT>
              <ENT>Left Hand Chute of Little River</ENT>
              <ENT>At the confluence with the St. Francis River</ENT>
              <ENT>+212</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Approximately 0.45 mile downstream of Leatherwood Lane</ENT>
              <ENT>+216</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Approximately 1.02 miles downstream of State Highway 140</ENT>
              <ENT>+220</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Approximately 1,400 feet downstream of State Highway 140</ENT>
              <ENT>+223</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>Unincorporated Areas of Poinsett County</ENT>
              <ENT>St. Francis River</ENT>
              <ENT>Approximately 0.73 mile downstream of U.S. Route 63</ENT>
              <ENT>+211</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>At the confluence with Left Hand Chute of Little River</ENT>
              <ENT>+212</ENT>
            </ROW>
            <ROW EXPSTB="04">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Poinsett County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at the Poinsett County Hall, Harrisburg, AR 72432.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Village of Jewett, Illinois</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1085</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Illinois</ENT>
              <ENT>Village of Jewett</ENT>
              <ENT>Embarras River</ENT>
              <ENT>Approximately 600 feet downstream of River Road extended</ENT>
              <ENT>+517</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Approximately 1,150 feet upstream of River Road extended</ENT>
              <ENT>+518</ENT>
            </ROW>
            <ROW EXPSTB="04">
              <PRTPAGE P="1537"/>
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">
                <E T="02">Village of Jewett</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at the Village Hall, 2 North 12th Avenue, Jewett, IL 62436.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Muskogee County, Oklahoma</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1021</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Oklahoma</ENT>
              <ENT>Unincorporated Areas of Muskogee County</ENT>
              <ENT>Arkansas River</ENT>
              <ENT>Approximately 1,371 feet downstream of State Highway 104</ENT>
              <ENT>+553</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Approximately 1,625 feet upstream of State Highway 104</ENT>
              <ENT>+554</ENT>
            </ROW>
            <ROW EXPSTB="04">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Muskogee County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at the Muskogee County Courthouse, 4517 Dennison Street, Muskogee, OK 74402.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Bandera County, Texas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1066</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Texas</ENT>
              <ENT>Unincorporated Areas of Bandera County</ENT>
              <ENT>Medina River (flooding effects from Bandera River)</ENT>
              <ENT>Just downstream of State Highway 16</ENT>
              <ENT>+215</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Just upstream of Harvey Ray Drive</ENT>
              <ENT>+1,213</ENT>
            </ROW>
            <ROW EXPSTB="04">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Bandera County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at 502 11th Street, Bandera, TX 78003.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Dawson County, Texas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1083</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Texas</ENT>
              <ENT>Unincorporated Areas of Dawson County</ENT>
              <ENT>Sulphur Springs Draw</ENT>
              <ENT>Just upstream of County Road L</ENT>
              <ENT>+2,924</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT O="xl"/>
              <ENT>Just downstream of U.S. Route 180</ENT>
              <ENT>+2,950</ENT>
            </ROW>
            <ROW EXPSTB="04">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Dawson County</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 400 South 1st Street, Lamesa, TX 79331.</ENT>
            </ROW>
          </GPOTABLE>
          <PRTPAGE P="1538"/>
          <GPOTABLE CDEF="s25,r50,15,r25" COLS="4" OPTS="L2,tp0,i1">
            <TTITLE/>
            <BOXHD>
              <CHED H="1">Flooding source(s)</CHED>
              <CHED H="1">Location of referenced elevation</CHED>
              <CHED H="1">* Elevation in feet (NGVD)<LI>+ Elevation in feet (NAVD)</LI>
                <LI># Depth in feet above ground</LI>
                <LI>⁁ Elevation in</LI>
                <LI>meters</LI>
                <LI>(MSL)</LI>
                <LI>Modified</LI>
              </CHED>
              <CHED H="1">Communities affected</CHED>
            </BOXHD>
            <ROW EXPSTB="03">
              <ENT I="21">
                <E T="02">Fulton County, Illinois, and Incorporated Areas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1085</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Copperas Creek</ENT>
              <ENT>Approximately 0.52 mile downstream of U.S. Route 24</ENT>
              <ENT>+454</ENT>
              <ENT>Unincorporated Areas of Fulton County, Village of Banner.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>Approximately 0.51 mile upstream of U.S. Route 24</ENT>
              <ENT>+454</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Illinois River</ENT>
              <ENT>Approximately 0.88 mile downstream of County Highway 9 extended</ENT>
              <ENT>+453</ENT>
              <ENT>Unincorporated Areas of Fulton County, Village of Banner, Village of Liverpool.</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT>Approximately 1.09 miles upstream of Marsh Road extended</ENT>
              <ENT>+454</ENT>
            </ROW>
            <ROW EXPSTB="03">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">Village of Banner</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at the Village Hall, 396 South Fulton Street, Banner, IL 61520.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">Village of Liverpool</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at the Village Hall, 116 South State Street, Liverpool, IL 61543.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Fulton County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at the Fulton County Supervisor's Office, 100 North Main Street, Lewiston, IL 61542.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Putnam County, Illinois, and Incorporated Areas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1085</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Illinois River</ENT>
              <ENT>Approximately 0.83 mile downstream of the I-180 bridge</ENT>
              <ENT>+462</ENT>
              <ENT>Unincorporated Areas of Putnam County, Village of Hennepin.</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT>Approximately 1.93 miles upstream of the IL-89 bridge</ENT>
              <ENT>+463</ENT>
            </ROW>
            <ROW EXPSTB="03">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">Village of Hennepin</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at the Village Hall, 627 East High Street, Hennepin, IL 61327.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Putnam County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at the Putnam County Courthouse, 120 North 4th Street, Hennepin, IL 61327.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Todd County, Minnesota, and Incorporated Areas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1064</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Long Prairie River</ENT>
              <ENT>Approximately 15,140 feet downstream of U.S. Route 71</ENT>
              <ENT>+1,284</ENT>
              <ENT>City of Long Prairie, Unincorporated Areas of Todd County.</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT>Approximately 3,950 feet upstream of Riverside Drive (County Highway 56)</ENT>
              <ENT>+1,293</ENT>
            </ROW>
            <ROW EXPSTB="03">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">City of Long Prairie</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 615 Lake Street South, Long Prairie, MN 56347.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Todd County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at 215 1st Avenue South, Suite 201, Long Prairie, MN 56347.</ENT>
            </ROW>
            <ROW>
              <PRTPAGE P="1539"/>
              <ENT I="21">
                <E T="02">Colorado County, Texas, and Incorporated Areas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1083</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">Colorado River</ENT>
              <ENT>Approximately 0.6 mile downstream of County Road 122</ENT>
              <ENT>+139</ENT>
              <ENT>City of Columbus, City of Eagle Lake, Colorado County Water Control Improvement District No. 2, Unincorporated Areas of Colorado County.</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT>Just downstream of Burnham's Ferry Crossing</ENT>
              <ENT>+223</ENT>
            </ROW>
            <ROW EXPSTB="03">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">City of Columbus</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 605 Spring Street, Columbus, TX 78934.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">City of Eagle Lake</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 400 Spring Street, Columbus, TX 78934.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">Colorado County Water Control Improvement District No. 2</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 400 Spring Street, Columbus, TX 78934.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Colorado County</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22">Maps are available for inspection at 400 Spring Street, Columbus, TX 78934.</ENT>
            </ROW>
            <ROW>
              <ENT I="21">
                <E T="02">Duval County, Texas, and Incorporated Areas</E>
              </ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="21">
                <E T="02">Docket No.: FEMA-B-1083</E>
              </ENT>
            </ROW>
            <ROW EXPSTB="00">
              <ENT I="01">San Diego Creek</ENT>
              <ENT>Just upstream of Ventura Street</ENT>
              <ENT>+296</ENT>
              <ENT>City of San Diego, Unincorporated Areas of Duval County.</ENT>
            </ROW>
            <ROW RUL="s">
              <ENT I="22"/>
              <ENT>Just upstream of Julian Street</ENT>
              <ENT>+304</ENT>
            </ROW>
            <ROW EXPSTB="03">
              <ENT I="22">* National Geodetic Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">+ North American Vertical Datum.</ENT>
            </ROW>
            <ROW>
              <ENT I="22"># Depth in feet above ground.</ENT>
            </ROW>
            <ROW>
              <ENT I="22">⁁ Mean Sea Level, rounded to the nearest 0.1 meter.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">ADDRESSES</E>
              </ENT>
            </ROW>
            
            <ROW>
              <ENT I="22">
                <E T="02">City of San Diego</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 404 South Meir Street, San Diego, TX 78384.</ENT>
            </ROW>
            
            <ROW>
              <ENT I="21">
                <E T="02">Unincorporated Areas of Duval County</E>
              </ENT>
            </ROW>
            <ROW>
              <ENT I="22">Maps are available for inspection at 400 East Gravis Avenue, San Diego, TX 78384.</ENT>
            </ROW>
          </GPOTABLE>
          <EXTRACT>
            <FP>(Catalog of Federal Domestic Assistance No. 97.022, “Flood Insurance.”)</FP>
          </EXTRACT>
        </REGTEXT>
        <SIG>
          <DATED>Dated: December 30, 2010.</DATED>
          <NAME>Sandra K. Knight,</NAME>
          <TITLE>Deputy Federal Insurance and Mitigation Administrator, Mitigation, Department of Homeland Security, Federal Emergency Management Agency.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-293 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9110-12-P</BILCOD>
    </RULE>
    <RULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF COMMERCE</AGENCY>
        <SUBAGY>National Oceanic and Atmospheric Administration</SUBAGY>
        <CFR>50 CFR Part 679</CFR>
        <DEPDOC>[Docket No. 0910131363-0087-02]</DEPDOC>
        <RIN>RIN 0648-XA129</RIN>
        <SUBJECT>Fisheries of the Exclusive Economic Zone Off Alaska; Inseason Adjustment to the 2011 Bering Sea and Aleutian Islands Atka Mackerel Total Allowable Catch Amount</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Temporary rule; inseason adjustment; request for comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>NMFS is adjusting the 2011 total allowable catch (TAC) amount for the Bering Sea and Aleutian Island management area (BSAI) Atka mackerel fishery. This action is necessary because NMFS has determined this TAC is incorrectly specified. This action will ensure the BSAI Atka mackerel TAC is the appropriate amount, based on the best available scientific information for Atka mackerel in the BSAI. This action is consistent with the goals and<PRTPAGE P="1540"/>objectives of the Fishery Management Plan for Groundfish of the Bering Sea and Aleutian Islands Management Area.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>

          <P>Effective 1200 hrs, Alaska local time (A.l.t.), January 11, 2011, until the effective date of the final 2011 and 2012 harvest specifications for BSAI groundfish, unless otherwise modified or superseded through publication of a notification in the<E T="04">Federal  Register.</E>
          </P>
          <P>Comments must be received at the following address no later than 4:30 p.m., A.l.t., January 26, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Send comments to James W. Balsiger, Administrator, Alaska Region, NMFS, Attn: Ellen Sebastian. You may submit comments, identified by RIN 0648-XA129, by any one of the following methods:</P>
          <P>•<E T="03">Electronic Submissions:</E>Submit all electronic public comments via the Federal eRulemaking Portal<E T="03">http://www.regulations.gov.</E>
          </P>
          <P>•<E T="03">Mail:</E>P.O. Box 21668, Juneau, AK 99802.</P>
          <P>•<E T="03">Fax:</E>(907) 586-7557.</P>
          <P>•<E T="03">Hand delivery to the Federal Building:</E>709 West 9th Street, Room 420A, Juneau, AK.</P>

          <P>All comments received are a part of the public record. No comments will be posted to<E T="03">http://www.regulations.gov</E>for public viewing until after the comment period has closed. Comment will generally be posted without change. All Personal Identifying Information (for example, name, address,<E T="03">etc.</E>) voluntarily submitted by the commenter may be publicly accessible. Do not submit Confidential Business Information or otherwise sensitive or protected information.</P>
          <P>NMFS will accept anonymous comments (enter N/A in the required fields, if you wish to remain anonymous). You may submit attachments to electronic comments in Microsoft Word, Excel, WordPerfect, or Adobe PDF file formats only.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Steve Whitney, 907-586-7228.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>NMFS manages the groundfish fishery in the BSAI exclusive economic zone 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 (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.</P>
        <P>The 2011 Atka mackerel TAC in the BSAI was set at 20,900 metric tons (mt) in the Eastern Aleutian District and the Bering Sea subarea, 26,000 mt in the Central Aleutian District, and 18,100 mt in the Western Aleutian District by the final 2010 and 2011 harvest specification for groundfish in the BSAI (75 FR 11778, March 12, 2010).</P>
        <P>In December 2010, the Council recommended a 2011 Atka mackerel TACs of 40,300 metric tons (mt) in the Eastern Aleutian District and the Bering Sea subarea, 12,800 mt in the Central Aleutian District, and 1,500 mt in the Western Aleutian District. These amounts are more in the Eastern Aleutian District and Bering Sea subarea, and less in the Central Aleutian District and Western Aleutian District than established by the final 2010 and 2011 harvest specification for groundfish in the BSAI (75 FR 11778, March 12, 2010). The TACs recommended by the Council are based on the Stock Assessment and Fishery Evaluation report (SAFE), dated November 2010, which NMFS has determined is the best available scientific information for this fishery.</P>
        <P>Regulations at § 679.20(a)(8)(ii)(A) apportion the Atka mackerel TAC allocated to the BSAI Atka mackerel trawl fisheries seasonally to distribute catch over time because Atka mackerel is a principal prey species for Steller sea lions listed as endangered under the Endangered Species Act. The first seasonal apportionment can be harvested quickly, and must reflect the TAC based on the best available scientific information to provide the opportunity to harvest available TAC in a manner consistent with the established Steller sea lion protection measures.</P>
        <P>In accordance with § 679.25(a)(1)(iii) &amp; (a)(2)(i)(B), the Administrator, Alaska Region, NMFS (Regional Administrator), has determined that, based on the November 2010 SAFE report for this fishery, the current BSAI Atka mackerel TAC is incorrectly specified. Consequently, the Regional Administrator is adjusting the 2011 Atka mackerel TACs to 40,300 mt in the Eastern Aleutian District and Bering Sea subarea, 11,280 mt in the Central Aleutian District, and 1,500 mt in the Western Aleutian District.</P>
        <P>Pursuant to § 679.20(a)(8), Table 4 of the final 2010 and 2011 harvest specifications for groundfish in the BSAI (75 FR 11778, March 12, 2010) is revised for the 2011 Atka mackerel TAC consistent with this adjustment. Table 4 includes the Steller sea lion protection measures effective January 1, 2011 (75 FR 77535, December 13, 2010), to insure that the BSAI groundfish fisheries off Alaska are not likely to jeopardize the continued existence of the western distinct population segment of Steller sea lions or adversely modify its designated critical habitat.</P>
        <GPOTABLE CDEF="s50,r50,10,10,10" COLS="5" OPTS="L2,i1">
          <TTITLE>Table 4—Final 2011 Seasonal and Spatial Allowances, Gear Shares, CDQ Reserve, Incidental Catch Allowance, and Amendment 80 Allocations of the BSAI ATKA Mackerel TAC</TTITLE>
          <TDESC>[Amounts are in metric tons]</TDESC>
          <BOXHD>
            <CHED H="1">Sector<SU>1</SU>
            </CHED>
            <CHED H="1">Season<SU>2</SU>
              <SU>3</SU>
              <SU>4</SU>
            </CHED>
            <CHED H="1">2011 allocation by area</CHED>
            <CHED H="2">Eastern Aleutian District/Bering Sea</CHED>
            <CHED H="2">Central Aleutian District<SU>5</SU>
            </CHED>
            <CHED H="2">Western Aleutian District</CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">TAC</ENT>
            <ENT>n/a</ENT>
            <ENT>40,300</ENT>
            <ENT>11,280</ENT>
            <ENT>1,500</ENT>
          </ROW>
          <ROW>
            <ENT I="01">CDQ reserve</ENT>
            <ENT>Total</ENT>
            <ENT>4,312</ENT>
            <ENT>1,207</ENT>
            <ENT>161</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>A</ENT>
            <ENT>2,156</ENT>
            <ENT>603</ENT>
            <ENT>80</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Critical habitat<SU>5</SU>
            </ENT>
            <ENT>n/a</ENT>
            <ENT>60</ENT>
            <ENT>n/a</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>B</ENT>
            <ENT>2,156</ENT>
            <ENT>603</ENT>
            <ENT>80</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Critical habitat<SU>5</SU>
            </ENT>
            <ENT>n/a</ENT>
            <ENT>60</ENT>
            <ENT>n/a</ENT>
          </ROW>
          <ROW>
            <ENT I="01">ICA</ENT>
            <ENT>Total</ENT>
            <ENT>75</ENT>
            <ENT>75</ENT>
            <ENT>40</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Jig<SU>6</SU>
            </ENT>
            <ENT>Total</ENT>
            <ENT>180</ENT>
            <ENT>0</ENT>
            <ENT>0</ENT>
          </ROW>
          <ROW>
            <ENT I="01">BSAI trawl limited access</ENT>
            <ENT>Total</ENT>
            <ENT>2,859</ENT>
            <ENT>800</ENT>
            <ENT>0</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>A</ENT>
            <ENT>1,429</ENT>
            <ENT>400</ENT>
            <ENT>0</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>B</ENT>
            <ENT>1,429</ENT>
            <ENT>400</ENT>
            <ENT>0</ENT>
          </ROW>
          <ROW>
            <PRTPAGE P="1541"/>
            <ENT I="01">Amendment 80 sectors</ENT>
            <ENT>Total</ENT>
            <ENT>32,875</ENT>
            <ENT>9,198</ENT>
            <ENT>1,300</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>A</ENT>
            <ENT>16,437</ENT>
            <ENT>4,599</ENT>
            <ENT>650</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>B</ENT>
            <ENT>16,437</ENT>
            <ENT>4,599</ENT>
            <ENT>650</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Alaska Groundfish Cooperative</ENT>
            <ENT>Total</ENT>
            <ENT>19,181</ENT>
            <ENT>5,389</ENT>
            <ENT>755</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>A</ENT>
            <ENT>9,591</ENT>
            <ENT>2,695</ENT>
            <ENT>377</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Critical habitat<SU>5</SU>
            </ENT>
            <ENT>n/a</ENT>
            <ENT>269</ENT>
            <ENT>n/a</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>B</ENT>
            <ENT>9,591</ENT>
            <ENT>2,695</ENT>
            <ENT>377</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Critical habitat<SU>5</SU>
            </ENT>
            <ENT>n/a</ENT>
            <ENT>269</ENT>
            <ENT>n/a</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Alaska Seafood Cooperative</ENT>
            <ENT>Total</ENT>
            <ENT>13,694</ENT>
            <ENT>3,809</ENT>
            <ENT>545</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>A</ENT>
            <ENT>6,847</ENT>
            <ENT>1,904</ENT>
            <ENT>272</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Critical habitat<SU>5</SU>
            </ENT>
            <ENT>n/a</ENT>
            <ENT>190</ENT>
            <ENT>n/a</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>B</ENT>
            <ENT>6,847</ENT>
            <ENT>1,904</ENT>
            <ENT>272</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Critical habitat<SU>5</SU>
            </ENT>
            <ENT>n/a</ENT>
            <ENT>190</ENT>
            <ENT>n/a</ENT>
          </ROW>
          <TNOTE>

            <SU>1</SU>Section 679.20(a)(8)(ii) allocates the Atka mackerel TACs, after subtraction of the CDQ reserves, jig gear allocation, and ICAs to the Amendment 80 and BSAI trawl limited access sectors. The allocation of the ITAC for Atka mackerel to the Amendment 80 and BSAI trawl limited access sectors is established in Table 33 to part 679 and § 679.91. The CDQ reserve is 10.7 percent of the TAC for use by CDQ participants (<E T="03">see</E>§§ 679.20(b)(1)(ii)(C) and 679.31).</TNOTE>
          <TNOTE>
            <SU>2</SU>Sections 679.20(a)(8)(ii)(A) and 679.22(a) establish temporal and spatial limitations for the Atka mackerel fishery.</TNOTE>
          <TNOTE>
            <SU>3</SU>The seasonal allowances of Atka mackerel are 50 percent in the A season and 50 percent in the B season.</TNOTE>
          <TNOTE>
            <SU>4</SU>Section 679.23(e)(3) authorizes directed fishing for Atka mackerel with trawl gear during the A season from January 20 to June 10 and the B season from June 10 to November 1.</TNOTE>
          <TNOTE>
            <SU>5</SU>Section 679.20(a)(8)(ii)(C) requires the TAC in area 542 shall be no more than 47% of ABC, and Amendment 80 cooperatives and CDQ groups are allowed limited to no more than 10% of an allocation may be harvested within waters 10 nm to 20 nm of Gramp Rock and Tag Island, as described on Table 12 to this part.</TNOTE>
          <TNOTE>
            <SU>6</SU>Section 679.20(a)(8)(i) requires that up to 2 percent of the Eastern Aleutian District and the Bering Sea subarea TAC be allocated to jig gear after subtraction of the CDQ reserve and ICA. The amount of this allocation is 0.5 percent. The jig gear allocation is not apportioned by season.</TNOTE>
        </GPOTABLE>
        <HD SOURCE="HD2">Classification</HD>
        <P>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 require harvests other than the appropriate allocations for Atka mackerel, based on the best scientific information available. NMFS was unable to publish a notice providing time for public comment because the most recent, relevant data only became available as of December 25, 2010, and additional time for prior public comment would result in conservation concerns for the ESA-listed Steller sea lions.</P>
        <P>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.Under § 679.25(c)(2), interested persons are invited to submit written comments on this action to the above address until January 26, 2011.</P>
        <P>This action is required by § 679.20 and is exempt from review under Executive Order 12866.</P>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>16 U.S.C. 1801<E T="03">et seq.</E>
          </P>
        </AUTH>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>James P. Burgess,</NAME>
          <TITLE>Acting Director, Office of Sustainable Fisheries,National Marine Fisheries Service.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-393 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3510-22-P</BILCOD>
    </RULE>
  </RULES>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Proposed Rules</UNITNAME>
  <PRORULES>
    <PRORULE>
      <PREAMB>
        <PRTPAGE P="1542"/>
        <AGENCY TYPE="F">ADMINISTRATIVE CONFERENCE OF THE UNITED STATES</AGENCY>
        <CFR>1 CFR Part 304</CFR>
        <SUBJECT>Disclosure of Records or Information</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Administrative Conference of the United States.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of proposed rulemaking.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Administrative Conference of the United States (ACUS or the Conference) is promulgating updated rules identifying its procedures for disclosure of records under the Freedom of Information Act and its procedures for protection of privacy and access to individual records under the Privacy Act of 1974.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments must be received by February 10, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Submit comments to any one of the following:</P>
          <P>•<E T="03">E-rulemaking Portal: http://www.regulations.gov.</E>
          </P>
          <P>•<E T="03">E-mail: smcgibbon@acus.gov.</E>
          </P>
          <P>•<E T="03">Mail:</E>FOIA and Privacy Comments, Administrative Conference of the United States, Suite 706 South, 1120 20th Street, NW., Washington, DC 20036.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Shawne C. McGibbon, General Counsel, at 202-480-2088 or<E T="03">smcgibbon@acus.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>ACUS was established by the Administrative Conference Act, 5 U.S.C. 591-96. Following the loss of its funding in 1995, ACUS ceased operations. In 1996, its prior regulations (including Part 304) were eliminated. 61 FR 3539 (1996). Congress has now reauthorized and refunded ACUS, which has now reinitiated operations. These regulations provide the agency's proposed procedures for disclosure of records, as required by the Freedom of Information Act (FOIA), 5 U.S.C. 552, as amended, and its procedures for protection of privacy and access to individual records, as required by the Privacy Act of 1974, 5 U.S.C. 552a, as amended. These regulations also reflect the principles established by President Obama's Presidential Memoranda on “Transparency and Open Government” and “Freedom of Information Act” issued on January 21, 2009 and Attorney General Holder's Memorandum on “The Freedom of Information Act (FOIA)” issued on March 19, 2009. Additionally, the regulations reflect the Conference's commitment to providing the fullest possible disclosure of records to the public.</P>
        <HD SOURCE="HD1">Required Reviews</HD>
        <HD SOURCE="HD2">a. Paperwork Reduction Act</HD>

        <P>ACUS has determined that the Paperwork Reduction Act, 44 U.S.C. 3501<E T="03">et seq.,</E>does not apply because these regulations do not contain any information collection requirements.</P>
        <HD SOURCE="HD2">b. Regulatory Flexibility Act</HD>
        <P>The Regulatory Flexibility Act (RFA), 5 U.S.C. 601<E T="03">et seq.,</E>requires agencies to perform regulatory flexibility analyses when promulgating rules through notice and comment procedures. ACUS has determined that the proposed regulations do not have a significant economic impact on a substantial number of small entities. Under the FOIA, agencies may recover only the direct costs of searching for, reviewing and duplicating the records processed for certain categories of requesters. The Conference's proposed fee structure is in accordance with Department of Justice guidelines and based upon OMB fee schedules which calculate costs based on the category of requester and kind of employee duplicating the records. Under the Privacy Act, agencies may recover the cost of duplication only. The agency will provide free duplication and search time (up to a certain amount) in certain cases. Where anticipated fees exceed $50, an opportunity is given to the requester to refine the request in order to lower cost. Thus, fees assessed by ACUS are nominal and will not have a significant economic impact on a substantial number of small entities within the meaning of the RFA.</P>
        <HD SOURCE="HD2">c. Unfunded Mandates Reform Act</HD>
        <P>For purposes of the Unfunded Mandates Reform Act of 1995 (2 U.S.C. chapter 25, subchapter II), the proposed rule would not significantly or uniquely affect small governments and would not result in increased expenditures by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more (as adjusted for inflation).</P>
        <HD SOURCE="HD2">d. Executive Order 12866</HD>
        <P>In issuing this regulation, ACUS has adhered to the regulatory philosophy and the applicable principles of regulation as set forth in Section 1 of Executive Order 12866, Regulatory Planning and Review, 58 FR 51735. This proposed rule has not been reviewed by the Office of Management and Budget under the Executive Order since it is not a significant regulatory action within the meaning of the Executive Order.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 1 CFR Part 304</HD>
          <P>Administrative practice and procedure, Freedom of information, Privacy.</P>
        </LSTSUB>
        
        <P>For the reasons set forth in the preamble, under the authority at 5 U.S.C. 552, 552a, and 591-96, the Administrative Conference of the United States proposes to amend 1 CFR chapter III to add part 304 as follows:</P>
        <PART>
          <HD SOURCE="HED">PART 304—DISCLOSURE OF RECORDS OR INFORMATION</HD>
          <CONTENTS>
            <SUBPART>
              <HD SOURCE="HED">Subpart A—Procedures for Disclosure of Records Under the Freedom of Information Act</HD>
              <SECHD>Sec.</SECHD>
              <SECTNO>304.1</SECTNO>
              <SUBJECT>General provisions.</SUBJECT>
              <SECTNO>304.2</SECTNO>
              <SUBJECT>Public reading room.</SUBJECT>
              <SECTNO>304.3</SECTNO>
              <SUBJECT>Requirements for making requests.</SUBJECT>
              <SECTNO>304.4</SECTNO>
              <SUBJECT>Responsibility for responding to requests.</SUBJECT>
              <SECTNO>304.5</SECTNO>
              <SUBJECT>Timing of responses to requests.</SUBJECT>
              <SECTNO>304.6</SECTNO>
              <SUBJECT>Responses to requests.</SUBJECT>
              <SECTNO>304.7</SECTNO>
              <SUBJECT>Business information.</SUBJECT>
              <SECTNO>304.8</SECTNO>
              <SUBJECT>Appeals.</SUBJECT>
              <SECTNO>304.9</SECTNO>
              <SUBJECT>Fees.</SUBJECT>
              <SECTNO>304.10</SECTNO>
              <SUBJECT>Preservation of records.</SUBJECT>
              <SECTNO>304.11</SECTNO>
              <SUBJECT>Other rights and services.</SUBJECT>
            </SUBPART>
            <SUBPART>
              <HD SOURCE="HED">Subpart B—Protection of Privacy and Access to Individual Records Under the Privacy Act of 1974</HD>
              <SECTNO>304.20</SECTNO>
              <SUBJECT>General provisions.</SUBJECT>
              <SECTNO>304.21</SECTNO>
              <SUBJECT>Requests for access to records.</SUBJECT>
              <SECTNO>304.22</SECTNO>
              <SUBJECT>Responsibility for responding to requests for access to records.</SUBJECT>
              <SECTNO>304.23</SECTNO>
              <SUBJECT>Responses to requests for access to records.</SUBJECT>
              <SECTNO>304.24</SECTNO>
              <SUBJECT>Appeals from denials of requests for access to records.</SUBJECT>
              <SECTNO>304.25</SECTNO>
              <SUBJECT>Requests for amendment or correction of records.</SUBJECT>
              <SECTNO>304.26</SECTNO>
              <SUBJECT>Requests for an accounting of record disclosures.</SUBJECT>
              <SECTNO>304.27</SECTNO>
              <SUBJECT>Fees.<PRTPAGE P="1543"/>
              </SUBJECT>
              <SECTNO>304.28</SECTNO>
              <SUBJECT>Notice of court-ordered and emergency disclosures.</SUBJECT>
              <SECTNO>304.29</SECTNO>
              <SUBJECT>Security of systems of records.</SUBJECT>
              <SECTNO>304.30</SECTNO>
              <SUBJECT>Contracts for the operation of record systems.</SUBJECT>
              <SECTNO>304.31</SECTNO>
              <SUBJECT>Use and collection of social security numbers and other information.</SUBJECT>
              <SECTNO>304.32</SECTNO>
              <SUBJECT>Employee standards of conduct.</SUBJECT>
              <SECTNO>304.33</SECTNO>
              <SUBJECT>Preservation of records.</SUBJECT>
              <SECTNO>304.34</SECTNO>
              <SUBJECT>Other rights and services.</SUBJECT>
            </SUBPART>
          </CONTENTS>
          <SUBPART>
            <HD SOURCE="HED">Subpart A—Procedures for Disclosure of Records Under the Freedom of Information Act</HD>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>5 U.S.C. 552, 591-96.</P>
            </AUTH>
            <SECTION>
              <SECTNO>§ 304.1</SECTNO>
              <SUBJECT>General provisions.</SUBJECT>

              <P>(a) This subpart contains the rules that the Administrative Conference of the United States (“ACUS” or “the agency”) follows in processing requests for disclosure of records under the Freedom of Information Act (“FOIA” or “the Act”), 5 U.S.C. 552, as amended, and in meeting its responsibilities under the Act. These rules should be read together with the text of the FOIA itself, which provides additional information about access to records maintained by the agency. They also may be read in conjunction with the agency's “Freedom of Information Act Reference Guide,” which provides basic information about use of the Act in relation to the agency's records. Requests made by individuals for access to records about themselves under the Privacy Act of 1974, 5 U.S.C. 552a (2006 &amp; Supp. II 2008), which are processed under subpart B of this part, are also processed under this subpart. Information routinely provided to the public as part of a regular agency activity (for example, press releases or recommendations adopted by the agency pursuant to the Administrative Conference Act, 5 U.S.C. 591<E T="03">et seq.</E>) may be provided to the public without following this subpart.</P>
              <P>(b) As a matter of policy, ACUS makes discretionary disclosures of records or information exempt from disclosure under the FOIA whenever it is determined that disclosure would not foreseeably harm an interest protected by a FOIA exemption, but this policy does not create any right enforceable in court.</P>
              <P>(c) The agency has designated its General Counsel as its Chief FOIA Officer, who has agency-wide responsibility for efficient and appropriate compliance with the FOIA and these implementing regulations. The General Counsel has designated the agency's Deputy General Counsel as its FOIA Public Liaison.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.2</SECTNO>
              <SUBJECT>Public reading room.</SUBJECT>
              <P>(a) ACUS maintains a public reading room that affords access to the records that the FOIA requires it to make regularly available for public inspection and copying even in the absence of a FOIA request, including a current subject-matter index of its reading room records that will be updated quarterly with respect to newly included records.</P>

              <P>(b) ACUS also makes all reading room records that have been created by the agency regularly available to the public electronically on its Web site (<E T="03">http://www.acus.gov</E>).</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.3</SECTNO>
              <SUBJECT>Requirements for making requests.</SUBJECT>
              <P>(a)<E T="03">How made and addressed.</E>You may make a request for records by sending a written request letter to the agency either by mail addressed to FOIA Public Liaison, Administrative Conference of the United States, 1120 20th Street, NW., South Lobby, Suite 706, Washington, DC 20036, or by fax delivery to (202) 386-7190. For the quickest possible handling, you should mark both your request letter and the envelope “Freedom of Information Act Request.” At such time as the agency implements the capability of receiving requests electronically, instructions for electronic filing will be posted on its Web site referenced above. (You may find the agency's “Freedom of Information Act Reference Guide”—which is available on its Web site and in paper form—helpful in making your request.) If you are making a request for records about yourself, see § 304.21(d) for additional requirements. If you are making a request for records about another individual, then either a written authorization signed by that individual permitting disclosure of those records to you or proof that that individual is deceased (for example, a copy of a death certificate or an obituary notice) will help the processing of your request. Your request will be considered received as of the date upon which it is logged in as received by the agency's FOIA Public Liaison.</P>
              <P>(b)<E T="03">Description of records sought.</E>You must describe the records that you seek in enough detail to enable agency personnel to locate them with a reasonable amount of effort. Whenever possible, your request should include specific information about each record sought, such as the date, title or name, author, recipient, and subject matter of the record. If known, you should include any file designations or similar descriptions for the records that you want. As a general rule, the more specific you are about the records or type of records that you want, the more likely that the agency will be able to locate those records in response to your request. If the agency determines that your request does not reasonably describe records, then it will tell you either what additional information is needed or why your request is otherwise insufficient. It also will give you an opportunity to discuss your request by telephone so that you may modify it to meet the requirements of this section. Additionally, if your request does not reasonably describe the records you seek, the agency's response to it may be delayed as an initial matter.</P>
              <P>(c)<E T="03">Agreement to pay fees.</E>When you make a FOIA request, it will be considered to be an agreement by you to pay all applicable fees charged under § 304.9, up to $50.00, unless you specifically request a waiver of fees. The agency ordinarily will confirm this agreement in an acknowledgment letter. When making a request, you may specify a willingness to pay a greater or lesser amount. Your agreement will not prejudice your ability to seek a waiver or reduction of any applicable fee at a later time.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.4</SECTNO>
              <SUBJECT>Responsibility for responding to requests.</SUBJECT>
              <P>(a)<E T="03">In general.</E>The agency will be responsible for responding to a request in all respects, except in the case of a referral to another agency as is described in paragraphs (b), (c), and (d) of this section. In determining which records are responsive to a request, the agency ordinarily will include only records in its possession and control as of the date upon which it begins its search for them. If any other date is used, the agency will inform the requester of that date.</P>
              <P>(b)<E T="03">Consultations and referrals.</E>When the agency receives a request for a record in its possession and control, it will determine whether another agency of the Federal Government is better able to determine whether the record is exempt from disclosure under the FOIA and, if so, whether it should be disclosed as a matter of administrative discretion. If the agency determines that it is best able to process the record in response to the request, then it will do so. If the agency determines that it is not best able to process the record, then it will either:</P>
              <P>(1) Respond to the request regarding that record, after consulting with the agency that is best able to determine whether to disclose it and with any other agency that has a substantial interest in it; or</P>

              <P>(2) Refer the responsibility for responding to the request regarding that record to another agency that originated the record (but only if that agency is<PRTPAGE P="1544"/>subject to the FOIA). Ordinarily, the agency that originated a record will be presumed to be best able to determine whether to disclose it.</P>
              <P>(c)<E T="03">Notice of referral.</E>When the agency refers all or any part of the responsibility for responding to a request to another agency, it ordinarily will notify the requester of the referral and inform the requester of the name of the agency to which the request has been referred and of the part of the request that has been referred.</P>
              <P>(d)<E T="03">Timing of responses to consultations and referrals.</E>All consultations and referrals will be handled according to the date upon which the FOIA request initially was received by the first agency, and not any later date.</P>
              <P>(e)<E T="03">Agreements regarding consultations and referrals.</E>The agency may make agreements with other agencies designed to eliminate the need for consultations or referrals regarding particular types of records.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.5</SECTNO>
              <SUBJECT>Timing of responses to requests.</SUBJECT>
              <P>(a)<E T="03">In general.</E>The agency ordinarily will respond to requests according to their order of receipt.</P>
              <P>(b)<E T="03">Multi-track processing.</E>The agency may use two or more processing tracks by distinguishing between simple and more complex requests based on the amount of work and/or time needed to process the request, including according to the number of pages involved. If it does so, then it will advise requesters in its slower track(s) of the limits of its faster track(s) and may provide requesters in its slower track(s) with an opportunity to limit the scope of their requests in order to qualify for faster processing within the specified limits of its faster track(s). The agency will contact the requester either by telephone or by letter, whichever is more efficient, in each case.</P>
              <P>(c)<E T="03">Unusual circumstances.</E>(1) Where the statutory time limits for processing a request cannot be met because of “unusual circumstances,” as defined in the FOIA, and the agency determines to extend the time limits on that basis, it will as soon as practicable notify the requester in writing of the unusual circumstances and of the date by which processing of the request can be expected to be completed. Where the extension is for more than ten business days, it will provide the requester with an opportunity either to modify the request so that it may be processed within the time limits or to arrange an alternative time period processing the request or a modified request.</P>
              <P>(2) Where the agency reasonably believes that multiple requests submitted by a requester, or by a group of requesters acting in concert, constitute a single request that would otherwise involve unusual circumstances, and the requests involve clearly related matters, they may be aggregated. Multiple requests involving unrelated matters will not be aggregated.</P>
              <P>(d)<E T="03">Expedited processing.</E>(1) Requests and appeals will be taken out of order and given expedited treatment whenever it is determined that they involve:</P>
              <P>(i) Circumstances in which the lack of expedited treatment could reasonably be expected to pose an imminent threat to the life or physical safety of an individual;</P>
              <P>(ii) An urgency to inform the public concerning actual or alleged federal government activity, if made by a person primarily engaged in disseminating information; or</P>
              <P>(iii) Other circumstances as determined by the agency.</P>
              <P>(2) A request for expedited processing may be made at the time of the initial request for records (i.e., as part of the initial request) or at any later time.</P>
              <P>(3) A requester who seeks expedited processing must submit a statement, certified to be true and correct to the best of that person's knowledge and belief, explaining in detail the basis for requesting expedited processing. For example, a requester within the category in paragraph (d)(1)(ii) of this section, if not a full-time member of the news media, must establish that he or she is a person whose main professional activity or occupation is information dissemination, though it need not be his or her sole occupation. That requester also must establish a particular urgency to inform the public about the government activity involved in the request, beyond the public's right to know about government activity generally. The formality of certification may be waived by the agency as a matter of administrative discretion.</P>
              <P>(4) Within ten calendar days of its receipt of a request for expedited processing, the agency will decide whether to grant it and will notify the requester of the decision. If a request for expedited treatment is granted, then the request will be given priority and will be processed as soon as practicable. If a request for expedited processing is denied, then any appeal of that decision will be acted on expeditiously.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.6</SECTNO>
              <SUBJECT>Responses to requests.</SUBJECT>
              <P>(a)<E T="03">Acknowledgments of requests.</E>On receipt of a request, the agency ordinarily will send an acknowledgment letter to the requester that will confirm the requester's agreement to pay fees under § 304.3(c) and will provide a request tracking number for further reference. Requesters may use this tracking number to determine the status of their request—including the date of its receipt and the estimated date on which action on it will be completed—by calling the agency's FOIA Public Liaison at (202) 480-2080. In some cases, the agency may seek further information or clarification from the requester.</P>
              <P>(b)<E T="03">Grants of requests.</E>Ordinarily, the agency will have twenty business days from when a request is received to determine whether to grant or deny the request. Once the agency makes such a determination, it will immediately notify the requester in writing. The agency will inform the requester in the notice of any fee charged under § 304.9 and will disclose records to the requester promptly upon payment of any applicable fee. Records disclosed in part will be marked or annotated to show the amount of information deleted, unless doing so would harm an interest protected by an applicable exemption. The location of the information deleted also will be indicated on the record, if technically feasible.</P>
              <P>(c)<E T="03">Adverse determinations of requests.</E>Whenever the agency makes an adverse determination denying a request in any respect, it will notify the requester of that determination in writing. Adverse determinations, or denials of requests, consist of: A determination to withhold any requested record in whole or in part; a determination that a requested record does not exist or cannot be located; a determination that a record is not readily reproducible in the form or format sought by the requester; a determination that what has been requested is not a record subject to the FOIA; a determination on any disputed fee matter, including a denial of a request for a fee waiver; and a denial of a request for expedited treatment. The denial letter will include:</P>
              <P>(1) The name and title or position of the person responsible for the denial;</P>
              <P>(2) A brief statement of the reason(s) for the denial, including any FOIA exemption applied by the agency in denying the request;</P>

              <P>(3) An estimate of the volume of records or information withheld, in number of pages or in some other reasonable form of estimation. This estimate does not need to be provided if the volume is otherwise indicated through deletions on records disclosed in part, or if providing an estimate would harm an interest protected by an applicable exemption; and<PRTPAGE P="1545"/>
              </P>
              <P>(4) An indication on the released portion of a record of each exemption applied, at the place at which it was applied, if technically feasible.</P>
              <P>(5) A statement that the denial may be appealed under § 304.8(a) and a description of the requirements of § 304.8(a).</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.7</SECTNO>
              <SUBJECT>Business information.</SUBJECT>
              <P>(a)<E T="03">In general.</E>Business information obtained by the agency will be disclosed under the FOIA only under this section and in accordance with Executive Order 12,600, 3 CFR part 235 (1988).</P>
              <P>(b)<E T="03">Definitions.</E>For purposes of this section:</P>
              <P>(1) “Business information” means commercial or financial information obtained by the agency from a submitter that may be protected from disclosure under Exemption 4 of the FOIA.</P>
              <P>(2) “Submitter” means any person or entity from whom the agency obtains business information, either directly or indirectly. The term includes corporations; state, local, and tribal governments; and foreign governments.</P>
              <P>(c)<E T="03">Designation of business information.</E>A submitter of business information will use good-faith efforts to designate, by appropriate markings, either at the time of submission or at a reasonable time thereafter, any and all portion(s) of its submission that it considers to be protected from disclosure under Exemption 4. These designations will expire ten years after the date of the submission unless the submitter requests, and provides justification for, a longer designation period.</P>
              <P>(d)<E T="03">Notice to submitters.</E>The agency will provide a submitter with prompt written notice of a FOIA request or administrative appeal that seeks its business information wherever required under paragraph (e) of this section, except as provided in paragraph (h) of this section, in order to give the submitter an opportunity to object to disclosure of any specified portion of that information under paragraph (f) of this section. The notice will either describe the business information requested or include copies of the requested records or record portions containing the information. When notification of a voluminous number of submitters is required, notification may be made by posting or publishing the notice in a place reasonably likely to accomplish it.</P>
              <P>(e)<E T="03">Where notice is required.</E>Notice will be given to a submitter wherever:</P>
              <P>(1) The information has been designated in good faith by the submitter as information considered protected from disclosure under Exemption 4; or</P>
              <P>(2) The agency has reason to believe that the information may be protected from disclosure under Exemption 4.</P>
              <P>(f)<E T="03">Opportunity to object to disclosure.</E>The agency will allow a submitter a reasonable time to respond to the notice described in paragraph (d) of this section and will specify that time period within the notice. If a submitter has any objection to disclosure, it is required to submit a detailed written statement. The statement must specify all grounds for withholding any portion of the information under any exemption of the FOIA and, in the case of Exemption 4, it must show why the information is a trade secret or commercial or financial information that is privileged or confidential. In the event that a submitter fails to respond to the notice within the time specified in it, the submitter will be considered to have no objection to disclosure of the information. Information provided by the submitter that is not received by the agency until after its disclosure decision has been made will not be considered by the agency. Information provided by a submitter under this paragraph may itself be subject to disclosure under the FOIA.</P>
              <P>(g)<E T="03">Notice of intent to disclose.</E>The agency will consider a submitter's objections and specific grounds for nondisclosure in deciding whether to disclose business information. Whenever the agency decides to disclose business information over the objection of a submitter, it will give the submitter written notice, which will include:</P>
              <P>(1) A statement of the reason(s) why each of the submitter's disclosure objections was not sustained;</P>
              <P>(2) A description of the business information to be disclosed; and</P>
              <P>(3) A specified disclosure date, which will be a reasonable time subsequent to the notice.</P>
              <P>(h)<E T="03">Exceptions to notice requirements.</E>The notice requirements of paragraphs (d) and (g) of this section will not apply if:</P>
              <P>(1) The agency determines that the information should not be disclosed;</P>
              <P>(2) The information lawfully has been published or has been officially made available to the public;</P>
              <P>(3) Disclosure of the information is required by statute (other than the FOIA) or by a regulation issued in accordance with the requirements of Executive Order 12,600; or</P>
              <P>(4) The designation made by the submitter under paragraph (c) of this section appears obviously frivolous—except that, in such a case, the agency will, within a reasonable time prior to a specified disclosure date, give the submitter written notice of any final decision to disclose the information.</P>
              <P>(i)<E T="03">Notice of FOIA lawsuit.</E>Whenever a requester files a lawsuit seeking to compel the disclosure of business information, the agency will promptly notify the submitter.</P>
              <P>(j)<E T="03">Corresponding notice to requesters.</E>Whenever the agency provides a submitter with notice and an opportunity to object to disclosure under paragraph (d) of this section, it will also notify the requester(s). Whenever the agency notifies a submitter of its intent to disclose requested information under paragraph (g) of this section, it will also notify the requester(s). Whenever a submitter files a lawsuit seeking to prevent the disclosure of business information, the agency will notify the requester(s).</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.8</SECTNO>
              <SUBJECT>Appeals.</SUBJECT>
              <P>(a)<E T="03">Appeals of adverse determinations.</E>If you are dissatisfied with the response to your request, you may appeal an adverse determination denying your request, in any respect, to the Chairman of the agency. You must make your appeal in writing and it must be received by the agency within 60 days of the date of the agency's response denying your request. Your appeal letter may include as much or as little related information as you wish, as long as it clearly identifies the particular determination (including the assigned request number, if known) that you are appealing. For the quickest possible handling, you should mark your appeal letter and the envelope “Freedom of Information Act Appeal.” The Chairman or his or her designee will act on the appeal, except that:</P>
              <P>(1) An initial adverse determination by the Chairman will be the final action of the agency; and</P>
              <P>(2) An appeal ordinarily will not be acted on if the request becomes a matter of FOIA litigation.</P>
              <P>(b)<E T="03">Responses to appeals.</E>The decision on your appeal will be made in writing. A decision affirming an adverse determination in whole or in part will contain a statement of the reason(s) for the affirmance, including any FOIA exemption(s) applied, and will inform you of the FOIA provisions for court review of the decision. (You also may be aware of the mediation services that are offered by the Office of Government Information Services (“OGIS”) of the National Archives and Records Administration—see<E T="03">http://www.archives.gov/ogis/</E>—as a non-exclusive alternative to FOIA litigation.) If the adverse determination is reversed<PRTPAGE P="1546"/>or modified on appeal, in whole or in part, then you will be notified in a written decision and your request will be reprocessed in accordance with that appeal decision.</P>
              <P>(c)<E T="03">When appeal is required.</E>As a general rule, if you wish to seek review by a court of any adverse determination, you must first appeal it in a timely fashion under this section.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.9</SECTNO>
              <SUBJECT>Fees.</SUBJECT>
              <P>(a)<E T="03">In general.</E>The agency will charge for processing requests under the FOIA in accordance with paragraph (c) of this section, except where fees are limited under paragraph (d) of this section or where a waiver or reduction of fees is granted under paragraph (k) of this section—and in some cases the agency may seek further information or clarification from the requester for this purpose. The agency ordinarily will collect all applicable fees before sending copies of requested records to a requester. Requesters must pay fees by check or money order made payable to the Treasury of the United States.</P>
              <P>(b)<E T="03">Definitions.</E>For purposes of this section:</P>
              <P>(1) “Commercial use request” means a request from or on behalf of a person who seeks information for a use or purpose that furthers his or her commercial, trade, or profit interests, including furthering those interests through litigation. The agency will determine, whenever reasonably possible, the use to which a requester will put the requested records. When it appears that the requester will put the records to a commercial use, either because of the nature of the request itself or because the agency has reasonable cause to doubt a requester's stated use, the agency will provide the requester a reasonable opportunity to submit further clarification.</P>
              <P>(2) “Direct costs” means those expenses that an agency actually incurs in searching for and duplicating (and, in the case of commercial use requests, reviewing) records to respond to a FOIA request. Direct costs include, for example, the salary of the employee performing the work (the basic rate of pay for the employee, plus 16 percent of that rate to cover benefits) and the cost of operating duplication machinery. Not included in direct costs are overhead expenses such as the costs of space and heating or lighting of the facility in which the records are kept.</P>
              <P>(3) “Duplication” means the making of a copy of a record, or of the information contained in it, necessary to respond to a FOIA request. Copies can take the form of paper, microform, audiovisual materials, or electronic records (for example, magnetic tape or compact disk), among others. The agency will honor a requester's specified preference of form or format of disclosure if the record is readily reproducible with reasonable efforts in the requested form or format.</P>
              <P>(4) “Educational institution” means a preschool, a public or private elementary or secondary school, an institution of undergraduate higher education, an institution of graduate higher education, an institution of professional education, or an institution of vocational education, that operates a program of scholarly research. To qualify under this category, a requester must show that the request is authorized by and is made under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought to further scholarly research.</P>
              <P>(5) “Noncommercial scientific institution” means an institution that is not operated on a “commercial” basis, as that term is defined in paragraph (b)(1) of this section, and that is operated solely for the purpose of conducting scientific research the results of which are not intended to promote any particular product or industry. To qualify under this category, a requester must show that the request is authorized by and is made under the auspices of a qualifying institution and that the records are not sought for a commercial use but are sought to further scientific research.</P>
              <P>(6) “Representative of the news media,” or “news media requester,” means any person or entity that gathers information of potential interest to a segment of the public, uses its editorial skills to turn the raw materials into a distinct work, and distributes that work to an audience. For this purpose, the term “news” means information that is about current events or that would be of current interest to the public. Examples of news-media entities are television or radio stations broadcasting to the public at large and publishers of periodicals (but only if such entities qualify as disseminators of “news”) who make their products available for purchase by or subscription by or free distribution to the general public. These examples are not all-inclusive. Moreover, as methods of news delivery evolve (for example, the adoption of the electronic dissemination of newspapers through telecommunications services), such alternative media shall be considered to be news-media entities. A freelance journalist shall be regarded as working for a news-media entity if the journalist can demonstrate a solid basis for expecting publication through that entity, whether or not the journalist is actually employed by the entity. A publication contract would present a solid basis for such an expectation; the agency may also consider the past publication record of the requester in making such a determination. To qualify under this category, a requester must not be seeking the requested records for a commercial use. A request for records supporting the news-dissemination function of the requester will not be considered to be for a commercial use.</P>
              <P>(7) “Review” means the examination of a record located in response to a request in order to determine whether any portion of it is exempt from disclosure. It also includes processing any record for disclosure—for example, doing all that is necessary to redact it and prepare it for disclosure. Review costs are recoverable even if a record ultimately is not disclosed. Review time includes time spent considering any formal objection to disclosure made by a business submitter under § 304.7 but does not include time spent resolving general legal or policy issues regarding the application of exemptions.</P>
              <P>(8) “Search” means the process of looking for and retrieving records or information responsive to a request. It includes page-by-page or line-by-line identification of information within records and also includes reasonable efforts to locate and retrieve information from records maintained in electronic form or format. The agency will conduct searches in the most efficient and least expensive manner reasonably possible. For example, it will not search on a line-by-line basis where duplicating an entire document would be quicker and less expensive.</P>
              <P>(c)<E T="03">Fees charged.</E>In responding to FOIA requests, the agency will charge the following fees unless a waiver or reduction of fees has been granted under paragraph (k) of this section:</P>
              <P>(1)<E T="03">Search.</E>(i) Search fees will be charged for all requests (other than requests made by educational institutions, noncommercial scientific institutions, or representatives of the news media) subject to the limitations of paragraph (d) of this section. The agency may charge for time spent searching even if it does not locate any responsive record or if it withholds the record(s) located as entirely exempt from disclosure.</P>

              <P>(ii) For each quarter hour spent by clerical personnel in searching for and retrieving a requested record, the fee will be $5.00. Where a search and retrieval cannot be performed entirely by clerical personnel (for example, where the identification of records within the scope of a request requires<PRTPAGE P="1547"/>the use of professional personnel) the fee will be $10.00 for each quarter hour of search time spent by professional personnel. Where the time of managerial personnel is required, the fee will be $15.00 for each quarter hour of time spent by those personnel.</P>
              <P>(iii) For computer searches of records, requesters will be charged the direct costs of conducting the search, although certain requesters (as provided in paragraph (d)(1) of this section) will be charged no search fee and certain other requesters (as provided in paragraph (d)(3) of this section) will be entitled to the cost equivalent of two hours of manual search time without charge. These direct costs will include the cost of operating a central processing unit for that portion of operating time that is directly attributable to searching for responsive records, as well as the costs of operator/programmer salary apportionable to the search.</P>
              <P>(2)<E T="03">Duplication.</E>Duplication fees will be charged to all requesters, subject to the limitations of paragraph (d) of this section. For a paper photocopy of a record (no more than one copy of which need be supplied), the fee will be ten cents per page. For copies produced by computer, such as tapes, disks, or printouts, the agency will charge the direct costs, including operator time, of producing the copy. For other forms of duplication, the agency will charge the direct costs of that duplication.</P>
              <P>(3)<E T="03">Review.</E>Review fees will be charged to requesters who make a commercial use request. Review fees will be charged only for the initial record review, when the agency determines whether an exemption applies to a particular record or record portion at the initial request level. No charge will be made for review at the administrative appeal level regarding an exemption already applied. However, records or record portions withheld under an exemption that is subsequently determined not to apply may be reviewed again to determine whether any other exemption not previously considered applies; the costs of that review are chargeable where it is made necessary by such a change of circumstances. Review fees will be charged at the same rates as those used for a search under paragraph (c)(1)(ii) of this section.</P>
              <P>(d)<E T="03">Limitations on charging fees.</E>(1) No search fee will be charged for requests by educational institutions, noncommercial scientific institutions, or representatives of the news media.</P>
              <P>(2) No search fee or review fee will be charged for a quarter-hour period unless more than half of that period is required for search or review.</P>
              <P>(3) Except for requesters seeking records for a commercial use, the agency will provide without charge:</P>
              <P>(i) The first 100 pages of duplication (or the cost equivalent); and</P>
              <P>(ii) The first two hours of search (or the cost equivalent).</P>
              <P>(4) Whenever a total fee calculated under paragraph (c) of this section is $14.00 or less for any request, no fee will be charged.</P>
              <P>(5) The provisions of paragraphs (d)(3) and (4) of this section work together. This means that for requesters other than those seeking records for a commercial use, no fee will be charged unless the cost of search in excess of two hours plus the cost of duplication in excess of 100 pages totals more than $14.00.</P>
              <P>(6) In the case of any request on which the agency does not comply with any of the time limits of the FOIA and for which no “unusual or exceptional circumstances” exist, as those terms are defined by the FOIA, the agency will not charge any search fee or, for such requests made by educational institutions, noncommercial scientific institutions, or representatives of the news media, will not charge any duplication fee.</P>
              <P>(e)<E T="03">Notice of anticipated fees in excess of $50.00.</E>When the agency determines or estimates that the fees to be charged under this section will amount to more than $50.00, it will notify the requester of the actual or estimated amount of the fees, unless the requester has indicated a willingness to pay fees as high as those anticipated. If only a portion of the fee can be estimated readily, the agency will advise the requester that the estimated fee might be only a portion of the total fee. In cases in which a requester has been notified that actual or estimated fees amount to more than $50.00, the request will not be considered received and further work will not be done on it until the requester agrees to pay the total anticipated fee. Any such agreement should be memorialized in writing. A notice under this paragraph will offer the requester an opportunity to discuss the matter with agency personnel in order to reformulate the request to meet the requester's needs at a lower cost.</P>
              <P>(f)<E T="03">Charges for other services.</E>Apart from the other provisions of this section, when the agency chooses as a matter of administrative discretion to provide a special service—such as certifying that records are true copies or sending them by other than ordinary mail—the direct costs of providing the service ordinarily will be charged.</P>
              <P>(g)<E T="03">Charging interest.</E>The agency may charge interest on any unpaid bill starting on the 31st day following the date of the billing of the requester. Interest charges will be assessed at the rate provided in 31 U.S.C. 3717 and will accrue from the date of the billing until payment is received by the agency. The agency will follow the provisions of the Debt Collection Act of 1982, Public Law 97-365, 96 Stat. 1749, as amended, and regulations pursuant thereto.</P>
              <P>(h)<E T="03">Aggregating requests.</E>Wherever the agency reasonably believes that a requester or a group of requesters acting together is attempting to divide a request into a series of requests for the purpose of avoiding fees, it may aggregate those requests and charge accordingly. In so doing, it will presume that multiple requests of this type made within a 30-day period have been made in order to avoid fees. Where requests are separated by a longer period, the agency will aggregate them only where there exists a solid basis for determining that aggregation is warranted under all the circumstances involved. Multiple requests involving unrelated matters will not be aggregated.</P>
              <P>(i)<E T="03">Advance payments.</E>(1) For requests other than those described in paragraphs (i)(2) and (i)(3) of this section, the agency will not require the requester to make an advance payment—in other words, a payment made before work is begun or continued on a request. Payment owed for work already completed (i.e., a prepayment before copies are sent to a requester) is not an advance payment.</P>
              <P>(2) Where the agency determines or estimates that a total fee to be charged under this section will be more than $250.00, it may require the requester to make an advance payment of an amount up to the amount of the entire anticipated fee before beginning to process the request, except where it receives a satisfactory assurance of full payment from a requester that has a history of prompt payment.</P>
              <P>(3) Where a requester has previously failed to pay a properly charged FOIA fee to any agency within 30 days of the date of billing, the agency may require the requester to pay the full amount due, plus any applicable interest, and to make an advance payment of the full amount of any anticipated fee, before it begins to process a new request or continues to process a pending request from that requester.</P>

              <P>(4) In cases in which the agency requires advance payment or payment due under paragraph (i)(2) or (i)(3) of this section, the request will not be considered received and further work will not be done on it until the required payment is received.<PRTPAGE P="1548"/>
              </P>
              <P>(j)<E T="03">Other statutes specifically providing for fees.</E>The fee schedule of this section does not apply to fees charged under any statute that specifically requires an agency to set and collect fees for particular types of records. In cases in which records responsive to requests are maintained for distribution by another agency under such a statutorily based fee schedule program, ACUS will inform the requesters of the steps for obtaining records from those sources so that they may do so most economically.</P>
              <P>(k)<E T="03">Requirements for waiver or reduction of fees.</E>(1) Records responsive to a request will be furnished without charge or at a charge reduced below that established under paragraph (c) of this section where the agency determines, based on all available information, that the requester has demonstrated that:</P>
              <P>(i) Disclosure of the requested information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government, and</P>
              <P>(ii) Disclosure of the information is not primarily in the commercial interest of the requester.</P>
              <P>(2) To determine whether the first fee waiver requirement is met, the agency will consider the following factors:</P>
              <P>(i) The subject of the request: Whether the subject of the requested records concerns “the operations or activities of the government.” The subject of the requested records must concern identifiable operations or activities of the federal government, with a connection that is direct and clear, not remote or attenuated.</P>
              <P>(ii) The informative value of the information to be disclosed: Whether the disclosure is “likely to contribute” to an understanding of government operations or activities. The disclosable portions of the requested records must be meaningfully informative about government operations or activities in order to be “likely to contribute”' to an increased public understanding of those operations or activities.</P>
              <P>(iii) The contribution to an understanding of the subject by the public likely to result from disclosure: Whether disclosure of the requested information will contribute to “public understanding.” The disclosure must contribute to the understanding of a reasonably broad audience of persons interested in the subject, as opposed to the individual understanding of the requester. A requester's expertise in the subject area and ability and intention to convey information effectively to the public will be considered. It will be presumed that a representative of the news media satisfies this consideration.</P>
              <P>(iv) The significance of the contribution to public understanding: Whether the disclosure is likely to contribute “significantly” to public understanding of government operations or activities. The public's understanding of the subject in question, as compared to the level of public understanding existing prior to the disclosure, must be enhanced by the disclosure to a significant extent. The agency will not make value judgments about whether information that would contribute significantly to public understanding of the operations or activities of the government is “important” enough to be made public.</P>
              <P>(3) To determine whether the second fee waiver requirement is met, the agency will consider the following factors:</P>
              <P>(i) The existence and magnitude of a commercial interest: Whether the requester has a commercial interest that would be furthered by the requested disclosure. The agency will consider any commercial interest of the requester (with reference to the definition of “commercial use” in paragraph (b)(1) of this section), or of any person on whose behalf the requester may be acting, that would be furthered by the requested disclosure. Requesters will be given an opportunity in the administrative process to provide explanatory information regarding this consideration.</P>
              <P>(ii) The primary interest in disclosure: Whether any identified commercial interest of the requester is sufficiently large, in comparison with the public interest in disclosure, that disclosure is “primarily in the commercial interest of the requester.” A fee waiver or reduction is justified where the public interest standard is satisfied and that public interest is greater in magnitude than that of any identified commercial interest in disclosure. The agency ordinarily will presume that where a news media requester has satisfied the public interest standard, the public interest will be the interest primarily served by disclosure to that requester. Disclosure to data brokers or others who merely compile and market government information for direct economic return will not be presumed primarily to serve the public interest.</P>
              <P>(4) Where only some of the records to be released satisfy the requirements for a waiver of fees, a waiver will be granted for those records.</P>
              <P>(5) Requests for the waiver or reduction of fees should address the factors listed in paragraphs (k)(2) and (k)(3) of this section insofar as they apply to each request. The agency will exercise its discretion to consider the cost-effectiveness of its investment of administrative resources in this decisionmaking process in deciding to grant waivers or reductions of fees.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.10</SECTNO>
              <SUBJECT>Preservation of records.</SUBJECT>
              <P>(a) The agency will preserve all correspondence pertaining to the requests that it receives under this subpart, as well as copies of all requested records, until disposition or destruction is authorized by title 44 of the United States Code or the National Archives and Records Administration's General Records Schedule 14. Records will not be disposed of while they are the subject of a pending request, appeal, or lawsuit under the FOIA.</P>
              <P>(b) In the event that the agency contracts with another agency, entity, or person to maintain records for the agency for the purposes of records management, it will promptly identify such records in its “Freedom of Information Reference Guide” and specify the particular means by which request for such records can be made.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.11</SECTNO>
              <SUBJECT>Other rights and services.</SUBJECT>
              <P>Nothing in this subpart shall be construed to entitle any person, as of right, to any service or to the disclosure of any record to which such person is not entitled under the FOIA.</P>
            </SECTION>
          </SUBPART>
          <SUBPART>
            <HD SOURCE="HED">Subpart B—Protection of Privacy and Access to Individual Records Under the Privacy Act of 1974</HD>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>5 U.S.C. 552a, 591-96.</P>
            </AUTH>
            <SECTION>
              <SECTNO>§ 304.20</SECTNO>
              <SUBJECT>General provisions.</SUBJECT>
              <P>(a)<E T="03">Purpose and scope.</E>This subpart contains the rules that the Administrative Conference of the United States (“ACUS” or “the agency”) follows under the Privacy Act of 1974 (“the Privacy Act”), 5 U.S.C. 552a, as amended, regarding the protection of, and individual access to, certain records about individuals. These rules should be read together with and are governed by the Privacy Act itself, which provides additional information about records maintained on individuals. The rules in this subpart apply to all records in systems of records maintained by the agency that are retrieved by an individual's name or personal identifier. They describe the procedures by which individuals may request access to records about themselves, request amendment or correction of those records, and request an accounting of disclosures of those records by the agency. In addition, the agency processes all Privacy Act requests for<PRTPAGE P="1549"/>access to records under the Freedom of Information Act (“FOIA”), 5 U.S.C. 552,<E T="03">as amended,</E>following the rules contained in subpart A of this part. Thus, all Privacy Act requests will be subject to exemptions for access to records only applicable under both FOIA and the Privacy Act.</P>
              <P>(b)<E T="03">Definitions.</E>As used in this subpart:</P>
              <P>(1) “Request for access to a record” means a request made under Privacy Act, 5 U.S.C. 552a(d)(1).</P>
              <P>(2) “Request for amendment or correction of a record” means a request made under Privacy Act, 5 U.S.C. 552a(d)(2).</P>
              <P>(3) “Request for an accounting” means a request made under Privacy Act, 5 U.S.C. 552a(c)(3).</P>
              <P>(4) “Requester” means an individual who makes a request for access, a request for amendment or correction, or a request for an accounting under the Privacy Act.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.21</SECTNO>
              <SUBJECT>Requests for access to records.</SUBJECT>
              <P>(a)<E T="03">How made and addressed.</E>You may make a request for access to a record about yourself by appearing in person or by sending a written request letter to the agency either by mail addressed to 1120 20th Street, NW., South Lobby, Suite 706, Washington, DC 20036, or by fax delivery to (202) 386-7190. For the quickest possible handling, you should mark both your request letter and the envelope “Privacy Act Request.”</P>
              <P>(b)<E T="03">Description of records sought.</E>You must describe the records that you want in enough detail to enable agency personnel to locate the system of records containing them with a reasonable amount of effort. Whenever possible, your request should describe the records sought, the time periods in which you believe they were compiled, and the name or identifying number of each system of records in which you believe they are kept. The agency publishes a notice in the<E T="04">Federal Register</E>that describes its systems of records.</P>
              <P>(c)<E T="03">Agreement to pay fees.</E>If you make a Privacy Act request for access to records, it will be considered an agreement by you to pay all applicable fees charged under § 304.27, up to $50.00. Duplication fees in excess of $50.00 are subject to the requirements of § 304.27 of this subpart and the notification requirements in § 304.9 of subpart A. The agency ordinarily will confirm this agreement in an acknowledgment letter. When making a request, you may specify a willingness to pay a greater or lesser amount.</P>
              <P>(d)<E T="03">Verification of identity.</E>When you make a request for access to records about yourself, you must verify your identity. You must state your full name, current address, and date and place of birth. You must sign your request and your signature must either be notarized or submitted by you under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. In order to help the identification and location of requested records, you may also, entirely at your option, include the last four digits of your social security number.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.22</SECTNO>
              <SUBJECT>Responsibility for responding to requests for access to records.</SUBJECT>
              <P>(a)<E T="03">In general.</E>The agency will be responsible for responding to a request in all respects, except in the case of a referral to another agency as is described in paragraphs (b), (c), and (d) of this section. In determining which records are responsive to a request, the agency ordinarily will include only records in its possession and control as of the date upon which it begins its search for them. If any other date is used, the agency will inform the requester of that date.</P>
              <P>(b)<E T="03">Consultations and referrals.</E>When the agency receives a request for access to a record in its possession and control, it will determine whether another agency of the Federal Government, is better able to determine whether the record is exempt from access under the Privacy Act. If the agency determines that it is the agency best able to process the record in response to the request, then it will do so. If it determines that it is not best able to process the record, then it will either:</P>
              <P>(1) Respond to the request regarding that record, after consulting with the agency that is best able to determine whether the record is exempt from access and with any other agency that has a substantial interest in it; or</P>
              <P>(2) Refer the responsibility for responding to the request regarding that record to the agency that is best able to determine whether it is exempt from access, or to another agency that originated the record (but only if that agency is subject to the Privacy Act). Ordinarily, the agency that originated a record will be presumed to be best able to determine whether it is exempt from access.</P>
              <P>(c)<E T="03">Notice of referral.</E>When the agency refers all or any part of the responsibility for responding to a request to another agency, it ordinarily will notify the requester of the referral and inform the requester of the name of the agency to which the request has been referred and of the part of the request that has been referred.</P>
              <P>(d)<E T="03">Timing of responses to consultations and referrals.</E>All consultations and referrals will be handled according to the date upon which the Privacy Act access request was initially received by the first agency, not any later date.</P>
              <P>(e)<E T="03">Agreements regarding consultations and referrals.</E>The agency may make agreements with other agencies designed to eliminate the need for consultations or referrals for particular types of records.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.23</SECTNO>
              <SUBJECT>Responses to requests for access to records.</SUBJECT>
              <P>(a)<E T="03">Acknowledgments of requests.</E>On receipt of a request, the agency ordinarily will send an acknowledgment letter to the requester that will confirm the requester's agreement to pay fees under § 304.21(c) and provide an assigned request number for further reference. In some cases, the agency may seek further information or clarification from the requester.</P>
              <P>(b)<E T="03">Grants of requests for access.</E>Once the agency makes a determination to grant a request for access in whole or in part, it will notify the requester in writing. The agency will inform the requester in the notice of any fee charged under § 304.27 and will disclose records to the requester promptly on payment of any applicable fee. If a request is made in person, the agency may disclose records to the requester directly, in a manner not unreasonably disruptive of its operations, on payment of any applicable fee and with a written record made of the grant of the request. If a requester is accompanied by another person, the requester will be required to authorize in writing any discussion of the records in the presence of the other person.</P>
              <P>(c)<E T="03">Adverse determinations of requests for access.</E>Upon making an adverse determination denying a request for access in any respect, the agency will notify the requester of that determination in writing. Adverse determinations, or denials of requests consist of: A determination to withhold any requested record in whole or in part; a determination that a requested record does not exist or cannot be located; a determination that what has been requested is not a record subject to the Privacy Act; a determination on any disputed fee matter; and a denial of a request for expedited treatment. The notification letter will include:</P>

              <P>(1) The name and title or position of the person responsible for the denial;<PRTPAGE P="1550"/>
              </P>
              <P>(2) A brief statement of the reason(s) for the denial, including any Privacy Act exemption(s) applied in denying the request; and</P>
              <P>(3) A statement that the denial may be appealed under § 304.24(a) and a description of the requirements of § 304.24(a).</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.24</SECTNO>
              <SUBJECT>Appeals from denials of requests for access to records.</SUBJECT>
              <P>(a)<E T="03">Appeals.</E>If you are dissatisfied with the response to your request, you may appeal an adverse determination denying your request, in any respect, to the head of the agency. You must make your appeal in writing and it must be received by the agency within 60 days of the date of the letter denying your request. Your appeal letter may include as much or as little related information as you wish, as long as it clearly identifies the particular determination (including the assigned request number, if known) that you are appealing. For the quickest possible handling, you should mark your appeal letter and the envelope “Privacy Act Appeal.” The Chairman of the agency or his or her designee will act on the appeal, except that:</P>
              <P>(1) An initial adverse determination by the Chairman of the agency will be the final action of the agency; and</P>
              <P>(2) An appeal ordinarily will not be acted on if the request becomes a matter of FOIA litigation.</P>
              <P>(b)<E T="03">Responses to appeals.</E>The decision on your appeal will be made in writing. A decision affirming an adverse determination in whole or in part will include a brief statement of the reason(s) for the affirmance, including any exemption applied, and will inform you of thePrivacy Act provisions for court review of the decision. If the adverse determination is reversed or modified on appeal in whole or in part, then you will be notified in a written decision and your request will be reprocessed in accordance with that appeal decision.</P>
              <P>(c)<E T="03">When appeal is required.</E>As a general rule, if you wish to seek review by a court of any adverse determination or denial of a request, you must first appeal it under this section.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.25</SECTNO>
              <SUBJECT>Requests for amendment or correction of records.</SUBJECT>
              <P>(a)<E T="03">How made and addressed.</E>Unless the record is not subject to amendment or correction as stated in paragraph (f) of this section, you may make a request for amendment or correction of an ACUS record about yourself by following the same procedures as in § 304.21. Your request should identify each particular record in question, state the amendment or correction that you want, and state why you believe that the record is not accurate, relevant, timely, or complete. You may submit any documentation that you think would be helpful. If you believe that the same record is maintained in more than one system of records, you should state that.</P>
              <P>(b)<E T="03">Agency responses.</E>Within ten business days of receiving your request for amendment or correction of records, the agency will send you a written acknowledgment of its receipt of your request. The agency will promptly notify you whether your request is granted or denied. If the agency grants your request in whole or in part, it will describe the amendment or correction made and will advise you of your right to obtain a copy of the corrected or amended record, in disclosable form. If the agency denies your request in whole or in part, it will send you a letter that will state:</P>
              <P>(1) The reason(s) for the denial; and</P>
              <P>(2) The procedure for appeal of the denial under paragraph (c) of this section, including the name and business address of the official who will act on your appeal.</P>
              <P>(c)<E T="03">Appeals.</E>You may appeal a denial of a request for amendment or correction in the same manner as a denial of a request for access to records (see § 304.24(a)) and the same procedures will be followed. The agency will ordinarily act on the appeal within 30 business days of the appeal, except that the Chairman of the agency may extend the time for response for good cause shown. If your appeal is denied, you will be advised of your right to file a Statement of Disagreement as described in paragraph (d) of this section and of your right under the Privacy Act for court review of the decision.</P>
              <P>(d)<E T="03">Statements of Disagreement.</E>If your appeal under this section is denied in whole or in part, you have the right to file a Statement of Disagreement that states your reason(s) for disagreeing with the agency's denial of your request for amendment or correction. Statements of Disagreement must be concise, must clearly identify each part of any record that is disputed, and should be no longer than one typed page for each fact disputed. The agency will place your Statement of Disagreement in the system of records in which the disputed record is maintained and will mark the disputed record to indicate that a Statement of Disagreement has been filed and exactly where in the system of records it may be found.</P>
              <P>(e)<E T="03">Notification of amendment/correction or disagreement.</E>Within 30 business days of the amendment or correction of a record, the agency will notify all persons, organizations, or agencies to which it previously disclosed the record, if an accounting of that disclosure was made, that the record has been amended or corrected. If an individual has filed a Statement of Disagreement, the agency will append a copy of it to the disputed record whenever the record is disclosed and may also append a concise statement of its reason(s) for denying the request to amend or correct the record.</P>
              <P>(f)<E T="03">Records not subject to amendment or correction.</E>The following records are not subject to amendment or correction:</P>
              <P>(1) Transcripts of testimony given under oath or written statements made under oath;</P>
              <P>(2) Transcripts of grand jury proceedings, judicial proceedings, or quasi-judicial proceedings, which are the official record of those proceedings; and</P>
              <P>(3) Any other record that originated with the courts.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.26</SECTNO>
              <SUBJECT>Requests for an accounting of record disclosures.</SUBJECT>
              <P>(a)<E T="03">How made and addressed.</E>Except where accountings of disclosures are not required to be kept (as stated in paragraph (b) of this section), you may make a request for an accounting of any disclosure that has been made by the agency to another person, organization, or agency of any record about you. This accounting contains the date, nature, and purpose of each disclosure, as well as the name and address of the person, organization, or agency to which the disclosure was made. Your request for an accounting should identify each particular record in question and should be made in writing to the agency, following the procedures in Sec. 304.21.</P>
              <P>(b)<E T="03">Where accountings are not required.</E>The agency is not required to provide accountings to you where they relate to:</P>
              <P>(1) Disclosures for which accountings are not required to be kept (i.e., disclosures that are made to officers and employees of the agency and disclosures required under the FOIA); or</P>
              <P>(2) Disclosures made to law enforcement agencies for authorized law enforcement activities in response to written requests from a duly authorized representative of any such law enforcement agency specifying portion of the record desired and the law enforcement activity for which the record is sought.</P>
              <P>(c)<E T="03">Appeals.</E>You may appeal a denial of a request for an accounting in the same manner as a denial of a request for access to records (see § 304.24(c)) and the same procedures will be followed.</P>
            </SECTION>
            <SECTION>
              <PRTPAGE P="1551"/>
              <SECTNO>§ 304.27</SECTNO>
              <SUBJECT>Fees.</SUBJECT>
              <P>The agency will charge fees for duplication of records under the Privacy Act in the same way in which it charges duplication fees under § 304.9 of subpart A. No search or review fee may be charged for any record under the Privacy Act.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.28</SECTNO>
              <SUBJECT>Notice of court-ordered and emergency disclosures.</SUBJECT>
              <P>(a)<E T="03">Court-ordered disclosures.</E>When a record pertaining to an individual is required to be disclosed by a court order, the agency will make reasonable efforts to provide notice of such order to the individual. Notice will be given within a reasonable time after the agency's receipt of the order, except that in a case in which the order is not a matter of public record, the notice will be given only after the order becomes public. This notice will be mailed to the individual's last known address and will contain a copy of the order and a description of the information disclosed.</P>
              <P>(b)<E T="03">Emergency disclosures.</E>Upon disclosing a record pertaining to an individual made under compelling circumstances affecting health or safety, the agency will notify that individual of the disclosure. This notice will be mailed to the individual's last known address and will state the nature of the information disclosed; the person, organization, or agency to which it was disclosed; the date of disclosure; and the compelling circumstances justifying the disclosure.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.29</SECTNO>
              <SUBJECT>Security of systems of records.</SUBJECT>
              <P>(a)<E T="03">Administrative and physical controls.</E>The agency will have administrative and physical controls to prevent unauthorized access to its systems of records, to prevent unauthorized disclosure of records, and to prevent physical damage to or destruction of records. The stringency of these controls corresponds to the sensitivity of the records that the controls protect. At a minimum, these controls are designed to ensure that:</P>
              <P>(1) Records are protected from public view;</P>
              <P>(2) The area in which records are kept is supervised during business hours in order to prevent unauthorized persons from having access to them;</P>
              <P>(3) Records are inaccessible to unauthorized persons outside of business hours; and</P>
              <P>(4) Records are not disclosed to unauthorized persons or under unauthorized circumstances in oral, written or any other form.</P>
              <P>(b)<E T="03">Restrictive procedures.</E>The agency will implement practices and procedures that restrict access to records to only those individuals within the agency who must have access to those records in order to perform their duties and that prevent inadvertent disclosure of records.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.30</SECTNO>
              <SUBJECT>Contracts for the operation of record systems.</SUBJECT>
              <P>Any approved contract for the operation of a record system will contain appropriate requirements issued by the General Services Administration in order to ensure compliance with the requirements of the Privacy Act for that record system. The contracting officer of the agency will be responsible for ensuring that the contractor complies with these contract requirements.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.31</SECTNO>
              <SUBJECT>Use and collection of social security numbers and other information.</SUBJECT>
              <P>The agency will ensure that employees authorized to collect information are aware:</P>
              <P>(a) That individuals may not be denied any right, benefit, or privilege as a result of refusing to provide their social security numbers, unless the collection is authorized either by a statute or by a regulation issued prior to 1975;</P>
              <P>(b) That individuals requested to provide their social security numbers, or any other information collected from them, must be informed, before providing such information, of:</P>
              <P>(1) Whether providing social security numbers (or such other information) is mandatory or voluntary;</P>
              <P>(2) Any statutory or regulatory authority that authorizes the collection of social security numbers (or such other information);</P>
              <P>(3) The principal purpose(s) for which the information is intended to be used;</P>
              <P>(4) The routine uses that may be made of the information; and</P>
              <P>(5) The effects, in any, on the individual of not providing all or any part of the requested information; and</P>
              <P>(c) That, where the information referred to above is requested on a form, the requirements for informing such individuals are set forth on the form used to collect the information, or on a separate form that can be retained by such individuals.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.32</SECTNO>
              <SUBJECT>Employee standards of conduct.</SUBJECT>
              <P>The agency will inform its employees of the provisions of the Privacy Act, including the scope of its restriction against disclosure of records maintained in a system of records without the prior written consent of the individual involved, and the Act's civil liability and criminal penalty provisions. Unless otherwise permitted by law, an employee of the agency will:</P>
              <P>(a) Collect from individuals and maintain only the information that is relevant and necessary to discharge the agency's responsibilities;</P>
              <P>(b) Collect information about an individual directly from that individual to the greatest extent practicable when the information may result in an adverse determination about an individual's rights, benefits, or privileges under Federal programs;</P>
              <P>(c) Inform each individual from whom information is collected of the information set forth in § 304.31(b);</P>
              <P>(d) Ensure that the agency maintains no system of records without public notice and also notify appropriate agency officials of the existence or development of any system of records that is not the subject of a current or planned public notice;</P>
              <P>(e) Maintain all records that are used by it in making any determination about an individual with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to ensure fairness to the individual in the determination;</P>
              <P>(f) Except as to disclosures made to an agency or made under the FOIA, make reasonable efforts, prior to disseminating any record about an individual, to ensure that the record is accurate, relevant, timely, and complete;</P>
              <P>(g) Maintain no record describing how an individual exercises his or her First Amendment rights unless such maintenance is expressly authorized by statute or by the individual about whom the record is maintained or is pertinent to and within the scope of an authorized law enforcement activity;</P>
              <P>(h) When required by the Privacy Act, maintain an accounting in the specified form of all disclosures of records by the agency to persons, organizations, or agencies;</P>
              <P>(i) Maintain and use records with care in order to prevent the unauthorized or inadvertent disclosure of a record to anyone; and</P>
              <P>(j) Notify the appropriate agency official of any record that contains information that the Privacy Act does not permit the agency to maintain.</P>
            </SECTION>
            <SECTION>
              <SECTNO>§ 304.33</SECTNO>
              <SUBJECT>Preservation of records.</SUBJECT>
              <P>The agency will preserve all correspondence pertaining to the requests that it receives under this subpart, as well as copies of all requested records, until disposition or destruction is authorized by title 44 of the United States Code or the National Archives and Records Administration's General Records Schedule 14. Records will not be disposed of while they are the subject of a pending request, appeal, or lawsuit under the Act.</P>
            </SECTION>
            <SECTION>
              <PRTPAGE P="1552"/>
              <SECTNO>§ 304.34</SECTNO>
              <SUBJECT>Other rights and services.</SUBJECT>
              <P>Nothing in this subpart shall be construed to entitle any person, as of right, to any service or to the disclosure of any record to which such person is not entitled under the Privacy Act.</P>
            </SECTION>
          </SUBPART>
          <SIG>
            <DATED>Dated: January 4, 2011.</DATED>
            <NAME>Shawne C. McGibbon,</NAME>
            <TITLE>General Counsel.</TITLE>
          </SIG>
        </PART>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-146 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6110-01-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Aviation Administration</SUBAGY>
        <CFR>14 CFR Part 39</CFR>
        <DEPDOC>[Docket No. FAA-2008-1118; Directorate Identifier 2007-NM-318-AD]</DEPDOC>
        <RIN>RIN 2120-AA64</RIN>
        <SUBJECT>Airworthiness Directives; The Boeing Company Model 737-600, -700, -700C, -800, -900, and -900ER Series Airplanes</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Aviation Administration (FAA), Department of Transportation (DOT).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Supplemental notice of proposed rulemaking (NPRM); reopening of comment period.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The FAA is revising an earlier NPRM for an airworthiness directive (AD) that applies to all Boeing Model 737-600, -700, -700C, -800, and -900 series airplanes. The original NPRM would have superseded an existing AD that currently requires reviewing the airplane maintenance records to determine whether an engine has been removed from the airplane since the airplane was manufactured. For airplanes on which an engine has been removed, the existing AD also requires an inspection of the aft engine mount to determine if the center link assembly is correctly installed, and follow-on actions if necessary. The original NPRM proposed to require the same actions for airplanes on which the engine has not been previously removed. The original NPRM resulted from reports indicating that operators found that the center link assembly for the aft engine mount was reversed on several airplanes that had not had an engine removed since delivery. This new action revises the original NPRM by expanding the applicability to include Model 737-900ER airplanes. We are proposing this supplemental NPRM to prevent increased structural loads on the aft engine mount, which could result in failure of the aft engine mount and consequent separation of the engine from the airplane.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>We must receive comments on this supplemental NPRM by February 25, 2011.</P>
        </DATES>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>You may send comments by any of the following methods:</P>
          <P>•<E T="03">Federal eRulemaking Portal:</E>Go to<E T="03">http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>•<E T="03">Fax:</E>202-493-2251.</P>
          <P>•<E T="03">Mail:</E>U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.</P>
          <P>•<E T="03">Hand Delivery:</E>U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.</P>

          <P>For service information identified in this proposed AD, contact Boeing Commercial Airplanes, Attention: Data &amp; Services Management, P.O. Box 3707, MC 2H-65, Seattle, Washington 98124-2207; telephone 206-544-5000, extension 1; fax 206-766-5680; e-mail<E T="03">me.boecom@boeing.com</E>; Internet<E T="03">https://www.myboeingfleet.com</E>. You may review copies of the referenced service information at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington. For information on the availability of this material at the FAA, call 425-227-1221.</P>
        </EFFDATE>
        <HD SOURCE="HD1">Examining the AD Docket</HD>
        <P>You may examine the AD docket on the Internet at<E T="03">http://www.regulations.gov;</E>or in person at the Docket Management Facility between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD docket contains this proposed AD, the regulatory evaluation, any comments received, and other information. The street address for the Docket Office (telephone 800-647-5527) is in the<E T="02">ADDRESSES</E>section. Comments will be available in the AD docket shortly after receipt.</P>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Alan Pohl, Aerospace Engineer, Airframe Branch, ANM-120S, FAA, Seattle Aircraft Certification Office, 1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425) 917-6450; fax (425) 917-6590.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P/>
        <HD SOURCE="HD1">Comments Invited</HD>

        <P>We invite you to send any written relevant data, views, or arguments about this proposed AD. Send your comments to an address listed under the<E T="02">ADDRESSES</E>section. Include “Docket No. FAA-2008-1118; Directorate Identifier 2007-NM-318-AD” at the beginning of your comments. We specifically invite comments on the overall regulatory, economic, environmental, and energy aspects of this proposed AD. We will consider all comments received by the closing date and may amend this proposed AD because of those comments.</P>
        <P>We will post all comments we receive, without change, to<E T="03">http://www.regulations.gov,</E>including any personal information you provide. We will also post a report summarizing each substantive verbal contact we receive about this proposed AD.</P>
        <HD SOURCE="HD1">Discussion</HD>

        <P>We proposed to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) with a notice of proposed rulemaking (NPRM) for an AD (the “original NPRM”) to supersede AD 2003-03-01, Amendment 39-13025 (68 FR 4367, January 29, 2003). The original NPRM applied to all Model 737-600, -700, -700C, -800, and -900 series airplanes. The original NPRM was published in the<E T="04">Federal Register</E>on October 30, 2008 (73 FR 64568). The original NPRM would have superseded an existing AD that currently requires reviewing the airplane maintenance records to determine whether an engine has been removed from the airplane since the airplane was manufactured. For airplanes on which an engine has been removed, the existing AD also requires an inspection of the aft engine mount to determine if the center link assembly is correctly installed, and follow-on actions if necessary. The original NPRM proposed to require the same actions for airplanes on which the engine has not been previously removed.</P>
        <HD SOURCE="HD1">Actions Since Original NPRM Was Issued</HD>

        <P>Since we issued the original NPRM, the manufacturer has informed us that Model 737-900ER airplanes should be included in the applicability of the supplemental NPRM. Model 737-900ER airplanes were not being produced in May 2004 when Revision 3, dated May 20, 2004, of Boeing Alert Service Bulletin 737-71A1462, was issued. (Revision 3 was referred to as an appropriate source of service information for accomplishing the proposed actions in the original NPRM.) Following production it was determined that the affected aft engine mount is interchangeable with Model 737-900ER airplanes; however, those airplanes<PRTPAGE P="1553"/>were inspected in production to ensure that the center link was properly installed. Therefore, the requirements in the existing AD do not apply to those airplanes. However, since we are including airplanes on which the engines have been removed since production, we have added Model 737-900ER airplanes to the applicability section of this supplemental NPRM.</P>
        <HD SOURCE="HD1">Comments</HD>
        <P>We have considered the following comments on the original NPRM.</P>
        <HD SOURCE="HD1">Request for Exemption From AD Requirements</HD>
        <P>American Airlines (AA) asks that all operators that have performed the actions specified in Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004, be exempt from repeating maintenance actions in accordance with the original NPRM for a maintenance program that is already in place and proven effective. AA states that it has exceeded the requirements of AD 2003-03-01 by inspecting both engine aft mount center link assemblies, regardless of the stipulation in the existing AD, which limited the inspection requirement to engines removed since the airplane date of manufacture. AA adds that the inspections revealed that none of its installed or spare engines had incorrectly installed aft mount center link assemblies. AA notes that it is doing Part 2 of the Accomplishment Instructions of the service bulletin at every engine shop visit, and has implemented maintenance task documentation to verify the proper aft mount center link configuration at every engine change. AA concludes that it has not accepted delivery of any additional Model 737 airplanes since the release of the existing AD and Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004.</P>
        <P>We acknowledge the commenter's request. Actions done in accordance with Boeing Alert Service Bulletin 737-71A1462, Revision 3, before the effective date of this AD are acceptable for compliance with the AD, as indicated by the phrase “unless the actions have already been done” in paragraph (f) of this AD. We have made no change to the supplemental NPRM in this regard.</P>
        <HD SOURCE="HD1">Request To Change Paragraph (d)</HD>
        <P>Boeing asks that paragraph (d) of the original NPRM be changed to indicate that the center link assembly for the aft engine mount was reversed on one airplane that had not had an engine removed since delivery. Boeing is aware of only one such report.</P>
        <P>We do not agree with the commenter. We have received another report indicating that some airplanes were found with the engine mounts installed incorrectly on engines that had not been removed since airplane delivery. Therefore, we have not changed paragraph (d) of the NPRM (paragraph (e) of the supplemental NPRM).</P>
        <HD SOURCE="HD1">Request To Change Paragraph (n)</HD>
        <P>Boeing asks that paragraph (n) of the original NPRM be changed to clarify parts not affected by the “Parts Installation” paragraph by including the permanent part marking on the center link assembly, as specified in Part 2 of the Work Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004. Boeing states that this change would be equivalent to an existing alternative method of compliance (AMOC) for AD 2003-03-01, requiring the installation of marked engine mounts, as specified in the approved section of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004.</P>
        <P>We agree with the commenter for the reasons provided. We have changed paragraph (n) of the supplemental NPRM to include permanent part marking on the center link assembly, as specified in Part 2 of the Work Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004.</P>
        <HD SOURCE="HD1">Request To Clarify Requirements in Paragraph (n)</HD>
        <P>Japan Airlines (JAL) asks for clarification whether the requirement in paragraph (n) of the original NPRM applies only to airplanes affected by Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004; or to all Model 737-600, -700, -700C, -800, and -900 series airplanes. JAL states that if the requirement in paragraph (n) applies to all Model 737NG (next generation) airplanes then a change should be made to paragraph (n) of the supplemental NPRM for clarification.</P>
        <P>We acknowledge the commenter's concern and provide the following clarification. As noted under “Actions Since Original NPRM Was Issued,” we have added Model 737-900ER airplanes to the applicability section of this supplemental NPRM; therefore, the requirement in paragraph (n) of the supplemental NPRM applies to all Model 737NG airplanes. No change to paragraph (n) of the supplemental NPRM is necessary.</P>
        <HD SOURCE="HD1">Request To Change Paragraphs (i) and (o)</HD>
        <P>CFM International states that the acronym CFMI is not accurate and recommends using CFM International (CFM) throughout the NPRM.</P>
        <P>We agree that the correct acronym should be used in the supplemental NPRM and in future rulemaking. However, CFMI is not referred to anywhere in this supplemental NPRM; therefore, no change is necessary.</P>
        <P>CFM also asks that paragraphs (i) and (o) of the original NPRM be changed to include the Engine and Propeller Directorate, Engine Certification Office (ECO), as an approved source for obtaining repair procedures. CFM states that the engine mounting lugs and adjacent engine turbine rear frame are under the responsibility of CFM as part of the engine type certificate. CFM notes that it is in charge of approval of repairs by delegation of both engine authorities, which are the FAA and European Aviation Safety Agency (EASA); CFM is a joint certification. CFM adds that for any part problems it contacts the ECO, in Burlington, Massachusetts, and the EASA Engine Certification Office, in Cologne, Germany. In light of this, CFM does not recommend the parts be repaired under approval of a Boeing Representative.</P>
        <P>We partially agree with the commenter for the reasons provided. We agree that the appropriate office for approval of certain repairs specified in the original NPRM is the ECO. Paragraph (i) of the original NPRM is a restatement of the requirements in AD 2003-03-01. However, paragraph (i) of the supplemental NPRM does refer to paragraph (o) of the supplemental NPRM for AMOC approval. We have changed paragraph (o) of this supplemental NPRM to allow for certain AMOC approvals by the ECO.</P>
        <HD SOURCE="HD1">Explanation of Additional Changes Made to This Supplemental NPRM</HD>
        <P>We have changed this supplemental NPRM to identify the legal name of the manufacturer as published in the most recent type certificate data sheet for the affected airplane models.</P>

        <P>We have added a new paragraph (d) to this supplemental NPRM to provide the Air Transport Association (ATA) of America subject code 71: Powerplant. This code is added to make this supplemental NPRM parallel with other new AD actions. We have reidentified subsequent paragraphs accordingly.<PRTPAGE P="1554"/>
        </P>
        <HD SOURCE="HD1">FAA's Determination and Proposed Requirements of the Supplemental NPRM</HD>
        <P>Certain changes discussed above expand the scope of the original NPRM; therefore, we have determined that it is necessary to reopen the comment period to provide additional opportunity for public comment on this supplemental NPRM.</P>
        <HD SOURCE="HD1">Explanation of Change to Costs of Compliance</HD>
        <P>Since issuance of the original NPRM, we have increased the labor rate in the Costs of Compliance from $80 per work hour to $85 per work hour. The Costs of Compliance information, below, reflects this increase in the specified hourly labor rate.</P>
        <HD SOURCE="HD1">Costs of Compliance</HD>
        <P>There are about 1,846 airplanes of the affected design in the worldwide fleet. We estimate that 854 airplanes of U.S. registry would be affected by this proposed AD. There are no new requirements in this proposed AD; however, we have expanded the applicability as noted under “Actions Since Original NPRM Was Issued.” The current costs for this proposed AD are recalculated for the convenience of affected operators, as follows:</P>
        <GPOTABLE CDEF="s100,10,10,10,10" COLS="5" OPTS="L2,i1">
          <TTITLE>Estimated Costs</TTITLE>
          <BOXHD>
            <CHED H="1">Action</CHED>
            <CHED H="1">Work hours</CHED>
            <CHED H="1">Parts</CHED>
            <CHED H="1">Cost per<LI>airplane</LI>
            </CHED>
            <CHED H="1">Fleet cost</CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">Maintenance records review (required by AD 2003-03-01)</ENT>
            <ENT>1</ENT>
            <ENT>$0</ENT>
            <ENT>$85</ENT>
            <ENT>$72,590</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Inspection for correct installation of center link assembly (new proposed action)</ENT>
            <ENT>1</ENT>
            <ENT>0</ENT>
            <ENT>85</ENT>
            <ENT>72,590</ENT>
          </ROW>
        </GPOTABLE>
        <HD SOURCE="HD1">Authority for This Rulemaking</HD>
        <P>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.</P>
        <P>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.</P>
        <HD SOURCE="HD1">Regulatory Findings</HD>
        <P>We have 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.</P>
        <P>
          <E T="03">For the reasons discussed above, I certify that the proposed regulation:</E>
        </P>
        <P>1. Is not a “significant regulatory action” under Executive Order 12866;</P>
        <P>2. Is not a “significant rule” under the DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and</P>
        <P>3. 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.</P>

        <P>We prepared a regulatory evaluation of the estimated costs to comply with this supplemental NPRM and placed it in the AD docket.<E T="03">See</E>the<E T="02">ADDRESSES</E>section for a location to examine the regulatory evaluation.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 14 CFR Part 39</HD>
          <P>Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.</P>
        </LSTSUB>
        <HD SOURCE="HD1">The Proposed Amendment</HD>
        <P>Accordingly, under the authority delegated to me by the Administrator, the FAA proposes to amend 14 CFR part 39 as follows:</P>
        <PART>
          <HD SOURCE="HED">PART 39—AIRWORTHINESS DIRECTIVES</HD>
          <P>1. The authority citation for part 39 continues to read as follows:</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>49 U.S.C. 106(g), 40113, 44701.</P>
          </AUTH>
          
          <SECTION>
            <SECTNO>§ 39.13</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
            <P>2. The FAA amends § 39.13 by removing amendment 39-13025 (68 FR 4367, January 29, 2003) and adding the following new AD:</P>
            
            <EXTRACT>
              <FP SOURCE="FP-2">
                <E T="04">The Boeing Company:</E>Docket No. FAA-2008-1118; Directorate Identifier 2007-NM-318-AD.</FP>
              <HD SOURCE="HD1">Comments Due Date</HD>
              <P>(a) The FAA must receive comments on this AD action by February 25, 2011.</P>
              <HD SOURCE="HD1">Affected ADs</HD>
              <P>(b) This AD supersedes AD 2003-03-01, Amendment 39-13025.</P>
              <HD SOURCE="HD1">Applicability</HD>
              <P>(c) This AD applies to all The Boeing Company Model 737 -600, -700, -700C, -800, -900, and -900ER series airplanes, certificated in any category.</P>
              <HD SOURCE="HD1">Subject</HD>
              <P>(d) Air Transport Association (ATA) of America Code 71: Powerplant.</P>
              <HD SOURCE="HD1">Unsafe Condition</HD>
              <P>(e) This AD results from reports indicating that operators found that the center link assembly for the aft engine mount was reversed on several airplanes that had not had an engine removed since delivery. We are issuing this AD to prevent increased structural loads on the aft engine mount, which could result in failure of the aft engine mount and consequent separation of the engine from the airplane.</P>
              <HD SOURCE="HD1">Compliance</HD>
              <P>(f) You are responsible for having the actions required by this AD performed within the compliance times specified, unless the actions have already been done.</P>
              <HD SOURCE="HD1">Restatement of the Requirements of AD 2003-03-01</HD>
              <HD SOURCE="HD1">Review of Maintenance Records</HD>
              <P>(g) For Model 737-600, -700, -700C, -800, and -900 series airplanes: Within 90 days after February 13, 2003 (the effective date of AD 2003-03-01), review the airplane maintenance records to determine whether either engine has been removed since the airplane's date of manufacture. If neither engine has been removed since the airplane's date of manufacture, no further action is required by this paragraph.</P>
              <HD SOURCE="HD1">Inspection of Engines That Have Been Removed to Determine if Center Link Assembly is Installed Correctly</HD>

              <P>(h) For Model 737-600, -700, -700C, -800, and -900 series airplanes on which any installed engine has been removed from the airplane since the airplane's date of manufacture: Within 90 days after February 13, 2003, do a one-time general visual inspection to determine if the center link assembly of the aft engine mount is installed correctly, in accordance with the<PRTPAGE P="1555"/>Accomplishment Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 1, dated November 7, 2002; or Revision 3, dated May 20, 2004. If the center link assembly is installed correctly, no further action is required by paragraph (h) or (i) of this AD for that engine. As of the effective date of this AD, use only Boeing Alert Service Bulletin 737-71A1462, Revision 3.</P>
              <NOTE>
                <HD SOURCE="HED">Note 1:</HD>
                <P>For the purposes of this AD, a general visual inspection is: “A visual examination of an interior or exterior area, installation, or assembly to detect obvious damage, failure, or irregularity. This level of inspection is made from within touching distance unless otherwise specified. A mirror may be necessary to ensure visual access to all surfaces in the inspection area. This level of inspection is made under normally available lighting conditions such as daylight, hanger lighting, flashlight, or droplight and may require removal or opening of access panels or doors. Stands, ladders, or platforms may be required to gain proximity to the area being checked.”</P>
              </NOTE>
              <HD SOURCE="HD1">Follow-on and Corrective Actions</HD>
              <P>(i) For airplanes on which any center link assembly is found installed incorrectly during any inspection required by paragraph (h), (k), or (l) of this AD: Before further flight, do the actions specified in paragraphs (i)(1), (i)(2), and (i)(3) of this AD, in accordance with the Accomplishment Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 1, dated November 7, 2002; or Revision 3, dated May 20, 2004; except that it is not necessary to submit a report of findings to the airplane manufacturer. As of the effective date of this AD, use only Boeing Alert Service Bulletin 737-71A1462, Revision 3.</P>
              <P>(1) Remove the center link assembly and install it correctly.</P>
              <P>(2) Perform a detailed inspection of the engine mounting lugs and engine turbine rear frame for cracking, yielding, buckling, or wear damage.</P>
              <P>(3) Perform a detailed inspection of the hardware for the aft engine mount; including the center link assembly, right link assembly, aft mount hanger assembly, and link pins; for cracking, yielding, buckling, or wear damage.</P>
              <NOTE>
                <HD SOURCE="HED">Note 2:</HD>
                <P>For the purposes of this AD, a detailed inspection is: “An intensive examination of a specific item, installation, or assembly to detect damage, failure, or irregularity. Available lighting is normally supplemented with a direct source of good lighting at an intensity deemed appropriate. Inspection aids such as mirror, magnifying lenses, etc., may be necessary. Surface cleaning and elaborate procedures may be required.”</P>
              </NOTE>
              <HD SOURCE="HD1">Repair</HD>
              <P>(j) If any cracking, yielding, buckling, or wear damage is found during the inspections required by paragraphs (i)(2) and (i)(3) of this AD: Before further flight, replace the discrepant part with a new or serviceable part, or repair in accordance with a method approved in accordance with the procedures specified in paragraph (o) of this AD.</P>
              <HD SOURCE="HD1">New Requirements of This AD</HD>
              <HD SOURCE="HD1">Inspection of Engines That Have Not Been Removed To Determine if Center Link Assembly Is Installed Correctly</HD>
              <P>(k) For airplanes identified in Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004, on which any installed engine has not been removed from the airplane since the airplane's date of manufacture: Within 90 days after the effective date of this AD, do a detailed inspection to determine if the center link assembly of the aft engine mount is installed correctly, in accordance with the Accomplishment Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004. If the center link is installed correctly, no further action is required by this paragraph for that engine.</P>
              <HD SOURCE="HD1">Follow-on and Corrective Actions</HD>
              <P>(l) For airplanes on which any center link assembly is found installed incorrectly during the inspection required by paragraph (k) of this AD: Before further flight, do the follow-on and corrective actions required by paragraph (i) of this AD.</P>
              <HD SOURCE="HD1">Credit for Actions Done Using Previous Service Information</HD>
              <P>(m) Inspections and corrective actions done before the effective date of this AD in accordance with a Boeing service bulletin listed in Table 1 of this AD are acceptable for compliance with the corresponding requirements of this AD.</P>
              <GPOTABLE CDEF="s50,xs84,xs84" COLS="3" OPTS="L2,i1">
                <TTITLE>Table 1—Previous Service Bulletins</TTITLE>
                <BOXHD>
                  <CHED H="1" O="L">Boeing service bulletin</CHED>
                  <CHED H="1" O="L">Revision—</CHED>
                  <CHED H="1" O="L">Dated—</CHED>
                </BOXHD>
                <ROW>
                  <ENT I="01">737-71A1462</ENT>
                  <ENT>Original</ENT>
                  <ENT>August 29, 2002.</ENT>
                </ROW>
                <ROW>
                  <ENT I="01">737-71A1462</ENT>
                  <ENT>1</ENT>
                  <ENT>November 7, 2002.</ENT>
                </ROW>
                <ROW>
                  <ENT I="01">737-71A1462</ENT>
                  <ENT>2</ENT>
                  <ENT>May 29, 2003.</ENT>
                </ROW>
              </GPOTABLE>
              <HD SOURCE="HD1">Parts Installation</HD>
              <P>(n) As of the effective date of this AD, no person may install an engine on any airplane identified in paragraph (c) of this AD unless the actions required by paragraph (n)(1) or (n)(2) of this AD are accomplished.</P>
              <P>(1) The inspection is accomplished in accordance with the Accomplishment Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004, and the center link assembly of the aft engine mount is found to be installed correctly.</P>
              <P>(2) The hanger fitting and center link assembly are marked and part marked in accordance with Part 2 of the Accomplishment Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004.</P>
              <NOTE>
                <HD SOURCE="HED">Note 3:</HD>
                <P>For hanger fittings and center link assemblies marked and part marked in production, as specified in Part 2 of the Accomplishment Instructions of Boeing Alert Service Bulletin 737-71A1462, Revision 3, dated May 20, 2004, the actions specified in paragraph (n)(2) of this AD do not apply.</P>
              </NOTE>
              <HD SOURCE="HD1">Alternative Methods of Compliance (AMOCs)</HD>
              <P>(o) The certification office specified in paragraph (o)(1) or (o)(2) of this AD, as applicable, has the authority to approve AMOCs for paragraphs (i) and (j) of this AD, if requested using the procedures found in 14 CFR 39.19.</P>
              <P>(1) For the structure identified in paragraph (i)(2) of this AD: The Manager, Engine Certification Office (ECO), FAA. Send information to ATTN: Antonio Cancelliere, Aerospace Engineer, ANE-141, FAA, ECO, 12 New England Executive Park, Burlington, MA 01803-5299; telephone 781-238-7751; fax 781-238-7199.</P>

              <P>(2) For the structure identified in paragraph (i)(3) of this AD: The Manager, Seattle Aircraft Certification Office (ACO), FAA. Send information to ATTN: Alan Pohl, Aerospace Engineer, Airframe Branch, ANM-120S, FAA, Seattle ACO, 1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425) 917-6450; fax (425) 917-6590. Information may be e-mailed to:<E T="03">9-ANM-Seattle-ACO-AMOC-Requests@faa.gov.</E>
              </P>
              <P>(3) To request a different method of compliance or a different compliance time for this AD, follow the procedures in 14 CFR 39.19. Before using any approved AMOC on any airplane to which the AMOC applies, notify your principal maintenance inspector (PMI) or principal avionics inspector (PAI), as appropriate, or lacking a principal inspector, your local Flight Standards District Office. The AMOC approval letter must specifically reference this AD.</P>
              <P>(4) An AMOC that provides an acceptable level of safety may be used for any repair required by paragraph (i)(3) of this AD if it is approved by Boeing Commercial Airplanes Organization Designation Authorization (ODA) that has been authorized by the Manager, Seattle ACO, to make those findings. For a repair method to be approved, the repair must meet the certification basis of the airplane, and the approval must specifically refer to this AD.</P>
            </EXTRACT>
            
          </SECTION>
          <SIG>
            <PRTPAGE P="1556"/>
            <DATED>Issued in Renton, Washington, on December 17, 2010.</DATED>
            <NAME>Ali Bahrami,</NAME>
            <TITLE>Manager, Transport Airplane Directorate, Aircraft Certification Service.</TITLE>
            <NAME>Peter A. White,</NAME>
            <TITLE>Assistant Directorate Manager, Engine and Propeller Directorate, Aircraft Certification Service.</TITLE>
          </SIG>
        </PART>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-367 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-13-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Aviation Administration</SUBAGY>
        <CFR>14 CFR Part 39</CFR>
        <DEPDOC>[Docket No. FAA-2009-0703; Directorate Identifier 2009-NM-093-AD]</DEPDOC>
        <RIN>RIN 2120-AA64</RIN>
        <SUBJECT>Airworthiness Directives; Bombardier, Inc. Model CL-600-2C10 (Regional Jet Series 700, 701 &amp; 702) Airplanes, Model CL-600-2D15 (Regional Jet Series 705) Airplanes, and Model CL-600-2D24 (Regional Jet Series 900) Airplanes</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Aviation Administration (FAA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Supplemental notice of proposed rulemaking (NPRM); reopening of comment period.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>We are revising an earlier NPRM for the products listed above. This action revises the earlier NPRM by expanding the scope. This proposed AD results from mandatory continuing airworthiness information (MCAI) originated by an aviation authority of another country to identify and correct an unsafe condition on an aviation product. The MCAI describes the unsafe condition as:</P>
          
          <EXTRACT>
            <P>There have been four reports of loose or detached main landing gear torque link apex pin locking plate and the locking plate retainer bolt. This condition could result in torque link apex pin disengagement, heavy vibration during landing, damage to main landing gear components and subsequent main landing gear collapse.</P>
          </EXTRACT>
        </SUM>
        <STARS/>
        <P>The proposed AD would require actions that are intended to address the unsafe condition described in the MCAI.</P>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>We must receive comments on this proposed AD by February 25, 2011.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may send comments by any of the following methods:</P>
          <P>•<E T="03">Federal eRulemaking Portal:</E>Go to<E T="03">http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>•<E T="03">Fax:</E>(202) 493-2251.</P>
          <P>•<E T="03">Mail:</E>U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.</P>
          <P>•<E T="03">Hand Delivery:</E>U.S. Department of Transportation, Docket Operations, M-30, West Building Ground Floor, Room W12-40, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.</P>

          <P>For service information identified in this proposed AD, contact Bombardier, Inc., 400 Cote-Vertu Road West, Dorval, Quebec H4S 1Y9, Canada; telephone 514-855-5000; fax 514-855-7401; e-mail<E T="03">thd.crj@aero.bombardier.com;</E>Internet<E T="03">http://www.bombardier.com.</E>You may review copies of the referenced service information at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington. For information on the availability of this material at the FAA, call 425-227-1221.</P>
        </ADD>
        <HD SOURCE="HD1">Examining the AD Docket</HD>
        <P>You may examine the AD docket on the Internet at<E T="03">http://www.regulations.gov;</E>or in person at the Docket Operations office between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD docket contains this proposed AD, the regulatory evaluation, any comments received, and other information. The street address for the Docket Operations office (telephone (800) 647-5527) is in the<E T="02">ADDRESSES</E>section. Comments will be available in the AD docket shortly after receipt.</P>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Craig Yates, Aerospace Engineer, Airframe and Mechanical Systems Branch, ANE-171, FAA, New York Aircraft Certification Office, 1600 Stewart Avenue, Suite 410, Westbury, New York 11590; telephone (516) 228-7355; fax (516) 794-5531.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Comments Invited</HD>

        <P>We invite you to send any written relevant data, views, or arguments about this proposed AD. Send your comments to an address listed under the<E T="02">ADDRESSES</E>section. Include “Docket No. FAA-2009-0703; Directorate Identifier 2009-NM-093-AD” at the beginning of your comments. We specifically invite comments on the overall regulatory, economic, environmental, and energy aspects of this proposed AD. We will consider all comments received by the closing date and may amend this proposed AD based on those comments.</P>
        <P>We will post all comments we receive, without change, to<E T="03">http://www.regulations.gov,</E>including any personal information you provide. We will also post a report summarizing each substantive verbal contact we receive about this proposed AD.</P>
        <HD SOURCE="HD1">Discussion</HD>

        <P>We proposed to amend 14 CFR part 39 with an earlier NPRM for the specified products, which was published in the<E T="04">Federal Register</E>on August 5, 2009 (74 FR 38993). That earlier NPRM proposed to require actions intended to address the unsafe condition for the products listed above.</P>
        <P>Since that earlier NPRM was issued, we have determined that main landing gear (MLG) shock strut assemblies having part number (P/Ns) 49000-11 through 49000-22 inclusive and serial numbers (S/Ns) 0001 through 0284 inclusive are rotable parts. Therefore, the possibility exists that these parts might be installed on additional airplanes. For this reason, we find it necessary to require an inspection to determine if the subject MLG shock strut assemblies are installed for all Model CL-600-2C10 airplanes having S/Ns 10003 and subsequent, and Model CL-600-2D15 and Cl-600-2D24 airplanes having S/Ns 15001 and subsequent. Therefore, for all affected airplanes, we are revising this supplemental NPRM to add an inspection to determine the part and serial numbers of the MLG shock strut assemblies installed.</P>
        <P>You may obtain further information by examining the MCAI in the AD docket.</P>
        <HD SOURCE="HD1">Comments</HD>
        <P>We have considered the following comments received on the earlier NPRM.</P>
        <HD SOURCE="HD1">Request To Revise Paragraphs (f)(1) and (f)(2) of the Earlier NPRM</HD>
        <P>American Eagle Airlines (American Eagle) requested that we revise paragraphs (f)(1) and (f)(2) of the earlier NPRM to cover Model CL-600-2C10 airplanes having serial numbers (S/Ns) 10003 and subsequent, equipped with MLG shock strut assemblies having part numbers (P/Ns) 49000-11 through 49000-22 inclusive and S/Ns 0001 through 0252 inclusive. The commenter stated the following:</P>
        <P>• If one of the affected MLG shock strut assemblies were installed on an airplane with a S/N of 10224 or greater, paragraph (f)(1) of the earlier NPRM would not require the assembly to be inspected.</P>

        <P>• If an MLG shock strut assembly that is not in the affected range were installed on an airplane with S/N 10003 through 10223 inclusive, paragraph<PRTPAGE P="1557"/>(f)(1) of the earlier NPRM would require the assembly to be inspected in accordance with Part A of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, and, consequently, with Goodrich Service Bulletin 49000-32-30, which is not applicable to that assembly.</P>
        <P>• If one of the affected MLG shock strut assemblies were installed on an airplane having a S/N of 10240 or greater, paragraph (f)(2) of the earlier NPRM would not require the assembly to be reworked.</P>
        <P>• If an MLG shock strut assembly not in the affected range were installed on an airplane with S/Ns 10003 through 10239 inclusive, paragraph (f)(2) of the earlier NPRM would require the assembly to be reworked in accordance with Part B of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, and, consequently, with Goodrich Service Bulletin 49000-32-32, which is not applicable to that assembly.</P>
        <P>We agree to revise paragraphs (h) and (i) of this supplemental NPRM (specified as paragraphs (f)(1) and (f)(2) of the earlier NPRM). Operators should note that Model CL-600-2C10 airplanes having S/N 10224 and subsequent had Part A of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, accomplished prior to delivery; those airplanes are still subject to Part B of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008. Operators should also note that Model CL-600-2C10 airplanes having S/N 10240 and subsequent had Part B of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, accomplished prior to delivery. However, as explained previously, we have determined that MLG shock strut assemblies having P/Ns 49000-11 through 49000-22 inclusive and S/Ns 0001 through 0284 inclusive are rotable parts. Therefore, the possibility exists that these parts might be installed on additional airplanes, as American Eagle describes.</P>
        <P>As stated previously, we revised this supplemental NPRM to add an inspection to identify MLG shock strut assemblies having P/Ns 49000-11 through 49000-22 inclusive and S/Ns 0001 through 0284 inclusive. We also revised paragraphs (h) and (i) of this supplemental NPRM (specified as paragraphs (f)(1) and (f)(2) of the earlier NPRM) to apply to any MLG shock strut assemblies having P/Ns 49000-11 through 49000-22 inclusive and S/Ns 0001 through 0284 inclusive identified during the inspection, as specified in paragraph (g) of this supplemental NPRM. We have also added the costs for accomplishing the newly added inspection specified in paragraph (g) of this supplemental NPRM to the Costs of Compliance section of this supplemental NPRM.</P>
        <HD SOURCE="HD1">Request To Allow Installation of Certain Reworked MLG Shock Strut Assemblies</HD>

        <P>American Eagle requested that we revise paragraph (f)(3) of the earlier NPRM to allow the installation of MLG shock strut assemblies that have been reworked in accordance with Goodrich Service Bulletin 49000-32-32. The commenter stated that paragraph (f)(3) of the earlier NPRM prohibits installation of certain MLG shock strut assemblies unless they have been reworked in accordance with Part B of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008. The commenter pointed out that Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, specifies reworking the subject MLG shock strut assemblies that are installed on the airplanes, not those that are not installed on the airplane (<E T="03">e.g.,</E>spares or replacement assemblies), which will be reworked using Goodrich Service Bulletin 49000-32-32.</P>
        <P>We do not agree that a change to this supplemental NPRM is necessary in this regard. Part B of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, refers to Goodrich Service Bulletin 49000-32-32 as an additional source of guidance for reworking the MLG shock strut assemblies. If an operator has reworked an MLG shock strut assembly using the procedures specified in Goodrich Service Bulletin 49000-32-32, that assembly meets the requirements of paragraph (j) of this supplemental NPRM (specified as paragraph (f)(3) of the earlier NPRM). However, we have revised paragraph (j) of this supplemental NPRM to refer to paragraph B. of Part B of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008. This change eliminates the necessity of accomplishing the opening and closing procedures specified in Part B of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, for assemblies that are reworked while not installed on the airplane.</P>
        <HD SOURCE="HD1">Request To Provide Credit for Actions Done Using Goodrich Service Information</HD>
        <P>American Eagle requested that we revise paragraphs (f)(2) and (f)(3) of the earlier NPRM to allow operators to take credit for accomplishing the required actions in accordance with Goodrich Service Bulletin 49000-32-30 or 49000-32-32, as applicable.</P>
        <P>We do not agree to provide credit for operators that have done the required actions in accordance with the applicable Goodrich service information. Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, refers to Goodrich Service Bulletin 49000-32-30 and 49000-32-32 as additional sources of guidance for the actions specified in this supplemental NPRM. If an operator has accomplished the actions specified in Goodrich Service Bulletin 49000-32-30 or 49000-32-32, the operator is already in compliance with the applicable requirements specified in this supplemental NPRM. Therefore, there is no need to revise this supplemental NPRM in this regard.</P>
        <HD SOURCE="HD1">Explanation of Additional Changes Made to This Supplemental NPRM</HD>
        <P>We have revised this supplemental NPRM to identify the legal name of the manufacturer as published in the most recent type certificate data sheet for the affected airplane models.</P>
        <P>We have added a new paragraph (f) to this supplemental NPRM to make this supplemental NPRM parallel with other new AD actions. We have reidentified subsequent paragraphs accordingly.</P>
        <HD SOURCE="HD1">FAA's Determination and Requirements of This Proposed AD</HD>
        <P>This product has been approved by the aviation authority of another country, and is approved for operation in the United States. Pursuant to our bilateral agreement with the State of Design Authority, we have been notified of the unsafe condition described in the MCAI and service information referenced above. We are proposing this AD because we evaluated all pertinent information and determined an unsafe condition exists and is likely to exist or develop on other products of the same type design.</P>

        <P>Certain changes described above expand the scope of the earlier NPRM. As a result, we have determined that it is necessary to reopen the comment period to provide additional opportunity for the public to comment on this proposed AD.<PRTPAGE P="1558"/>
        </P>
        <HD SOURCE="HD1">Differences Between This AD and the MCAI or Service Information</HD>
        <P>We have reviewed the MCAI and related service information and, in general, agree with their substance. But we might have found it necessary to use different words from those in the MCAI to ensure the AD is clear for U.S. operators and is enforceable. In making these changes, we do not intend to differ substantively from the information provided in the MCAI and related service information.</P>
        <P>We might also have proposed different actions in this AD from those in the MCAI in order to follow FAA policies. Any such differences are highlighted in a Note within the proposed AD.</P>
        <HD SOURCE="HD1">Explanation of Change to Costs of Compliance</HD>
        <P>Since issuance of the earlier NPRM, we have increased the labor rate used in the Costs of Compliance from $80 per work-hour to $85 per work-hour. The Costs of Compliance information, below, reflects this increase in the specified hourly labor rate.</P>
        <HD SOURCE="HD1">Costs of Compliance</HD>
        <P>Based on the service information, we estimate that this proposed AD would affect about 361 products of U.S. registry. We also estimate that it would take about 5 work-hours per product to comply with the basic requirements of this proposed AD. The average labor rate is $85 per work-hour. Based on these figures, we estimate the cost of the proposed AD on U.S. operators to be $153,425, or $425 per product.</P>
        <HD SOURCE="HD1">Authority for This Rulemaking</HD>
        <P>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.</P>
        <P>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.</P>
        <HD SOURCE="HD1">Regulatory Findings</HD>
        <P>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.</P>
        <P>
          <E T="03">For the reasons discussed above, I certify this proposed regulation:</E>
        </P>
        <P>1. Is not a “significant regulatory action” under Executive Order 12866;</P>
        <P>2. Is not a “significant rule” under the DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and</P>
        <P>3. 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.</P>
        <P>We prepared a regulatory evaluation of the estimated costs to comply with this proposed AD and placed it in the AD docket.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 14 CFR Part 39</HD>
          <P>Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.</P>
        </LSTSUB>
        <HD SOURCE="HD1">The Proposed Amendment</HD>
        <P>Accordingly, under the authority delegated to me by the Administrator, the FAA proposes to amend 14 CFR part 39 as follows:</P>
        <PART>
          <HD SOURCE="HED">PART 39—AIRWORTHINESS DIRECTIVES</HD>
          <P>1. The authority citation for part 39 continues to read as follows:</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>49 U.S.C. 106(g), 40113, 44701.</P>
          </AUTH>
          <SECTION>
            <SECTNO>§ 39.13</SECTNO>
            <SUBJECT>[Amended]</SUBJECT>
            <P>2. The FAA amends § 39.13 by adding the following new AD:</P>
            
            <EXTRACT>
              <FP SOURCE="FP-2">
                <E T="04">Bombardier, Inc.:</E>Docket No. FAA-2009-0703; Directorate Identifier 2009-NM-093-AD.</FP>
              
              <HD SOURCE="HD1">Comments Due Date</HD>
              <P>(a) We must receive comments by February 25, 2011.</P>
              <HD SOURCE="HD1">Affected ADs</HD>
              <P>(b) None.</P>
              <HD SOURCE="HD1">Applicability</HD>
              <P>(c) This AD applies to the Bombardier airplanes identified in paragraphs (c)(1) and (c)(2) of this AD, certificated in any category.</P>
              <P>(1) Model CL-600-2C10 (Regional Jet Series 700, 701 &amp; 702) airplanes, serial numbers (S/Ns) 10003 and subsequent.</P>
              <P>(2) Model CL-600-2D15 (Regional Jet Series 705) airplanes and Model CL-600-2D24 (Regional Jet Series 900) airplanes, S/Ns 15001 and subsequent.</P>
              <HD SOURCE="HD1">Subject</HD>
              <P>(d) Air Transport Association (ATA) of America Code 32: Landing gear.</P>
              <HD SOURCE="HD1">Reason</HD>
              <P>(e) The mandatory continuing airworthiness information (MCAI) states:</P>
              <P>There have been four reports of loose or detached main landing gear torque link apex pin locking plate and the locking plate retainer bolt. This condition could result in torque link apex pin disengagement, heavy vibration during landing, damage to main landing gear components and subsequent main landing gear collapse.</P>
              <P>Investigation has determined that incorrect stack-up tolerances of the apex joint or improper installation of the locking plate and apex nut could result in torque link apex pin disengagement. This directive mandates [a one-time detailed] inspection of the torque link apex joint [for correct installation and damage, and corrective actions if necessary] and replacement of the torque link apex nut.</P>
              <HD SOURCE="HD1">Compliance</HD>
              <P>(f) You are responsible for having the actions required by this AD performed within the compliance times specified, unless the actions have already been done.</P>
              <HD SOURCE="HD1">Inspection for Part Number (P/N) and Serial Number (S/N)</HD>
              <P>(g) For all airplanes identified in paragraphs (c)(1) and (c)(2) of this AD: Within 900 flight hours after the effective date of this AD, inspect the main landing gear (MLG) shock strut assemblies to determine whether an MLG shock strut assembly having P/Ns 49000-11 through 49000-22 inclusive and a S/N 0001 through 0284 inclusive is installed. A review of airplane maintenance records is acceptable in lieu of this inspection if the part and serial numbers of the MLG shock strut assembly can be conclusively determined from that review.</P>
              <HD SOURCE="HD1">Inspection of the Torque Link Apex Joint</HD>
              <P>(h) For any MLG shock strut assembly having P/Ns 49000-11 through 49000-22 inclusive and a S/N 0001 through 0284 inclusive found installed during the inspection or records check required by paragraph (g) of this AD: Within 900 flight hours after the effective date of this AD, perform a one-time detailed inspection and all applicable corrective actions on the torque link apex joint, in accordance with Part A of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008, except as provided by paragraph (l) of this AD. Do all applicable corrective actions before further flight.</P>
              <HD SOURCE="HD1">Replacement or Rework of the Apex Nut</HD>

              <P>(i) For any MLG shock strut assembly identified during the inspection or records check required by paragraph (g) of this AD: Within 4,500 flight hours after the effective date of this AD, replace or rework the apex nut, in accordance with Part B of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008.<PRTPAGE P="1559"/>
              </P>
              <HD SOURCE="HD1">Parts Installation</HD>
              <P>(j) As of the effective date of this AD, no person may install, on any airplane, a replacement MLG shock strut assembly identified in paragraph (j)(1) or (j)(2) of this AD, unless it has been reworked in accordance with paragraph B. of Part B of the Accomplishment Instructions of Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008.</P>
              <P>(1) Part numbers 49000-11 through 49000-22 inclusive, and with a serial number in the range of S/Ns 0001 through 0284 inclusive (the serial number can start with “MA,” “MAL,” or “MA-”).</P>
              <P>(2) Part numbers 49050-5 through 49050-10 inclusive, and with a serial number in the range of S/Ns 1001 through 1114 inclusive (the serial number can start with “MA,” “MAL,” or “MA-”).</P>
              <HD SOURCE="HD1">Credit for Actions Accomplished in Accordance With Previous Service Information</HD>
              <P>(k) Inspections, corrective actions, replacements, and rework accomplished before the effective date of this AD in accordance with Bombardier Service Bulletin 670BA-32-019, dated March 16, 2006, are considered acceptable for compliance with the corresponding actions specified in this AD.</P>
              <P>(l) The inspections specified in paragraph (h) of this AD are not required if the actions specified in paragraph (i) of this AD have already been accomplished; or if Bombardier Repair Engineering Order 670-32-11-0022, dated October 22, 2005, or Goodrich Service Concession Request SCR 0056-05, dated October 22, 2005; has been incorporated.</P>
              <HD SOURCE="HD1">FAA AD Differences</HD>
              <NOTE>
                <HD SOURCE="HED">Note 1:</HD>
                <P>The MCAI specifies to inspect only airplanes having certain serial numbers that are part of the MCAI applicability. Because the affected part could be rotated onto any of the airplanes listed in the applicability, this AD requires that the inspection be done on all airplanes. We have coordinated this with the Transport Canada Civil Aviation (TCCA).</P>
              </NOTE>
              <HD SOURCE="HD1">Other FAA AD Provisions</HD>
              <P>(m) The following provisions also apply to this AD:</P>
              <P>(1)<E T="03">Alternative Methods of Compliance (AMOCs):</E>The Manager, New York Aircraft Certification Office (ACO), ANE-170, FAA, has the authority to approve AMOCs for this AD, if requested using the procedures found in 14 CFR 39.19. Send information to<E T="03">Attn:</E>Program Manager, Continuing Operational Safety, FAA, New York ACO, 1600 Stewart Avenue, Suite 410, Westbury, New York 11590; telephone 516-228-7300; fax 516-794-5531. Before using any approved AMOC, notify your appropriate principal inspector, or lacking a principal inspector, the manager of the local flight standards district office/certificate holding district office. The AMOC approval letter must specifically reference this AD.</P>
              <P>(2)<E T="03">Airworthy Product:</E>For any requirement in this AD to obtain corrective actions from a manufacturer or other source, use these actions if they are FAA-approved. Corrective actions are considered FAA-approved if they are approved by the State of Design Authority (or their delegated agent). You are required to assure the product is airworthy before it is returned to service.</P>
              <P>(3)<E T="03">Reporting Requirements:</E>A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a current valid OMB Control Number. The OMB Control Number for this information collection is 2120-0056. Public reporting for this collection of information is estimated to be approximately 5 minutes per response, including the time for reviewing instructions, completing and reviewing the collection of information. All responses to this collection of information are mandatory. Comments concerning the accuracy of this burden and suggestions for reducing the burden should be directed to the FAA at: 800 Independence Ave. SW, Washington, DC 20591,<E T="03">Attn:</E>Information Collection Clearance Officer, AES-200.</P>
              <HD SOURCE="HD1">Special Flight Permits</HD>
              <P>(n) Special flight permits, as described in Section 21.197 and Section 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199), are not allowed.</P>
              <HD SOURCE="HD1">Related Information</HD>
              <P>(o) Refer to MCAI Canadian Airworthiness Directive CF-2009-20, dated May 1, 2009; and Bombardier Service Bulletin 670BA-32-019, Revision A, dated September 18, 2008; for related information.</P>
            </EXTRACT>
          </SECTION>
          <SIG>
            <DATED>Issued in Renton, Washington, on December 30, 2010.</DATED>
            <NAME>Suzanne Masterson,</NAME>
            <TITLE>Acting Manager, Transport Airplane Directorate, Aircraft Certification Service.</TITLE>
          </SIG>
        </PART>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-368 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-13-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF LABOR</AGENCY>
        <SUBAGY>Office of Labor-Management Standards</SUBAGY>
        <CFR>29 CFR Part 452</CFR>
        <RIN>RIN 1215-AB84; RIN 1245-AA04</RIN>
        <SUBJECT>Guidelines for the Use of Electronic Voting Systems in Union Officer Elections</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Office of Labor-Management Standards, United States Department of Labor.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Request for information from the public.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>This notice is a request for information from the public to assist the Department of Labor (“Department”) in issuing guidelines concerning the use of electronic voting systems in union officer elections. “Electronic voting systems” is meant to include: Electronic voting machines used for casting votes at polling sites; electronic voting from remote site personal computers via the Internet; and electronic voting from remote site telephones. “Electronic voting systems” is<E T="03">not</E>meant to include electronic tabulation systems where votes are cast non-electronically but counted electronically (such as punch card voting or optical scanning systems).</P>
          <P>Title IV of the Labor-Management Reporting and Disclosure Act of 1959 (“LMRDA”) establishes democratic standards for the conduct of union officer elections. The LMRDA does not, however, require a particular method or system of voting. Labor organizations are free to establish their own methods or systems of voting for officer elections as long as they are consistent with lawful provisions in the union's constitution and bylaws and the provisions of Title IV of the LMRDA. Labor organizations and other interested parties have sought guidance from the Department regarding the LMRDA compliance of electronic voting systems. This request for information seeks public comment to assist the Department in the consideration and issuance of such guidance.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments must be received on or before March 14, 2011.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may submit comments, identified by RIN 1215-AB84 and 1245-AA04. (The Regulatory Information Number (RIN) identified for this rulemaking changed with the publication of the Spring 2010 Regulatory Agenda due to an organizational restructuring. The old RIN (1215-AB84) was assigned to the Employment Standards Administration, which no longer exists; a new RIN (1245-AA04) has been assigned to the Office of Labor-Management Standards.) The comments can be submitted only by the following methods:</P>
          <P>
            <E T="03">Internet:</E>Federal eRulemaking Portal. Electronic comments may be submitted through<E T="03">http://www.regulations.gov</E>. To locate the proposed rule, use RIN 1245-AA04 or RIN 1215-AB84. Follow the instructions for submitting comments.</P>
          <P>
            <E T="03">Delivery:</E>Comments should be sent to Stephen J. Willertz, Director of the Office of Enforcement and International Union Audits, Office of Labor-Management Standards, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-5119, Washington, DC 20210. Because of security precautions, the Department continues to experience delays in U.S. mail delivery. Commenters should take<PRTPAGE P="1560"/>this into consideration when preparing to meet the deadline for submitting comments.</P>
          <P>Comments will be available for public inspection at<E T="03">http://www.regulations.gov</E>, and during normal business hours at the above address.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Stephen J. Willertz, Director of the Office of Enforcement and International Union Audits, Office of Labor-Management Standards, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-5119, Washington, DC 20210,<E T="03">olms-public@dol.gov</E>, (202) 693-1182 (this is not a toll-free number). Individuals with hearing impairments may call 1-800-877-8339 (TTY/TDD).</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The purpose of this request for information is to seek public comment on the use of electronic voting systems in union officer elections. The comments from interested parties, including unions, union members, union officers, technology experts, academics, election service providers, public interest groups, and the public will help the Department issue guidelines in describing minimum standards that electronic voting systems must meet to comply with the provisions of LMRDA Title IV. In addition, the comments should help determine what issues should be addressed and what specific standards should be included in the guidelines. These guidelines and standards are intended to assist the Department in its obligation to ensure compliance with LMRDA Title IV.</P>
        <HD SOURCE="HD1">I. Background</HD>
        <HD SOURCE="HD2">A. Description of Electronic Voting Systems</HD>
        <P>The following are general descriptions of the three basic types of electronic voting systems that OLMS has encountered. They are not all-inclusive definitions of all electronic voting systems.</P>
        <P>(1) Electronic voting machines used for casting votes at polling sites.</P>
        <P>This is a direct-recording electronic (DRE) voting system in which voters mark their votes directly into an electronic device at a predetermined location monitored by election officials. The system records votes by means of a ballot display provided with mechanical or electro-optical components that can be activated by the voter (typically by buttons or a touchscreen). It is a computer-based voting system, running configured software, using computer voting stations, terminals, or kiosks that are set up in a securable location or locations. Voters must come to a predetermined location where they are first authenticated as eligible voters, and then vote at a computer terminal. Voting data is stored by the electronic device on a computer hard disk or a portable diskette, CD-ROM or smartcard. The system keeps an electronic record and may also keep a paper record, which may be verifiable by the voter, enabling a post-election audit. The system may also provide a means for transmitting individual ballots or vote totals to a central location (on either removable portable devices, such as diskettes, or by a computer network) in order to consolidate and report results at the central location. The system, as described here, is not a Web-based Internet voting system.</P>
        <P>(2) Electronic voting from remote site personal computers via the Internet.</P>
        <P>This is a DRE voting system that is Web-based in which voters do not have to vote from a predetermined location. Instead, they can register and vote from any Internet-connected personal computer (PC) or other mobile electronic device anywhere in the world. Voters connect to a central server using a standard Internet browser. Both registration and voting are accomplished through the Web interface. This system uses a voter identification number (VIN) for each voter to log into the system and vote. Some such systems then separate the VINs from the particular voted electronic ballots so that one individual or server controls access to the VINs and a separate individual or server controls access to the voted electronic ballots.</P>
        <P>(3) Electronic voting from remote site telephones.</P>
        <P>This is a DRE voting system in which voters register and vote from remote site telephones. They do not have to vote at any specific predetermined location. Voters identify themselves with voter identification numbers (VINs) and record their votes directly into a computer system using the key pads on their telephones, by following a series of recorded instructions. Voters call a predetermined telephone number and respond to verbal prompts given by the system. Using the phone keypad, the voter enters choices. The computer system records those choices as votes.</P>
        <HD SOURCE="HD2">B. Statutory, Regulatory and Administrative Framework</HD>
        <P>Title IV of the LMRDA, 29 U.S.C. 481-484, and interpretive regulations issued by the Department, 29 CFR part 452, establish standards for the conduct of union officer elections, including minimum standards for:</P>
        <P>• Voter secrecy.</P>
        <P>• Candidate observer rights and election safeguards.</P>
        <P>• Preservation of records.</P>
        <HD SOURCE="HD3">Voter Secrecy</HD>
        <P>LMRDA Section 3(k), defines a secret ballot as: “the expression by ballot, voting machine, or otherwise, but in no event by proxy, of a choice with respect to any election or vote taken upon any matter, which is cast in such a manner that the person expressing such choice cannot be identified with the choice expressed.” 29 U.S.C. 402(k). Section 401(a) requires that “every national or international labor organization * * * shall elect its national officers * * * by secret ballot among the members in good standing or at a convention of delegates chosen by secret ballot.” 29 U.S.C. 481(a). Section 401(b) requires that “every local labor organization shall elect its officers * * * by secret ballot.” 29 U.S.C. 481(b). Section 401(d) requires that “officers of intermediate bodies * * * shall be elected… by secret ballot among the members in good standing or by labor organization officers representative of such members who have been elected by secret ballot.” 29 U.S.C. 481(d).</P>
        <P>The Department's regulations at 29 CFR 452.97 state that a prime requisite of elections regulated by title IV is that they be held by secret ballot among the members or in appropriate cases by representatives who themselves have been elected by secret ballot among the members. A secret ballot under the Act is “the expression by ballot, voting machine, or otherwise, but in no event by proxy, of a choice * * * cast in such a manner that the person expressing such choice cannot be identified with the choice expressed.” Secrecy may be assured by the use of voting machines, or, if paper ballots are used, by providing voting booths, partitions, or other physical arrangements permitting privacy for the voter while he is marking his ballot. The ballot must not contain any markings which upon examination would enable one to identify it with the voter. Balloting by mail presents special problems in assuring secrecy. Although no particular method of assuring such secrecy is prescribed, secrecy may be assured by the use of a double envelope system for return of the voted ballots with the necessary voter identification appearing only on the outer envelope.</P>

        <P>In addition, should any voters be challenged as they are casting their ballots, there should be some means of setting aside the challenged ballots until a decision regarding their validity is reached without compromising the secrecy requirement. For example, each<PRTPAGE P="1561"/>such ballot might be placed in an envelope with the voter's name on the outside. Of course, it would be a violation of the secrecy requirement to open these envelopes and count the ballots one at a time in such a way that each vote could be identified with a voter.</P>
        <HD SOURCE="HD3">Candidate Observer Rights and Election Safeguards</HD>
        <P>Section 401(c) of the LMRDA requires that “adequate safeguards to insure a fair election shall be provided, including the right of any candidate to have an observer at the polls and at the counting of the ballots.” 29 U.S.C. 481(c).</P>
        <P>The Department's regulations at 29 CFR 452.107(a) state that under the provisions of section 401(c), each candidate must be permitted to have an observer (1) at the polls and (2) at the counting of the ballots. The right encompasses every phase and level of the counting and tallying process, including the counting and tallying of the ballots and the totaling, recording, and reporting of the tally sheets. If there is more than one polling place, the candidate may have an observer at each location. If ballots are being counted at more than one location or at more than one table at a single location, a candidate is entitled to as many observers as necessary to observe the actual counting of the ballots. The observer may note the names of those voting so that the candidates may be able to ascertain whether unauthorized persons voted in the election. The observers should be placed so that they do not compromise, or give the appearance of compromising, the secrecy of the ballot. The observer is not required to be a member of the labor organization unless that union's constitution and bylaws require him to be a member. There is no prohibition on the use of alternate observers, when necessary, or on the candidate serving as his own observer. Observers do not have the right to count the ballots.</P>
        <P>And, the Department's regulations at 29 CFR 452.107(c) state that in any secret ballot election which is conducted by mail, regardless of whether the ballots are returned by members to the labor organization office, to a mail box, or to an independent agency such as a firm of certified public accountants, candidates must be permitted to have an observer present at the preparation and mailing of the ballots, their receipt by the counting agency and at the opening and counting of the ballots.</P>
        <P>Further, the Department's regulations at 29 CFR 452.110(a) state, in part, that the Act contains a general mandate in Section 401(c), that adequate safeguards to insure a fair election be provided. A labor organization's wide range of discretion regarding the conduct of elections is thus circumscribed by a general rule of fairness.</P>
        <HD SOURCE="HD3">Preservation of Records</HD>
        <P>Section 401(e) of the LMRDA provides that “[t]he election officials designated in the constitution and bylaws or the secretary, if no other official is designated, shall preserve for one year the ballots and all other records pertaining to the election.” 29 U.S.C. 481(e).</P>
        <P>The Department's regulations at 29 CFR 452.106 state that in every secret ballot election which is subject to the Act, the ballots and all other records pertaining to the election must be preserved for one year. The responsibility for preserving the records is that of the election officials designated in the constitution and bylaws of the labor organization or, if none is so designated, its secretary. Since the Act specifies that ballots must be retained, all ballots, marked or unmarked, must be preserved. Independent certification as to the number and kind of ballots destroyed may not be substituted for preservation. In addition, ballots which have been voided, for example, because they were received late or because they were cast for an ineligible candidate, must also be preserved.</P>
        <HD SOURCE="HD2">C. Court Cases</HD>

        <P>With passage of the LMRDA, Congress sought to “protect the rights of rank-and-file members to participate fully in the operation of their union through processes of democratic self-government.”<E T="03">Wirtz</E>v.<E T="03">Hotel, Motel and Club Employees Union,</E>Local 6, 391 U.S. 492 (1969). The Supreme Court and other courts have recognized that with respect to union officer elections covered by the LMRDA, “Congress' model of democratic elections was political elections in this country.”<E T="03">Id.</E>at 502.</P>

        <P>This parallel between political elections and union officer elections extends to the interpretation of the LMRDA's ballot secrecy provisions.<E T="03">See Marshall</E>v.<E T="03">Local Union 12447, United Steelworkers of America, AFL-CIO,</E>591 F.2d 199, 205 (3d Cir. 1978) (“* * * the facilities available for balloting [in union elections] are * * * similar to their use in political elections in this country,<E T="03">i.e.,</E>in such a manner that voters cannot be identified with their choices.”). Several cases make clear that the requirement of a secret ballot in union officer elections is to be interpreted strictly: If there is any possibility that a voter can be connected with his or her vote, the procedure does not comply with the LMRDA.<E T="03">Id.</E>at 203 (“The definition [of secret ballot] is phrased in mandatory terms: The ballots must be marked in such a manner that the voter cannot be identified with his choice.”);<E T="03">Brennan</E>v.<E T="03">Local 3489, United Steelworkers of America, AFL-CIO,</E>520 F.2d 516, 522 (7th Cir. 1975) (“The statutory mandate is for a vote that “cannot” be identified with the voter.”).</P>

        <P>Courts have further clarified that the secret ballot requirement not only applies to the act of voting itself, but “any post-voting procedure designed to determine how individual union members voted or would have voted.”<E T="03">Reich</E>v.<E T="03">District Lodge 720, International Association of Machinists and Aerospace Worker,</E>11 F.3d 1496, 1500 (9th Cir. 1993);<E T="03">see also Bachowski</E>v.<E T="03">Brennan,</E>413 F.Supp 147, 150 (W.D. Pa. 1976). Finally, although “electronic voting systems” are often designed and administered by third parties, the ultimate responsibility for upholding the ballot secrecy requirement remains with the union.<E T="03">See</E>Local 3489, 520 F.2d at 522;<E T="03">Local Union 12447,</E>591 F.2d at 204 (3d Cir. 1978).</P>

        <P>As of the publication of this RFI, there are no published cases that apply these well-established principles of ballot secrecy to electronic voting systems. The Department addressed the issue in one court proceeding against the Allied Pilots Association in 2007, but the litigation was resolved without a judicial determination. In that union officer election, the union utilized an Internet and telephone voting system designed by a third-party company. To log into the electronic voting system to cast a vote, each member was required to enter an employee identification number (EIN), which was published on the union website, along with a randomly-generated personal identification number (PIN) assigned privately. This information was transmitted to a “member database” on a computer server maintained by the third-party company. This “member database” contained members' names, their EINs, and their PINs. If the EIN and PIN entered by members matched those on the “member database,” the system permitted the members to cast their votes, which were recorded in a separate “vote database.” However, the electronic voting system also generated number identification markers that linked the members with the votes they cast, which could be accessed by certain employees of the third-party company. Additionally, several individuals from the organization administering the<PRTPAGE P="1562"/>election had access to members' EINs and PINs, which gave them the ability to log onto the voting system to determine how a member had voted. Upon these facts, the court found that the voting system violated the LMRDA requirements for ballot secrecy, but declined for other reasons to resolve the case on the parties' motions for summary judgment.<E T="03">Chao</E>v.<E T="03">Allied Pilots Ass'n,</E>2007 WL 518586 (N.D. Tex. Feb. 20, 2007) (depublished). As a condition of the parties' later settlement agreement, the District Court issued a Consent Decree and Order vacating its February 20, 2007 order.<E T="03">Secretary of Labor</E>v.<E T="03">Allied Pilots Ass'n,</E>Case 4:05-CV-338-Y (N.D. Tex. Jun. 13, 2007).</P>
        <HD SOURCE="HD2">D. Legislation</HD>

        <P>After the disputed U.S. Presidential election in 2000, many states and localities mandated the purchase and use of electronic voting systems. The Help America Vote Act (HAVA) was signed into law in 2002. Public Law 107-252, 116 Stat. 1666 (42 U.S.C. 15301-15545). It was drafted, in part, in reaction to the controversy surrounding the 2000 Presidential election. HAVA provided funds for qualifying states to replace punched card voting systems or lever voting systems with new systems, including electronic systems, in accordance with HAVA's voting system standards. 42 U.S.C. 15302(a)(2). HAVA standards require all electronic voting systems to be auditable and produce a permanent paper record with a manual audit capacity available. 42 U.S.C. 15481(a)(2)(B). This mandatory paper record is the official record for recounts.<E T="03">Id.</E>
        </P>

        <P>Since 2002, a number of bills have been introduced in Congress that would require a voter verified paper audit trail (VVPAT) or verified paper record (VPR) in U.S. political elections. A VVPAT or VPR is intended as an independent verification system for voting machines designed to allow voters to verify that their vote was cast correctly, to detect possible election fraud or malfunction, to serve as an independent check on the record produced and stored by the electronic system, and to provide a means to audit the stored electronic results and allow for an accurate recount. Voter verified paper legislation introduced since 2002 include the following: the Voter Confidence and Increased Accessibility Act of 2005 (H.R. 550, 109th Cong.), 2007 (H.R. 811, 110th Cong.; S. 2295, 110th Cong.), and 2009 (H.R. 2894, 111th Cong.; S. 1431, 111th Cong.); the Voting Integrity and Verification Act of 2005 (H.R. 704, 109th Cong.; S. 330, 109th Cong.), 2007 (S. 1869, 110th Cong.), and 2009 (S. 48, 111th Cong.); the Count Every Vote Act of 2005 (H.R. 939, 110th Cong.; S. 450, 109th Cong.) and 2007 (H.R. 1381, 110th Cong.; S. 804, 110th Cong.); and the Ballot Integrity Act of 2007 (S. 1487, 110th Cong.). None of these bills were passed in Congress. Although this national standard for voting has not yet been established, as of the publishing of this RFI, 32 states require VVPATs. VerifiedVoting.org, Voter-Verified Paper Record Legislation,<E T="03">http://www.verifiedvoting.org/article.php?list=type&amp;type=13</E>(last visited Sept. 20, 2010). OLMS is not presently aware of an Internet voting system that offers voter-verified paper records or a manual audit.</P>
        <HD SOURCE="HD2">E. Recent Developments</HD>
        <P>Electronic voting at polling stations using computer terminals or similar touch-screen machines which store and tabulate votes, but which are not Internet-based, are widely used in U.S. political elections. These are not on-line forms of voting, meaning the systems are not connected to the Internet.</P>

        <P>Internet voting has not been widely adopted for political elections in this country and, in one situation, a Federal agency chose not to utilize Internet voting due to security concerns.<E T="03">See</E>David Jefferson<E T="03">et al,</E>
          <E T="03">A Security Analysis of the Secure Electronic Registration and Voting Experiment (“SERVE”),</E>available at<E T="03">http://servesecurityreport.org/paper.pdf</E>(report advising against Department of Defense use of Internet voting in 2004 political elections for military serving overseas due to security concerns).<SU>1</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>

            <SU>1</SU>In March 2007, the Federal Voting Assistance Program (FVAP) and the Department of Defense's Business Transformation Agency released a Request for Information to solicit from industry electronic solutions for three absentee voting tasks: voter registration, ballot request, and blank ballot delivery.<E T="03">See Department of Defense: Expanding the Use of Electronic Voting Technology for UOCAVA Citizens As Required by Section 596 of the National Defense Authorization Act for Fiscal Year 2007,</E>May 2007.<E T="03">http://servesecurityreport.org/DoDMay2007.pdf</E>. (The acronym UOCAVA stands for<E T="03">Uniformed and Overseas Citizens Absentee Voting Act.) See also</E>
            <E T="03">Elections: Action Plans Needed to Fully Address Challenges in Electronic Absentee Voting Initiatives for Military and Overseas Citizens,</E>Government Accountability Office, June 2007. GAO-07-774.<E T="03">http://www.gao.gov/new.items/d07774.pdf</E>. The FVAP program introduced in 2009 is not Internet or online voting. It is the electronic transmission and online marking of the absentee ballot. The voter would still print out the ballot and send it in like any regular absentee ballot.<E T="03">http://www.fvap.gov/global/news/nr19-2009.html.</E>
          </P>
        </FTNT>

        <P>Internet voting has been tested overseas in public elections in Switzerland, the United Kingdom, and Estonia. Bryan Mercurio,<E T="03">Democracy in Decline: Can Internet Voting Save the Electoral Process?,</E>22 J. Marshall J. &amp; Info. L. 409, 409-51 (2004). Internet voting has also been tested in the U.S. as a voting option in the 2000 Democratic primary in Arizona and the Republican straw poll in Alaska in 2000.<E T="03">Id.</E>Proponents of remote Internet voting make several arguments in its favor. R. Michael Alvarez &amp; Thad E. Hall,<E T="03">Point, Click, and Vote: The Future of Internet Voting</E>(2004) Voting would be more convenient for Internet users, allowing them to vote at home, at work, or anywhere the Internet is available.<E T="03">Id.</E>Internet voting would be logistically easier for some disabled voters and for military personnel overseas.<E T="03">Id.</E>Internet voting might encourage greater voter participation, particularly among younger Americans typically well-versed in using the Internet.<E T="03">Id.</E>Internet voting could also lower the cost of voting.<E T="03">Id.</E>However, there are still concerns regarding on-line computer security, viruses and attacks, voter fraud, unequal computer and Internet access (the “digital divide”), and potential disintegration of civic life by moving away from a community-based electoral process where voting at the polls is an observable act of citizenship.<E T="03">Id.</E>
        </P>

        <P>In 2007, the National Mediation Board (“NMB”) announced that it would primarily conduct representation elections offering participants both Internet voting and telephone electronic voting. 34 NMB No. 13, at 71 (Jan. 29, 2007) (Introduction of Internet Voting/Mock Election); 34 NMB No. 41, 200, 206 (Sept. 14, 2007) (Internet Voting Comment Period). The NMB adopted Internet voting based on its conclusion that “offering Internet voting in addition to phone voting will further its mission and enhance the Board's ability to conduct representation elections fairly and effectively.”<E T="03">Id.</E>
        </P>

        <P>However, the Department's responsibility over union elections differs from NMB's in at least two ways. First, unlike the LMRDA which requires union officer elections to be conducted by secret ballot, the Railway Labor Act (RLA), which the NMB enforces, has no such ballot secrecy requirement. In a section titled, “Statutory Difference Between LMRDA and RLA,” the NMB discussed LMRDA section 401(a)'s specific election standards, particularly its requirement of a secret ballot. It then drew a contrast with the RLA. “The language of the RLA gives the Board broad discretion in conducting representation elections. Section 2, Ninth provides that the Board “shall be authorized to take a secret ballot of the employees involved,<E T="03">or to utilize any other appropriate method of ascertaining the names of their duly<PRTPAGE P="1563"/>designated and authorized representatives,”</E>and further that the Board may “establish the rules to govern the election.” 34 NMB No. 41, 200, 206 (Sept. 14, 2007) (Emphasis in original.) Second, the NMB conducts representation elections itself and maintains direct control (along with its contractor) of the electronic voting system. In contrast, elections under the LMRDA are independently conducted by unions. The Department's involvement in an election is not triggered until a post-election complaint is filed, whereupon the Department investigates and, if the claim is substantiated, seeks a remedial election either through a voluntary settlement or by filing a complaint in district court. Because the Department does not have the degree of direct control over the electronic voting system that NMB has, and due to the heightened ballot secrecy requirements under the LMRDA, there are additional questions that must be addressed to ensure that the Department fulfills its legal obligations under the LMRDA.</P>
        <HD SOURCE="HD1">II. Information Sought</HD>
        <P>The Secretary seeks public comment from interested parties to help the Department issue guidelines concerning the use of electronic voting systems in union officer elections. “Electronic voting systems” is meant to include: (1) Electronic voting machines used for casting votes at polling sites; (2) electronic voting from remote site personal computers via the Internet; and (3) electronic voting from remote site telephones. The comments should help identify and describe what issues concerning the use of electronic voting systems in union officer elections should be addressed and what specific standards should be included in the guidelines. These guidelines and standards could further the Department's interest in ensuring compliance with LMRDA Title IV.</P>
        <P>In particular, the Secretary is seeking written comments in response to the questions enumerated below. We request that all commenters identify themselves and any organizations or entities with which they are affiliated and generally describe their involvement or association with electronic voting systems. In responding to questions, please note and consider the preceding background information provided in Part I. Also, in your responding comments, please provide as much detail and specific examples as possible. Thank you for your cooperation and consideration.</P>
        <P>1. Should the Department issue guidelines concerning the use of electronic voting systems in union officer elections? What specific issues concerning electronic voting systems should be addressed? What specific standards should be included in the guidelines?</P>
        <P>2. Describe the potential advantages and disadvantages of electronic voting systems in union officer elections. For unions that have considered electronic voting systems, what factors guided your decision to either adopt or reject electronic voting systems?</P>
        <P>3. In elections other than union officer elections (for example, contract ratification votes, National Mediation Board elections, National Labor Relations Board elections, and national and local political elections), what are the voting system trends? Are there trends toward: (1) Electronic voting machines used for casting votes at polling sites; (2) electronic voting from remote site personal computers via the Internet; and (3) electronic voting from remote site telephones? How do these systems protect ballot secrecy and have these protections been effective?</P>
        <P>4. Are voter verified ballots and paper audit trails necessary safeguards for union officer elections? If so, why? If not, why not?</P>
        <P>5. If an electronic voting system has no voter verified paper ballots, how could a voter confirm that his or her vote was recorded accurately on the electronic ballot and stored accurately in the computer memory? Does the electronic display shown to the voter of the votes cast necessarily mean that the votes are stored or tallied as displayed?</P>
        <P>6. If an electronic voting system has no voter verified paper ballots, can an observable recount be conducted? If so, how would this be accomplished?</P>
        <P>7. If the electronic balloting system includes a function that prints paper versions of electronically stored ballots, but individual paper ballots are not voter-verified, does this function allow for a meaningful recount? Would these non-voter-verified paper ballots produced by the electronic system be independent of the electronic votes stored in the electronic system?</P>
        <P>8. Are there technologies or systems that provide a check on the accuracy of the electronic system that is independent of the software in the system? If so, what are those technologies or systems?</P>
        <P>9. How can observers participate meaningfully in all phases of the election process in an electronic voting system environment? How can remote site electronic voting systems ensure that candidates have the right to observe all aspects of the election? Are there features of electronic voting systems that establish or replicate processes for candidates to have observers at the polls and at the counting of the ballots? If so, what are those features?</P>
        <P>10. Most remote site electronic voting systems use a voter identification number (VIN) for each voter to log into the system and vote. In these systems, what safeguards exist to prevent the connection of a voter's identifying information and his or her vote?</P>
        <P>11. Some systems separate the VINs from the particular voted electronic ballots so that one individual or server controls access to the VINs and a separate individual or server controls access to the voted electronic ballots. In those systems, can the voter and the vote be reconnected? How can voters have confidence that there is no connection of voter and vote and that their votes remain secret?</P>
        <P>12. Is there a software protocol that can restrict the transfer of any information that could potentially link a voter to his or her vote? If there is such a software protocol, can it be re-programmed to permit the link? Can such re-programming be detected afterwards?</P>
        <P>13. In a remote site electronic voting system, if a determination is made that a voter is ineligible after he/she has already voted, can that vote be removed from the system without reconnecting the voter and vote? If not, can an observer challenge a voter's eligibility after voting has begun or must all such challenges be made prior to balloting?</P>
        <P>14. How does a remote site electronic voting system deal with a “spoiled” ballot situation, i.e., when a member marks and submits a ballot in error, such as failing to vote for a particular race? Can that ballot be identified and voided and can that member be allowed to vote again? How does the system accomplish this without reconnecting the voter and vote?</P>
        <P>15. In a remote site telephone voting system, can the system log and store the caller/voter's telephone number as well as the caller/voter's VIN and voting data?</P>

        <P>16. What safeguards exist to prevent malicious or fraudulent software (<E T="03">e.g.,</E>software that would delete or change vote totals) from being embedded in an Internet voting system? If such code was introduced or embedded, would it be possible to detect? If so, how? How would an allegation of software tampering be resolved? If electronic voting system software is proprietary, would a third party, such as OLMS, be allowed to inspect the software to resolve an allegation of tampering? If so, how? How would a third party, such as OLMS, be allowed access to the<PRTPAGE P="1564"/>proprietary software codes to resolve the allegation of tampering?</P>
        <P>17. If OLMS receives an election complaint challenging the software code in an electronic voting system, how can OLMS ensure that the code examined by OLMS in the investigation is the same code that was in place and operational during the challenged election?</P>
        <P>18. In the electronic voting systems with which you are familiar, are all system activities of the union or third party election administrators permanently recorded or logged into the system? What safeguards exist to prevent accidental deletion from or tampering with the log? How could a third party, such as OLMS, investigate alleged tampering with the log? Does this log file, or other similar system file or database, include each voter's entry into the system, along with that voter's IP address, VIN, and voting data in sequential order?</P>
        <P>19. What safeguards exist to prevent vote manipulation by “insiders” such as computer programmers, equipment manufacturers, technicians, system administrators, or election officials who may have legitimate access to election software and/or data? How could a third party, such as OLMS, investigate allegations of insider attacks?</P>
        <P>20. How would the use of electronic balloting affect the issue of voter intimidation, if at all? For any voter intimidation that might take place in the context of an election using electronic balloting, what safeguards have been or could be used to address the issue?</P>

        <P>21. What safeguards exist to prevent denial of service attacks, “spoofing” (<E T="03">i.e.,</E>when one person masquerades as another and gains illegitimate access), automated vote buying, and viral attacks on voter personal computers? How could a third party, such as OLMS, investigate allegations of such activity?</P>
        <P>22. There are reported cases of electronic voting system malfunctions in civic elections where votes have either not been recorded or have not been recorded accurately. These cases include: Volusia County, Florida (2000), Broward County, Florida (2004), Franklin County, Ohio (2004), Sarpy County, Nebraska (2004), Carteret County, North Carolina (2004), and Sarasota County, Florida (2006). What safeguards exist to detect such malfunctions? How could a third party, such as OLMS, investigate allegations that such malfunctions occurred?</P>
        <P>23. What safeguards exist to prevent “phishing” in remote Internet voting systems? “Phishing” is a scheme that uses a web page set up to look just like the union's voting web page. Union members are brought to the site by email, links, or reminders to vote with an embedded link. The union member “votes” on the fake site. The person who sets up the fake site then has the voter's VIN and other identifying information which the person then uses to log onto the real site and vote in place of the real voter. How could a third party, such as OLMS, investigate allegations of phishing?</P>
        <P>24. Are there any other potential issues with the legality or practicality of electronic voting systems that have not been addressed in the preceding questions? If so, please explain.</P>
        <SIG>
          <DATED>Signed in Washington, DC, this 5th day of January 2011.</DATED>
          <NAME>John Lund,</NAME>
          <TITLE>Director, Office of Labor-Management Standards.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-311 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4510-CP-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Coast Guard</SUBAGY>
        <CFR>33 CFR Part 100</CFR>
        <DEPDOC>[Docket No. USCG-2010-1094]</DEPDOC>
        <RIN>RIN 1625-AA08</RIN>
        <SUBJECT>Special Local Regulation for Marine Event; Temporary Change of Dates for Recurring Marine Event in the Fifth Coast Guard District</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Coast Guard, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of proposed rulemaking.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Coast Guard proposes to temporarily change the enforcement periods of special local regulations for recurring marine events in the Fifth Coast Guard District. These regulations apply to four recurring marine events that conduct a rescue at sea demonstration, an air show, a swimming competition, and power boat races. Special local regulations are necessary to provide for the safety of life on navigable waters during these events. This action is intended to restrict vessel traffic in a portion of the Severn River at Annapolis, MD, the Chester River near Chestertown, MD, and Prospect Bay at Kent Island, MD during the events.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments and related material must be received by the Coast Guard on or before February 10, 2011.</P>
          <P>The effective dates being proposed for this rule are from April 1 to September 1, 2011.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may submit comments identified by docket number USCG-2010-1094 using any one of the following methods:</P>
          <P>(1)<E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>
          </P>
          <P>(2)<E T="03">Fax:</E>202-493-2251.</P>
          <P>(3)<E T="03">Mail:</E>Docket Management Facility (M-30), U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.</P>
          <P>(4)<E T="03">Hand delivery:</E>Same as mail address above, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The telephone number is 202-366-9329.</P>

          <P>To avoid duplication, please use only one of these four methods. See the “Public Participation and Request for Comments” portion of the<E T="02">SUPPLEMENTARY INFORMATION</E>section below for instructions on submitting comments.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>If you have questions on this proposed rule, call Mr. Ronald L. Houck, Project Manager, Coast Guard Sector Baltimore Waterways Management Division, at 410-576-2674 or e-mail at<E T="03">Ronald.L.Houck@uscg.mil.</E>If you have questions on viewing or submitting material to the docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202-366-9826.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Public Participation and Request for Comments</HD>

        <P>We encourage you to participate in this rulemaking by submitting comments and related materials. All comments received will be posted without change to<E T="03">http://www.regulations.gov</E>and will include any personal information you have provided.</P>
        <HD SOURCE="HD2">Submitting Comments</HD>

        <P>If you submit a comment, please include the docket number for this rulemaking (USCG-2010-1094), indicate the specific section of this document to which each comment applies, and provide a reason for each suggestion or recommendation. You may submit your comments and material online (via<E T="03">http://www.regulations.gov</E>) or by fax, mail, or hand delivery, but please use only one of these means. If you submit a comment online via<E T="03">http://www.regulations.gov,</E>it will be considered received by the Coast Guard when you successfully transmit the comment. If you fax, hand deliver, or mail your comment, it will be considered as having been received by the Coast Guard when it is received at<PRTPAGE P="1565"/>the Docket Management Facility. We recommend that you include your name and a mailing address, an e-mail address, or a telephone number in the body of your document so that we can contact you if we have questions regarding your submission.</P>
        <P>To submit your comment online, go to<E T="03">http://www.regulations.gov,</E>click on the “submit a comment” box, which will then become highlighted in blue. In the “Document Type” drop down menu select “Proposed Rule” and insert “USCG-2010-1094” in the “Keyword” box. Click “Search” then click on the balloon shape in the “Actions” column. If you submit your comments by mail or hand delivery, submit them in an unbound format, no larger than 8<FR>1/2</FR>by 11 inches, suitable for copying and electronic filing. If you submit comments by mail and would like to know that they reached the Facility, please enclose a stamped, self-addressed postcard or envelope. We will consider all comments and material received during the comment period and may change the rule based on your comments.</P>
        <HD SOURCE="HD2">Viewing Comments and Documents</HD>

        <P>To view comments, as well as documents mentioned in this preamble as being available in the docket, go to<E T="03">http://www.regulations.gov,</E>click on the “read comments” box, which will then become highlighted in blue. In the “Keyword” box insert USCG-2010-1094 and click “Search.” Click the “Open Docket Folder” in the “Actions” column. You may also visit the Docket Management Facility in Room W12-140 on the ground floor of the Department of Transportation West Building, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. We have an agreement with the Department of Transportation to use the Docket Management Facility.</P>
        <HD SOURCE="HD2">Privacy Act</HD>

        <P>Anyone can search the electronic form of 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 a Privacy Act notice regarding our public dockets in the January 17, 2008 issue of the<E T="04">Federal Register</E>(73 FR 3316).</P>
        <HD SOURCE="HD2">Public Meeting</HD>

        <P>We do not now plan to hold a public meeting. But you may submit a request for one using one of the four methods specified under<E T="02">ADDRESSES</E>. Please explain why you believe a public meeting would be beneficial. If we determine that one would aid this rulemaking, we will hold one at a time and place announced by a later notice in the<E T="04">Federal Register</E>.</P>
        <HD SOURCE="HD1">Background and Purpose</HD>
        <P>Marine events are frequently held on the navigable waters within the boundary of the Fifth Coast Guard District. The activities that typically comprise marine events include: Sailing regattas, power boat races, swim races and holiday parades. For a description of the geographical area of each Coast Guard Sector—Captain of the Port Zone, please see 33 CFR 3.25.</P>
        <P>This regulation proposes to temporarily change the enforcement period of special local regulations for recurring marine events within the Fifth Coast Guard District. This proposed regulation applies to four marine events previously published at 33 CFR 100.501, Table to § 100.501.</P>
        <P>The first event is the annual “Safety at Sea Seminar,” sponsored by the U.S. Naval Academy, on the waters of the Severn River at Annapolis, MD. The regulation at 33 CFR 100.501 is effective annually for the Safety at Sea Seminar marine event. The event consists of demonstrations of at sea rescues including surface and air platforms held on and above the waters of the Severn River in Annapolis, Maryland. Visual distress signal devices will be used and a helicopter with small boats will be operating before a large fleet of spectator crafts. Therefore, to ensure the safety of participants and support vessels, 33 CFR 100.501 would be enforced for the duration of the event. Under provisions of 33 CFR 100.501, from 11 a.m. to 1:30 p.m. on April 2, 2011, vessels may not enter the regulated area unless they receive permission from the Coast Guard Patrol Commander. Vessel traffic may be allowed to transit the regulated area only when the Patrol Commander determines it is safe to do so.</P>
        <P>The second event is the annual “Blue Angels Air Show,” sponsored by the U.S. Naval Academy, on the waters of the Severn River at Annapolis, MD. The regulation at 33 CFR 100.501 is effective annually for the Blue Angels Air Show marine event. The event consists of one day for arrival and practice and another day for the Air Show held above the waters of the Severn River, at Annapolis, Maryland. High performance military aircraft will conduct maneuvers before a large fleet of spectator crafts. Therefore, to ensure the safety of participants and support vessels, 33 CFR 100.501 would be enforced for the duration of the event. Under provisions of 33 CFR 100.501, from 10:30 a.m. to 4 p.m. on May 24, 2011 and from 1:30 p.m. to 4 p.m. on May 25, 2011, vessels may not enter the regulated area unless they receive permission from the Coast Guard Patrol Commander. Vessel traffic may be allowed to transit the regulated area only when the Patrol Commander determines it is safe to do so.</P>
        <P>The third event is the annual “Maryland Swim for Life,” sponsored by the District of Columbia Aquatics Club, on the waters of the Chester River near Chestertown, MD. The regulation at 33 CFR 100.501 is effective annually for the Maryland Swim for Life marine event. The event is an open water swimming competition held on the waters of the Chester River, near Chestertown, Maryland. Approximately 200 swimmers will start from Rolph's Wharf and swim up-river 2.5 miles then swim down-river returning back to Rolph's Wharf. A large fleet of support vessels accompany the swimmers. Therefore, to ensure the safety of participants and support vessels, 33 CFR 100.501 would be enforced for the duration of the event. Under provisions of 33 CFR 100.501, from 5:30 a.m. to 2:30 p.m. on June 25, 2011, vessels may not enter the regulated area unless they receive permission from the Coast Guard Patrol Commander. Vessel traffic may be allowed to transit the regulated area only when the Patrol Commander determines it is safe to do so.</P>
        <P>The fourth event is the annual “Thunder on the Narrows”, sponsored by the Kent Narrows Racing Association on the waters of Prospect Bay at Kent Island, MD. The regulation at 33 CFR 100.501 is effective annually for the Thunder on the Narrows marine event. The event consists of two days of power boat racing on the waters of Prospect Bay, at Kent Island, Maryland. High performance power boats will race on a designated course before a large fleet of spectator crafts. Therefore, to ensure the safety of participants and support vessels, 33 CFR 100.501 would be enforced for the duration of the event. Under provisions of 33 CFR 100.501, from 9:30 a.m. to 6:30 p.m. on June 25, 2011 and from 9:30 a.m. to 6:30 p.m. on June 26, 2011, vessels may not enter the regulated area unless they receive permission from the Coast Guard Patrol Commander. Vessel traffic may be allowed to transit the regulated area only when the Patrol Commander determines it is safe to do so.</P>
        <HD SOURCE="HD1">Discussion of Proposed Rule</HD>

        <P>The Coast Guard proposes to temporarily suspend the regulations at 33 CFR 100.501 by changing the date of enforcement in the table to § 100.501. The Coast Guard proposes to<PRTPAGE P="1566"/>temporarily change the enforcement periods of special local regulations for recurring marine events within the Fifth Coast Guard District. This NPRM applies to the marine events below.</P>
        <HD SOURCE="HD2">
          <E T="03">Severn River, Annapolis, MD</E>
        </HD>
        <P>The Table to § 100.501, event No. 13 establishes the enforcement date for the Safety at Sea Seminar. This regulation proposes to temporarily change the enforcement date from “March—4th or last Saturday” to the first Saturday in April, holding the annual marine event on April 2, 2011. The U.S. Naval Academy, which is the sponsor for this event, intends to hold this event annually; however, they have changed the date of the event for 2011 so that it is outside the scope of the existing enforcement period. Due to the need for vessel control while high performance aircraft are conducting maneuvers above the Severn River, vessel traffic would be temporarily restricted to provide for the safety of participants, spectators and transiting vessels.</P>
        <HD SOURCE="HD2">Severn River, Annapolis, MD</HD>
        <P>The Table to § 100.501, event No. 19 establishes the enforcement date for the Blue Angels Air Show. This regulation proposes to temporarily change the enforcement date from “May—3rd Tuesday and Wednesday” to the fourth Tuesday and Wednesday in May, holding the annual marine event on May 24, 2011 and May 25, 2011. The U.S. Naval Academy, which is the sponsor for this event, intends to hold this event as it usually does on the Tuesday and Wednesday before Memorial Day annually; however, the existing enforcement period listed in the permanent regulation does not accurately reflect these dates. Due to the need for vessel control while high performance aircraft are conducting maneuvers above the Severn River, vessel traffic would be temporarily restricted to provide for the safety of participants, spectators and transiting vessels.</P>
        <HD SOURCE="HD2">Chester River, Chestertown, MD</HD>
        <P>The Table to § 100.501, event No. 21 establishes the enforcement date for the Maryland Swim for Life. This regulation proposes to temporarily change the enforcement date from “June—3rd Saturday or July—3rd Saturday” to the fourth or last Saturday in June, holding their 20th annual marine event on June 25, 2011. The District of Columbia Aquatics Club, which is the sponsor for this event, intends to hold this event annually; however, they have changed the date of the event for 2011 so that it is outside the scope of the existing enforcement period. Due to the need for vessel control while swimmers are in the water along the Chester River, vessel traffic would be temporarily restricted to provide for the safety of participants, spectators and transiting vessels.</P>
        <HD SOURCE="HD2">Prospect Bay, Kent Island, MD</HD>
        <P>The Table to § 100.501, event No. 23 establishes the enforcement date for the Thunder on the Narrows. This regulation proposes to temporarily change the enforcement date from “August—1st Saturday and Sunday” to the fourth Saturday and Sunday in June, holding the annual marine event on June 25, 2011 and June 26, 2011. The Kent Narrows Racing Association, which is the sponsor for this event, intends to hold this event annually; however, they have changed the date of the event for 2011 so that it is outside the scope of the existing enforcement period. Due to the need for vessel control while high performance power boats are racing on Prospect Bay, vessel traffic would be temporarily restricted to provide for the safety of participants, spectators and transiting vessels.</P>
        <HD SOURCE="HD1">Regulatory Analyses</HD>
        <P>We developed this proposed rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on 13 of these statutes or executive orders.</P>
        <HD SOURCE="HD2">Regulatory Planning and Review</HD>
        <P>The proposed rule is not a significant regulatory action under section 3(f) of Executive Order 12866, Regulatory Planning and Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. The Office of Management and Budget has not reviewed it under that Order.</P>
        <P>Although this proposed rule prevents traffic from transiting a portion of certain waterways during specified events, the effect of this regulation will not be significant due to the limited duration that the regulated area will be in effect and the extensive advance notifications that will be made to the maritime community via marine information broadcasts, local radio stations and area newspapers, so mariners can adjust their plans accordingly. Additionally, this rulemaking does not change the permanent regulated areas that have been published in 33 CFR 100.501, Table to § 100.501. In some cases vessel traffic may be able to transit the regulated area when the Coast Guard Patrol Commander deems it is safe to do so.</P>
        <HD SOURCE="HD2">Small Entities</HD>
        <P>Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have considered whether this proposed rule would have a significant economic impact on a substantial number of small entities. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000.</P>
        <P>The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed rule would not have a significant economic impact on a substantial number of small entities. This rule would affect the following entities, some of which might be small entities: The owners or operators of vessels intending to transit or anchor in the area where the marine events are being held. This regulation will not have a significant impact on a substantial number of small entities because it will be enforced only during marine events that have been permitted by the Coast Guard Captain of the Port. The Captain of the Port will ensure that small entities are able to operate in the areas where events are occurring when it is safe to do so. In some cases, vessels will be able to safely transit around the regulated area at various times, and, with the permission of the Patrol Commander, vessels may transit through the regulated area. Before the enforcement period, the Coast Guard will issue maritime advisories so mariners can adjust their plans accordingly.</P>

        <P>If you think that your business, organization, or governmental jurisdiction qualifies as a small entity and that this rule would have a significant economic impact on it, please submit a comment (<E T="03">see</E>
          <E T="02">ADDRESSES</E>) explaining why you think it qualifies and how and to what degree this rule would economically affect it.</P>
        <HD SOURCE="HD2">Assistance for Small Entities</HD>

        <P>Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we want to assist small entities in understanding this proposed rule so that they can better evaluate its effects on them and participate in the rulemaking. If the rule would affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please contact the individual listed under<E T="02">FOR FURTHER INFORMATION CONTACT</E>at the beginning of this rule. The Coast Guard will not retaliate against small entities that<PRTPAGE P="1567"/>question or complain about this proposed rule or any policy or action of the Coast Guard.</P>
        <HD SOURCE="HD2">Collection of Information</HD>
        <P>This proposed rule would call for no new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).</P>
        <HD SOURCE="HD2">Federalism</HD>
        <P>A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on State or local governments and would either preempt State law or impose a substantial direct cost of compliance on them. We have analyzed this proposed rule under that Order and have determined that it does not have implications for federalism.</P>
        <HD SOURCE="HD2">Unfunded Mandates Reform Act</HD>
        <P>The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 or more in any one year. Though this proposed rule would not result in such an expenditure, we do discuss the effects of this rule elsewhere in this preamble.</P>
        <HD SOURCE="HD2">Taking of Private Property</HD>
        <P>This proposed rule would not effect a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.</P>
        <HD SOURCE="HD2">Civil Justice Reform</HD>
        <P>This proposed rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.</P>
        <HD SOURCE="HD2">Protection of Children</HD>
        <P>We have analyzed this proposed rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and would not create an environmental risk to health or risk to safety that might disproportionately affect children.</P>
        <HD SOURCE="HD2">Indian Tribal Governments</HD>
        <P>This proposed rule does not have tribal implications under Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, because it would not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes.</P>
        <HD SOURCE="HD2">Energy Effects</HD>
        <P>We have analyzed this proposed rule under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. We have determined that it is not a “significant energy action” under that order because it is not a “significant regulatory action” under Executive Order 12866 and is not likely to have a significant adverse effect on the supply, distribution, or use of energy. The Administrator of the Office of Information and Regulatory Affairs has not designated it as a significant energy action. Therefore, it does not require a Statement of Energy Effects under Executive Order 13211.</P>
        <HD SOURCE="HD2">Technical Standards</HD>
        <P>The National Technology Transfer and Advancement Act (NTTAA) (15 U.S.C. 272 note) directs agencies to use voluntary consensus standards in their regulatory activities unless the agency provides Congress, through the Office of Management and Budget, with an explanation of why using these standards would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (e.g., specifications of materials, performance, design, or operation; test methods; sampling procedures; and related management systems practices) that are developed or adopted by voluntary consensus standards bodies.</P>
        <P>This proposed rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards.</P>
        <HD SOURCE="HD2">Environment</HD>
        <P>We have analyzed this proposed rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have made a preliminary determination that this action is one of a category of actions, under paragraph 34(h), which do not individually or cumulatively have a significant effect on the human environment. This rule involves implementation of regulations within 33 CFR Part 100 that apply to organized marine events on the navigable waters of the United States that may have potential for negative impact on the safety or other interest of waterway users and shore side activities in the event area. The category of water activities includes but is not limited to sail boat regattas, boat parades, power boat racing, swimming events, crew racing, and sail board racing. Under figure 2-1, paragraph (34)(h), of the Instruction, an “Environmental Analysis Check List” and a “Categorical Exclusion Determination” are not required for this rule. We seek any comments or information that may lead to the discovery of a significant environmental impact from this proposed rule.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 33 CFR Part 100</HD>
          <P>Marine safety, Navigation (water), Reporting and recordkeeping requirements, Waterways.</P>
        </LSTSUB>
        <P>For the reasons discussed in the preamble, the Coast Guard proposes to amend 33 CFR part 100 as follows:</P>
        <PART>
          <HD SOURCE="HED">PART 100—SAFETY OF LIFE ON NAVIGABLE WATERS</HD>
          <P>1. The authority citation for part 100 continues to read as follows:</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>33 U.S.C. 1233.</P>
          </AUTH>
          
          <P>2. In § 100.501, suspend entries No. 13, No. 19, No. 21 and No. 23 in the Table to § 100.501.</P>
          <P>3. In the Table to § 100.501, add entries 65, 66, 67, and 68 to read as follows:</P>
          <SECTION>
            <SECTNO>§ 100.501-T05-1094</SECTNO>
            <SUBJECT>Special Local Regulations; Recurring Marine Event in the Fifth Coast Guard District.</SUBJECT>
            <STARS/>
            <P>Table To § 100.501.-All coordinates listed in the Table to § 100.501 reference Datum NAD 1983.</P>
            
            <PRTPAGE P="1568"/>
            <GPOTABLE CDEF="xs36,r25,r25,r25,r150" COLS="5" OPTS="L1,i1">
              <TTITLE>Coast Guard Sector Baltimore—COTP Zone</TTITLE>
              <BOXHD>
                <CHED H="1">Number</CHED>
                <CHED H="1">Date</CHED>
                <CHED H="1">Event</CHED>
                <CHED H="1">Sponsor</CHED>
                <CHED H="1">Location</CHED>
              </BOXHD>
              <ROW>
                <ENT I="22"/>
              </ROW>
              <ROW>
                <ENT I="28">*******</ENT>
              </ROW>
              <ROW>
                <ENT I="01">65</ENT>
                <ENT>April 2, 2011</ENT>
                <ENT>Safety at Sea Seminar</ENT>
                <ENT>U.S. Naval Academy</ENT>
                <ENT>All waters of the Severn River from shoreline to shoreline, bounded to the northwest by a line drawn from the south shoreline at latitude 39°00′38.9″ N., longitude 076°31′05.2″ W. thence to the north shoreline at latitude 39°00′54.7″ N., longitude 076°30′44.8″ W., this line is approximately 1300 yards northwest of the U.S. 50 fixed highway bridge. The regulated area is bounded to the southeast by a line drawn from the Naval Academy Light at latitude 38°58′39.5″ N., longitude 076°28′49″ W. thence southeast to a point 700 yards east of Chinks Point, MD, at latitude 38°58′1.9″ N., longitude 076°28′1.7″ W. thence northeast to Greenbury Point at latitude 38°58′29″ N., longitude 076°27′16″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
              </ROW>
              <ROW>
                <ENT I="28">*******</ENT>
              </ROW>
              <ROW>
                <ENT I="01">66</ENT>
                <ENT>May 24 and 25, 2011</ENT>
                <ENT>Blue Angels Air Show</ENT>
                <ENT>U.S. Naval Academy</ENT>
                <ENT>All waters of the Severn River from shoreline to shoreline, bounded to the northwest by a line drawn from the south shoreline at latitude 39°00′38.9″ N., longitude 076°31′05.2″ W. thence to the north shoreline at latitude 39°00′54.7″ N., longitude 076°30′44.8″ W., this line is approximately 1300 yards northwest of the U.S. 50 fixed highway bridge. The regulated area is bounded to the southeast by a line drawn from the Naval Academy Light at latitude 38°58′39.5″ N., longitude 076°28′49″ W. thence southeast to a point 700 yards east of Chinks Point, MD, at latitude 38°58′1.9″ N., longitude 076°28′1.7″ W. thence northeast to Greenbury Point at latitude 38°58′29″ N., longitude 076°27′16″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
              </ROW>
              <ROW>
                <ENT I="28">*******</ENT>
              </ROW>
              <ROW>
                <ENT I="01">67</ENT>
                <ENT>June 25, 2011</ENT>
                <ENT>Maryland Swim for Life</ENT>
                <ENT>District of Columbia Aquatics Club</ENT>
                <ENT>The waters of the Chester River from shoreline to shoreline, bounded on the south by a line drawn at latitude 39°10′16″  N., near the Chester River Channel Buoy 35 (LLN-26795) and bounded on the north at latitude 39°12′30″  N by the Maryland S.R. 213 Highway Bridge.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
              </ROW>
              <ROW>
                <ENT I="28">*******</ENT>
              </ROW>
              <ROW>
                <ENT I="01">68</ENT>
                <ENT>June 25 and 26, 2011</ENT>
                <ENT>Thunder on the Narrows</ENT>
                <ENT>Kent Narrows Racing Association</ENT>
                <ENT>All waters of Prospect Bay enclosed by the following points: Latitude 38°57′52.0″ N., longitude 076°14′48.0″ W., to latitude 38°58′02.0″ N., longitude 076°15′05.0″ W., to latitude 38°57′38.0″ N., longitude 076°15′29.0″ W., to latitude 38°57′28.0″ N., longitude 076°15′23.0″ W., to latitude 38°57′52.0″ N., longitude 076°14′48.0″ W.</ENT>
              </ROW>
            </GPOTABLE>
            <STARS/>
          </SECTION>
          <SIG>
            <DATED>Dated: December 16, 2010.</DATED>
            <NAME>Mark P. O'Malley,</NAME>
            <TITLE>Captain, U.S. Coast Guard, Captain of the Port Baltimore, MD.</TITLE>
          </SIG>
        </PART>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-169 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9110-04-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Coast Guard</SUBAGY>
        <CFR>33 CFR Parts 100 and 165</CFR>
        <DEPDOC>[Docket No. USCG-2010-0110]</DEPDOC>
        <RIN>RIN 1625-AA08; AA01</RIN>
        <SUBJECT>Special Local Regulations and Safety Zones; Recurring Events in Northern New England</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Coast Guard, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of proposed rulemaking.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Coast Guard proposes to amend special local regulations and to establish permanent safety zones in the Coast Guard Northern New England Captain of the Port Zone for annual recurring marine events. When these special local regulations or safety zones are activated, and thus subject to enforcement, this rule would restrict vessels from portions of water areas during annual events listed in TABLES 1 and 2 that pose a hazard to public safety. The revised special local regulations and safety zones are proposed to reduce administrative overhead, expedite public notification of events, and to ensure the protection of the maritime public and event participants from the hazards associated with firework displays, boat races, and other marine events.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments and related material must be received by the Coast Guard on or before February 10, 2011. Requests for public meetings must be received by the Coast Guard on or before February 1, 2011.</P>
        </EFFDATE>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may submit comments identified by docket number USCG-2010-0110 using any one of the following methods:</P>
          <P>(1)<E T="03">Federal e-Rulemaking Portal: http://www.regulations.gov.</E>
          </P>
          <P>(2)<E T="03">Fax:</E>202-493-2251.</P>
          <P>(3)<E T="03">Mail:</E>Docket Management Facility (M-30), U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001.</P>
          <P>(4)<E T="03">Hand Delivery:</E>Same as mail address above, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The telephone number is 202-366-9329.</P>

          <P>To avoid duplication, please use only one of these four methods. See the “Public Participation and Request for Comments” portion of the<E T="02">SUPPLEMENTARY INFORMATION</E>section below for instructions on submitting comments.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>If you have questions on this proposed rule, call or e-mail Lieutenant Junior Grade Terence Leahy, Waterways Management Division at Coast Guard Sector Northern New England, telephone 207-767-0398, e-mail<E T="03">Terence.O.Leahy@uscg.mil.</E>If you have questions on viewing or submitting material to the docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202-366-9826.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <PRTPAGE P="1569"/>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Public Participation and Request for Comments</HD>

        <P>We encourage you to participate in this rulemaking by submitting comments and related materials. All comments received will be posted without change to<E T="03">http://www.regulations.gov</E>and will include any personal information you have provided.</P>
        <HD SOURCE="HD2">Submitting Comments</HD>

        <P>If you submit a comment, please include the docket number for this rulemaking (USCG-2010-0110), indicate the specific section of this document to which each comment applies, and provide a reason for each suggestion or recommendation. You may submit your comments and material online (via<E T="03">http://www.regulations.gov</E>) or by fax, mail, or hand delivery, but please use only one of these means. If you submit a comment online via<E T="03">http://www.regulations.gov,</E>it will be considered received by the Coast Guard when you successfully transmit the comment. If you fax, hand deliver, or mail your comment, it will be considered as having been received by the Coast Guard when it is received at the Docket Management Facility. We recommend that you include your name and a mailing address, an e-mail address, or a telephone number in the body of your document so that we can contact you if we have questions regarding your submission.</P>
        <P>To submit your comment online, go to<E T="03">http://www.regulations.gov,</E>click on the “submit a comment” box, which will then become highlighted in blue. In the “Document Type” drop down menu select “Proposed Rule” and insert “USCG-2010-0110” in the “Keyword” box. Click “Search” then click on the balloon shape in the “Actions” column. If you submit your comments by mail or hand delivery, submit them in an unbound format, no larger than 8<FR>1/2</FR>by 11 inches, suitable for copying and electronic filing. If you submit comments by mail and would like to know that they reached the Facility, please enclose a stamped, self-addressed postcard or envelope. We will consider all comments and material received during the comment period and may change the rule based on your comments.</P>
        <HD SOURCE="HD2">Viewing Comments and Documents</HD>

        <P>To view comments, as well as documents mentioned in this preamble as being available in the docket, go to<E T="03">http://www.regulations.gov,</E>click on the “read comments” box, which will then become highlighted in blue. In the “Keyword” box insert “USCG-2010-0110” and click “Search.” Click the “Open Docket Folder” in the “Actions” column. You may also visit the Docket Management Facility in Room W12-140 on the ground floor of the Department of Transportation West Building, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. We have an agreement with the Department of Transportation to use the Docket Management Facility.</P>
        <HD SOURCE="HD2">Privacy Act</HD>

        <P>Anyone can search the electronic form of 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 a Privacy Act notice regarding our public dockets in the January 17, 2008, issue of the<E T="04">Federal Register</E>(73 FR 3316).</P>
        <HD SOURCE="HD2">Public Meeting</HD>

        <P>We do not now plan to hold a public meeting. But you may submit a request for one on or before February 1, 2011, using one of the four methods specified under<E T="02">ADDRESSES</E>. Please explain why you believe a public meeting would be beneficial. If we determine that one would aid this rulemaking, we will hold one at a time and place announced by a later notice in the<E T="04">Federal Register</E>.</P>

        <P>For information on facilities or services for individuals with disabilities or to request special assistance at the public meeting, contact Lieutenant Junior Grade Terence Leahy at the telephone number or e-mail address indicated under the<E T="02">FOR FURTHER INFORMATION CONTACT</E>section of this notice.</P>
        <HD SOURCE="HD2">Basis and Purpose</HD>
        <P>Marine events are annually held on a recurring basis on the navigable waters within the Coast Guard Northern New England Captain of the Port Zone. These events include sailing regattas, powerboat races, rowboat races, parades, swim events, and fireworks displays. In the past, the Coast Guard has established special local regulations and regulated navigation areas for these events on a case by case basis to ensure the protection of the maritime public and event participants from the hazards associated with these marine events. Issuing individual regulations annually has proved to be administratively cumbersome.</P>
        <P>This proposed rule will significantly relieve administrative overhead and consistently apprise the public in a timely manner through permanent publication in Title 33 of the Code of Federal Regulations. The TABLES in this proposed regulation list each recurring marine event requiring a regulated area as administered by the Coast Guard.</P>
        <P>By establishing permanent regulations for these events, the Coast Guard will eliminate the need to establish temporary rules for events that occur on an annual basis. This provides opportunity for the public to comment while limiting the unnecessary burden of continually establishing temporary rules every year. Some of the events discussed below are duplicated in 33 CFR 100.114, a citation that no longer meets the Coast Guard's intended purposes. While 33 CFR part 100 is designed for Regattas and Marine Parades, 33 CFR part 165 is for Regulated Navigation Areas and Limited Access Areas. The Coast Guard has identified a number of events in 33 CFR part 100 which would be more appropriately located in 33 CFR part 165. This rulemaking will amend local regulations for events already contained in 33 CFR part 100 both to update event information as well as to move firework displays to part 165, a citation that better meets the Coast Guard's intended purpose of ensuring safety during these events.</P>
        <P>In addition, the Coast Guard has promulgated safety zones or special local regulations for all of these 52 areas in the past, and has not received public comments or concerns regarding the impact to waterway traffic from these annually recurring events.</P>
        <HD SOURCE="HD1">Discussion of Proposed Rule</HD>

        <P>The Coast Guard proposes to remove sections 33 CFR 100.107, 100.108, 100.109, 100.110, 100.111, 100.118, to revise 33 CFR 100.114, and to add 33 CFR 100.120, and 33 CFR 165.171. The proposed changes will effectively remove six outdated special local regulations and establish 52 new permanent regulated areas. The proposed rule will apply to each recurring marine event listed in the attached TABLES in the Coast Guard Northern New England Captain of the Port Zone. The TABLES provide the event name, sponsor, and type, as well as approximate dates and locations of the events. Additionally, the specific times, dates, regulated areas, and enforcement period for each event will be provided in a Notice of Enforcement published in the<E T="04">Federal Register</E>and through Local Notice to Mariners and Broadcast Notice to Mariners prior to each event. The particular size of the<PRTPAGE P="1570"/>safety zones established for each event will be reevaluated on an annual basis in accordance with Navigational and Vessel Inspection Circular (NVIC) 07-02, Marine Safety at Firework Displays, the National Fire Protection Association Standard 1123, Code for Fireworks Displays (100-foot distance per inch of diameter of the fireworks mortars), and other pertinent regulations and publications.</P>
        <P>This proposed regulation would prevent vessels from transiting areas specifically designated as special local regulations or safety zones during the periods of enforcement to ensure the protection of the maritime public and event participants from the hazards associated with listed marine events. Only event sponsors, designated participants, and official patrol vessels will be allowed to enter safety zones and special local regulation areas. Spectators and other vessels not registered as event participants may not enter the regulated areas without the permission of the Captain of the Port or his assigned representatives.</P>
        <HD SOURCE="HD1">Regulatory Analyses</HD>
        <P>We developed this proposed rule after considering numerous statutes and executive orders related to rulemaking. Below we summarize our analyses based on 13 of these statutes or executive orders.</P>
        <HD SOURCE="HD2">Regulatory Planning and Review</HD>
        <P>This proposed rule is not a significant regulatory action under section 3(f) of Executive Order 12866, Regulatory Planning and Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. The Office of Management and Budget has not reviewed it under that Order.</P>
        <P>We expect the economic impact of this proposed rule to be so minimal that a full Regulatory Evaluation is unnecessary. Although this regulation may have some impact on the public, the potential impact will be minimized for the following reasons: vessels will only be restricted from safety zones and special local regulation areas for a short duration of time unless otherwise noted; vessels may transit in all portions of the affected waterway except for those areas covered by the proposed zones; the Coast Guard has promulgated safety zones or special local regulations in accordance with 33 CFR parts 100 and 165 for all event areas in the past and has not received notice of any negative impact caused by any of the safety zones or special local regulations; and notifications will also be made to the local maritime community by the Local Notice to Mariners and Broadcast Notice to Mariners well in advance of the events. The effect of this proposed action simply establishes the approximate dates on which the existing regulations would be enforced and consolidates them within one regulation. No new or additional restrictions will be imposed on vessel traffic.</P>
        <HD SOURCE="HD2">Small Entities</HD>
        <P>Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have considered whether this proposed rule would have a significant economic impact on a substantial number of small entities. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000.</P>
        <P>The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed rule would not have a significant economic impact on a substantial number of small entities. This proposed rule would affect the following entities, some of which might be small entities: owners or operators of vessels intending to transit, fish, or anchor in the areas where marine events are being held. For the reasons outlined in the Regulatory Planning and Review section above, this rule would not have a significant impact on a substantial number of small entities.</P>

        <P>If you think that your business, organization, or governmental jurisdiction qualifies as a small entity and that this rule would have a significant economic impact on it, please submit a comment (<E T="03">see</E>
          <E T="02">ADDRESSES</E>) explaining why you think it qualifies and how and to what degree this rule would economically affect it.</P>
        <HD SOURCE="HD2">Assistance for Small Entities</HD>

        <P>Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we want to assist small entities in understanding this proposed rule so that they can better evaluate its effects on them and participate in the rulemaking. If the rule would affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please contact the person listed under<E T="02">FOR FURTHER INFORMATION CONTACT</E>. The Coast Guard will not retaliate against small entities that question or complain about this proposed rule or any policy or action of the Coast Guard.</P>
        <HD SOURCE="HD2">Collection of Information</HD>
        <P>This proposed rule would call for no new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).</P>
        <HD SOURCE="HD2">Federalism</HD>
        <P>A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on State or local governments and would either preempt State law or impose a substantial direct cost of compliance on them. We have analyzed this proposed rule under that Order and have determined that it does not have implications for federalism.</P>
        <HD SOURCE="HD2">Unfunded Mandates Reform Act</HD>
        <P>The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 (adjusted for inflation) or more in any one year. Though this proposed rule would not result in such expenditure, we do discuss the effects of this rule elsewhere in this preamble.</P>
        <HD SOURCE="HD2">Taking of Private Property</HD>
        <P>This proposed rule would not effect a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights.</P>
        <HD SOURCE="HD2">Civil Justice Reform</HD>
        <P>This proposed rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden.</P>
        <HD SOURCE="HD2">Protection of Children</HD>
        <P>We have analyzed this proposed rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and would not create an environmental risk to health or risk to safety that might disproportionately affect children.</P>
        <HD SOURCE="HD2">Indian Tribal Governments</HD>

        <P>This proposed rule does not have tribal implications under Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, because it would not have a substantial direct effect on one or more Indian tribes, on the relationship<PRTPAGE P="1571"/>between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes.</P>
        <HD SOURCE="HD2">Energy Effects</HD>
        <P>We have analyzed this proposed rule under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. We have determined that it is not a “significant energy action” under that order because it is not a “significant regulatory action” under Executive Order 12866 and is not likely to have a significant adverse effect on the supply, distribution, or use of energy. The Administrator of the Office of Information and Regulatory Affairs has not designated it as a significant energy action. Therefore, it does not require a Statement of Energy Effects under Executive Order 13211.</P>
        <HD SOURCE="HD2">Technical Standards</HD>

        <P>The National Technology Transfer and Advancement Act (NTTAA) (15 U.S.C. 272) directs agencies to use voluntary consensus standards in their regulatory activities unless the agency provides Congress, through the Office of Management and Budget, with an explanation of why using these standards would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (<E T="03">e.g.,</E>specifications of materials, performance, design, or operation; test methods; sampling procedures; and related management systems practices) that are developed or adopted by voluntary consensus standards bodies.</P>
        <P>This proposed rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards.</P>
        <HD SOURCE="HD2">Environment</HD>
        <P>We have analyzed this proposed rule under Department of Homeland Security Management Directive 023-01 and Commandant Instruction M16475.lD, which guide the Coast Guard in complying with the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have made a preliminary determination that this action appears to be one of a category of actions which do not individually or cumulatively have a significant effect on the human environment.</P>

        <P>A preliminary environmental analysis checklist supporting this determination is available in the docket where indicated under<E T="02">ADDRESSES</E>. This proposed rule involves safety zones and special local regulations concerning water activities including boat regattas, parades and races, swimming events, and fireworks displays. This rule appears to be categorically excluded, under paragraphs (34)(g) and 34(h) of the Instruction.</P>
        <P>We seek any comments or information that may lead to the discovery of a significant environmental impact from this proposed rule.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects</HD>
          <CFR>33 CFR Part 100</CFR>
          <P>Marine safety, Navigation (water), Reporting and recordkeeping requirements, Waterways.</P>
          <CFR>33 CFR Part 165</CFR>
          <P>Harbors, Marine safety, Navigation (water), Reporting and recordkeeping requirements, Security measures, Waterways.</P>
        </LSTSUB>
        
        <P>For the reasons discussed in the preamble, the Coast Guard proposes to amend 33 CFR parts 100 and 165 as follows:</P>
        <PART>
          <HD SOURCE="HED">PART 100—SAFETY OF LIFE ON NAVIGABLE WATERS</HD>
          <P>1. The authority citation for part 100 reads as follows:</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>33 U.S.C. 1233.</P>
          </AUTH>
          <SECTION>
            <SECTNO>§§ 100.107, 100.108, 100.109, 100.110, 100.111, and 100.118</SECTNO>
            <SUBJECT>[Removed]</SUBJECT>
            <P>2. Remove §§ 100.107, 100.108, 100.109, 100.110, 100.111, and 100.118.</P>
            <P>
              <E T="03">§ 100.114 [Amended]</E>
            </P>
            <P>3. In § 100.114, amend the table in paragraph (a) by removing the entries for 6.1, 7.3, 7.8, 7.12, 7.13, 7.14, 7.15, 7.41, 8.8, and 9.2,</P>
            <P>4. Add a new § 100.120 to read as follows:</P>
          </SECTION>
          <SECTION>
            <SECTNO>§ 100.120</SECTNO>
            <SUBJECT>Special Local Regulations; Marine Events Held in the Coast Guard Sector Northern New England Captain of the Port Zone.</SUBJECT>

            <P>The following regulations apply to the marine events listed in TABLE to §<E T="03">100.120.</E>These regulations will be enforced for the duration of each event, on or about the dates indicated. Annual notice of the exact dates and times of the effective period of the regulations with respect to each event, the geographical description of each regulated area, and details concerning the nature of the event and the number of participants and type(s) of vessels involved will be published in a Notice of Enforcement in the<E T="04">Federal Register</E>and in Local Notices to Mariners. Mariners should consult the<E T="04">Federal Register</E>or their Local Notice to Mariners to remain apprised of schedule or event changes. First Coast Guard District Local Notice to Mariners can be found at:<E T="03">http://www.navcen.uscg.gov/.</E>The Sector Northern New England Marine Events schedule can also be viewed electronically at<E T="03">http://www.homeport.uscg.mil.</E>
            </P>
            <NOTE>
              <HD SOURCE="HED">Note to introductory paragraph of § 100.20:</HD>
              <P>
                <E T="03">Although listed in the Code of Federal Regulations, sponsors of events</E>listed in TABLE to §<E T="03">100.120</E>are still required to submit marine event applications in accordance with 33 CFR 100.15.</P>
            </NOTE>
            <P>(a) The Coast Guard may patrol each event area under the direction of a designated Coast Guard Patrol Commander. The Patrol Commander may be contacted on Channel 16 VHF-FM (156.8 MHz) by the call sign “PATCOM.” Official patrol vessels may consist of any Coast Guard, Coast Guard Auxiliary, state, or local law enforcement vessels assigned or approved by the Captain of the Port, Sector Northern New England.</P>
            <P>(b) Vessels may not transit the regulated areas without the Patrol Commander approval. Vessels permitted to transit must operate at a no wake speed, in a manner which will not endanger participants or other crafts in the event.</P>
            <P>(c) Spectators or other vessels shall not anchor, block, loiter, or impede the transit of event participants or official patrol vessels in the regulated areas during the effective dates and times, or dates and times as modified through the Local Notice to Mariners, unless authorized by an official patrol vessel.</P>
            <P>(d) The Patrol Commander may control the movement of all vessels in the regulated area. When hailed or signaled by an official patrol vessel, a vessel shall come to an immediate stop and comply with the lawful directions issued. Failure to comply with a lawful direction may result in expulsion from the area, citation for failure to comply, or both.</P>
            <P>(e) The Patrol Commander may delay or terminate any marine event in this subpart at any time it is deemed necessary to ensure the safety of life or property.</P>
            <P>(f) For all power boat races listed, vessels operating within the regulated area must be at anchor within a designated spectator area or moored to a waterfront facility in a way that will not interfere with the progress of the event.</P>
            <P>(g) For all regattas and boat parades listed, spectator vessels operating within the regulated area shall maintain a separation of at least 50 yards from the participants.</P>

            <P>(h) For all rowing and paddling boat races listed, vessels not associated with<PRTPAGE P="1572"/>the event shall maintain a separation of at least 50 yards from the participants.</P>
            <GPOTABLE CDEF="s100,r200" COLS="2" OPTS="L2,p1,8/9,i1">
              <TTITLE>Table to § 100.120</TTITLE>
              <BOXHD>
                <CHED H="1"/>
                <CHED H="1"/>
              </BOXHD>
              <ROW RUL="s">
                <ENT I="21">5.0</ENT>
                <ENT O="oi0">MAY</ENT>
              </ROW>
              <ROW>
                <ENT I="01">5.1Tall Ships Visiting Portsmouth</ENT>
                <ENT>• Event Type: Regatta and Boat Parade.<LI>• Sponsor: Portsmouth Maritime Commission, Inc.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A four day event from Friday through Monday during the last weekend in May, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 am to 8:00 pm each day.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portsmouth Harbor, New Hampshire in the vicinity of Castle Island within the following points (NAD 83):43°03′11″ N, 070°42′26″ W;43°03′18″ N, 070°41′51″ W;43°04′42″ N, 070°42′11″ W;43°04′28″ N, 070°44′12″ W;43°05′36″ N, 070°45′56″ W;43°05′29″ N, 070°46′09″ W;43°04′19″ N, 070°44′16″ W;43°04′22″ N, 070°42′33″ W.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">6.0</ENT>
                <ENT O="oi0">JUNE</ENT>
              </ROW>
              <ROW>
                <ENT I="01">6.1Bar Harbor Blessing of the Fleet</ENT>
                <ENT>• Event Type: Regatta and Boat Parade.<LI>• Sponsor: Town of Bar Harbor, Maine.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the first weekend of June, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 12:00 pm to 1:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Bar Harbor, Maine within the following points (NAD 83):44°23′32″ N, 068°12′19″ W;44°23′30″ N, 068°12′00″ W;44°23′37″ N, 068°12′00″ W;44°23′35″ N, 068°12′19″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">6.2Charlie Begin Memorial Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Boothbay Harbor Lobster Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the third weekend of June, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 3:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Boothbay Harbor, Maine in the vicinity of John's Island within the following points (NAD 83):43°50′04″ N, 069°38′37″ W;43°50′54″ N, 069°38′06″ W;43°50′49″ N, 069°37′50″ W;43°50′00″ N, 069°38′20″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">6.3Rockland Harbor Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Rockland Harbor Lobster Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the third weekend of June, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 am to 5:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Rockland Harbor, Maine in the vicinity of the Rockland Breakwater Light within the following points (NAD 83):44°05′59″ N, 069°04′53″ W;44°06′43″ N, 069°05′25″ W;44°06′50″ N, 069°05′05″ W;44°06′05″ N, 069°04′34″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">6.4Windjammer Days Parade of Ships</ENT>
                <ENT>• Event Type: Tall Ship Parade.<LI>• Sponsor: Boothbay Region Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Wednesday during the last week of June, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 12:00 pm to 5:00 pm.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Boothbay Harbor, Maine in the vicinity of Tumbler's Island within the following points (NAD 83):43°51′02″ N, 069°37′33″ W;43°50′47″ N, 069°37′31″ W;43°50′23″ N, 069°37′57″ W;43°50′01″ N, 069°37′45″ W;43°50′01″ N, 069°38′31″ W;43°50′25″ N, 069°38′25″ W;43°50′49″ N, 069°37′45″ W.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">7.0</ENT>
                <ENT O="oi0">JULY</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.1Moosabec Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Moosabec Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event held on July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 12:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Jonesport, Maine within the following points (NAD 83):44°31′21″ N, 067°36′44″ W;44°31′36″ N, 067°36′47″ W;44°31′44″ N, 067°35′36″ W;44°31′29″ N, 067°35′33″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.2The Great Race</ENT>
                <ENT>• Event Type: Rowing and Paddling Boat Race.<LI>• Sponsor: Franklin County Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the first week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 12:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Lake Champlain in the vicinity of Saint Albans Bay within the following points (NAD 83):44°47′18″ N, 073°10′27″ W;44°47′10″ N, 073°08′51″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.3Searsport Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Searsport Lobster Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <PRTPAGE P="1573"/>
                <ENT I="22"/>
                <ENT>• Time: 9:00 am to 4:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Searsport Harbor, Maine within the following points (NAD 83):44°26′50″ N, 068°55′20″ W;44°27′04″ N, 068°55′26″ W;44°27′12″ N, 068°54′35″ W;44°26′59″ N, 068°54′29″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.4Stonington Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Stonington Lobster Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 am to 3:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Stonington, Maine within the following points (NAD 83):44°08′55″ N, 068°40′12″ W;44°09′00″ N, 068°40′15″ W;44°09′11″ N, 068°39′42″ W;44°09′07″ N, 068°39′39″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.5Mayor's Cup Regatta</ENT>
                <ENT>• Event Type: Sailboat Parade.<LI>• Sponsor: Plattsburgh Sunrise Rotary.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 4:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Cumberland Bay on Lake Champlain in the vicinity of Plattsburgh, New York within the following points (NAD 83):44°39′26″ N, 073°26′25″ W;44°41′27″ N, 073°23′12″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.6The Challenge Race</ENT>
                <ENT>• Event Type: Rowing and Paddling Boat Race.<LI>• Sponsor: Lake Champlain Maritime Museum.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the third week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 11:00 am to 3:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Lake Champlain in the vicinity of Button Bay State Park within the following points (NAD 83):44°12′25″ N, 073°22′32″ W;44°12′00″ N, 073°21′42″ W;44°12′19″ N, 073°21′25″ W;44°13′16″ N, 073°21′36″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.7Friendship Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Friendship Lobster Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the last week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:30 am to 3:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Friendship Harbor, Maine within the following points (NAD 83):43°57′51″ N, 069°20′46″ W;43°58′14″ N, 069°19′53″ W;43°58′19″ N, 069°20′01″ W;43°58′00″ N, 069°20′46″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.8Arthur Martin Memorial Regatta</ENT>
                <ENT>• Event Type: Rowing and Paddling Boat Race.<LI>• Sponsor: I Row.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the last week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 am to 1:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of the Piscataqua River, in the vicinity of Kittery Point, Maine within the following points (NAD 83):43°03′51″ N, 070°41′55″ W;43°04′35″ N, 070°42′18″ W;43°04′42″ N, 070°43′15″ W;43°05′14″ N, 070°43′12″ W;43°05′14″ N, 070°43′06″ W;43°04′44″ N, 070°43′11″ W;43°04′35″ N, 070°42′13″ W;43°03′53″ N, 070°41′40″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.9Harpswell Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Harpswell Lobster Boat Race Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the last week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 3:00 pm.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Potts Harbor, Maine within the following points (NAD 83):43°46′50″ N, 070°01′37″ W;43°46′50″ N, 070°01′18″ W;43°46′28″ N, 070°01′36″ W;43°46′28″ N, 070°01′19″ W.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">8.0</ENT>
                <ENT O="oi0">AUGUST</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.1Eggemoggin Reach Regatta</ENT>
                <ENT>• Event Type: Wooden Boat Parade.<LI>• Sponsor: Rockport Marine, Inc. and Brookline Boat Yard.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the first week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 11:00 am to 7:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Eggemoggin Reach and Jericho Bay in the vicinity of Naskeag Harbor, Maine within the following points (NAD 83):44°15′16″ N, 068°36′26″ W;44°12′41″ N, 068°29′26″ W;44°07′38″ N, 068°31′30″ W;44°12′54″ N, 068°33′46″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.2Southport Rowgatta Rowing and Paddling Boat Race</ENT>
                <ENT>• Event Type: Rowing and Paddling Boat Race.<LI>• Sponsor: Boothbay Region YMCA.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 am to 3:00 pm.</ENT>
              </ROW>
              <ROW>
                <PRTPAGE P="1574"/>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Sheepscot Bay and Boothbay, on the shore side of Southport Island, Maine within the following points (NAD 83):43°50′26″ N, 069°39′10″ W;43°49′10″ N, 069°38′35″ W;43°46′53″ N, 069°39′06″ W;43°46′50″ N, 069°39′32″ W;43°49′07″ N, 069°41′43″ W;43°50′19″ N, 069°41′14″ W;43°51′11″ N, 069°40′06″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.3Winter Harbor Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Winter Harbor Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 am to 3:00 pm.<LI>• Location: The regulated area includes all waters of Winter Harbor, Maine within the following points (NAD 83):44°22′06″ N, 068°05′13″ W;44°23′06″ N, 068°05′08″ W;44°23′04″ N, 068°04′37″ W;44°22′05″ N, 068°04′44″ W.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.4Lake Champlain Dragon Boat Festival</ENT>
                <ENT>• Event Type: Rowing and Paddling Boat Race.<LI>• Sponsor: Dragonheart Vermont.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the second week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 7:00 am to 5:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Burlington Bay within the following points (NAD 83):44°28′51″ N, 073°13′28″ W;44°28′40″ N, 073°13′40″ W;44°28′37″ N, 073°13′29″ W;44°28′40″ N, 073°13′17″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.5 Merritt Brackett Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Town of Bristol, Maine.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the second week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 3:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Pemaquid Harbor, Maine within the following points (NAD 83):43°52′16″ N, 069°32′10″ W;43°52′41″ N, 069°31′43″ W;43°52′35″ N, 069°31′29″ W;43°52′09″ N, 069°31′56″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.6Multiple Sclerosis Regatta</ENT>
                <ENT>• Event Type: Regatta and Sailboat Race.<LI>• Sponsor: Maine Chapter, Multiple Sclerosis Society.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the third week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 4:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area for the start of the race includes all waters of Casco Bay, Maine in the vicinity of Peaks Island within the following points (NAD 83):43°40′24″ N, 070°14′20″ W;43°40′36″ N, 070°13′56″ W;43°39′58″ N, 070°13′21″ W;43°39′46″ N, 070°13′51″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.7Multiple Sclerosis Harborfest Tugboat Race</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Maine Chapter, National Multiple Sclerosis Society.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the third week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 10:00 am to 3:00 pm.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portland Harbor, Maine in the vicinity of Maine State Pier within the following points (NAD 83):43°40′25″ N, 070°14′21″ W;43°40′36″ N, 070°13′56″ W;43°39′58″ N, 070°13′21″ W;43°39′47″ N, 070°13′51″ W.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">9.0</ENT>
                <ENT O="xl" O1="oi0">SEPTEMBER</ENT>
              </ROW>
              <ROW>
                <ENT I="01">9.1Eastport Pirates Festival Lobster Boat Races</ENT>
                <ENT>• Event Type: Power Boat Race.<LI>• Sponsor: Eastport Pirates Festival.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Sunday during the second weekend of September, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 11:00 am to 6:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters in the vicinity of Eastport Harbor, Maine within the following points (NAD 83):44°54′14″ N, 066°58′52″ W;44°54′14″ N, 068°58′56″ W;44°54′24″ N, 066°58′52″ W;44°54′24″ N, 066°58′56″ W.</ENT>
              </ROW>
            </GPOTABLE>
          </SECTION>
        </PART>
        <PART>
          <HD SOURCE="HED">PART 165—REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS</HD>
          <P>5. The authority citation for part 165 reads as follows:</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub. L. 107-295, 116 Stat. 2064; Department of Homeland Security Delegation No. 0170.1.</P>
            <P>6. Add a new § 165.171 to read as follows:</P>
          </AUTH>
          <SECTION>
            <SECTNO>§ 165.171</SECTNO>
            <SUBJECT>Safety Zones for Fireworks Displays held in Coast Guard Sector Northern New England Captain of the Port Zone.</SUBJECT>

            <P>The Coast Guard is establishing safety zones for the fireworks displays listed in TABLE to §<E T="03">165.171.</E>These regulations will be enforced for the duration of each event, on or about the dates indicated in TABLE to §<E T="03">165.171.</E>Annual notice of the exact dates and times of the effective period of the regulations with respect to each firework displays, the geographical description of each regulated area, and details concerning the nature of the event and the number of participants and type(s) of vessels involved will be published in a Notice of Enforcement in the Federal Register and in Local Notices to Mariners. Mariners should consult the<E T="04">Federal Register</E>and their Local Notice to Mariners to remain apprised of minor schedule or event changes. First Coast Guard District Local Notice to Mariners can be found at:<E T="03">http://www.navcen.uscg.gov/</E>. The<PRTPAGE P="1575"/>Sector Northern New England Marine Events schedule can also be viewed electronically at:<E T="03">http://www.homeport.uscg.mil</E>.</P>
            <NOTE>
              <HD SOURCE="HED">Note to introductory paragraph of § 165.171:</HD>
              <P>
                <E T="03">Although listed in the Code of Federal Regulations, sponsors of events listed in</E>TABLE to §<E T="03">165.171 shall submit an application each year in accordance with 33 CFR 100.15.</E>
              </P>
            </NOTE>
            <P>(a) The Coast Guard may patrol each event area under the direction of a designated Coast Guard Patrol Commander. The Patrol Commander may be contacted on Channel 16 VHF-FM (156.8 MHz) by the call sign “PATCOM.” The “official patrol vessels” may consist of any Coast Guard, Coast Guard Auxiliary, state, or local law enforcement vessels assigned or approved by the Captain of the Port, Sector Northern New England.</P>
            <P>(b) Vessels may not transit the regulated areas without Patrol Commander approval. Vessels permitted to transit must operate at a no wake speed, in a manner which will not endanger participants or other crafts in the event.</P>
            <P>(c) Spectators or other vessels shall not anchor, block, loiter, or impede the movement of event participants or official patrol vessels in the regulated areas during the effective dates and times, or dates and times as modified through the Local Notice to Mariners, unless authorized by an official patrol vessel.</P>
            <P>(d) The Patrol Commander may control the movement of all vessels in the regulated area. When hailed or signaled by an official patrol vessel, a vessel shall come to an immediate stop and comply with the lawful directions issued. Failure to comply with a lawful direction may result in expulsion from the area, citation for failure to comply, or both.</P>
            <P>(e) The Patrol Commander may delay or terminate any event in this subpart at any time to assure safety. Such action may be justified as a result of weather, traffic density, spectator operation or participant behavior.</P>
            <P>(f) For all swim events listed, vessels not associated with the event shall maintain a separation zone of 200 feet from participating swimmers.</P>

            <P>(g) For all fireworks displays listed below, the regulated area is that area of navigable waters within a 350 yard radius of the launch platform or launch site for each fireworks display, unless modified in USCG District 1 Local Notice to Mariners at:<E T="03">http://www.navcen.uscg.gov/</E>.</P>
            <GPOTABLE CDEF="s100,r200" COLS="2" OPTS="L2,p1,8/9,i1">
              <TTITLE>Table to § 165.171</TTITLE>
              <BOXHD>
                <CHED H="1"/>
                <CHED H="1"/>
              </BOXHD>
              <ROW RUL="s">
                <ENT I="21">6.0</ENT>
                <ENT O="oi0">JUNE</ENT>
              </ROW>
              <ROW>
                <ENT I="01">6.1Windjammer Days Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Boothbay Harbor Region Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>

                <ENT>• Date: One night event on Wednesday during the last week of June, as specified in the USCG District 1 Local Notice to Mariners at:<E T="03">www.navcen.uscg.gov/?pageName=lnmDistrict&amp;region=1</E>.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of McFarland Island, Boothbay Harbor, Maine in approximate position: 43°50′38″ N, 069°37′57″ W (NAD 83).</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">7.0</ENT>
                <ENT O="oi0">JULY</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.1Burlington Independence Day Fireworks</ENT>
                <ENT>• Event Type: Firework Display.<LI>• Sponsor: City of Burlington, Vermont.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 3rd, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 pm to 11:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: From a barge in the vicinity of Burlington Harbor, Burlington, Vermont in approximate position: 44°28′31″ N, 073°13′31″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.2Camden 3rd of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Camden, Rockport, Lincolnville Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 3rd, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Hampton Beach, New Hampshire in approximate position: 44°12′32″ N, 069°02′58″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.3Bangor 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Bangor 4th of July Fireworks.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of the Bangor Waterfront, Bangor, Maine in approximate position: 44°47′27″ N, 068°46′31″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.4Bar Harbor 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Bar Harbor Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Bar Harbor Town Pier, Bar Harbor, Maine in approximate position: 44°23′31″ N, 068°12′15″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.5Boothbay Harbor 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Town of Boothbay Harbor.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of McFarland Island, Boothbay Harbor, Maine in approximate position: 43°50′38″ N, 069°37′57″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.6Colchester 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Town of Colchester, Recreation Department.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:00 pm.</ENT>
              </ROW>
              <ROW>
                <PRTPAGE P="1576"/>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Bayside Beach and Mallets Bay in Colchester, Vermont at approximate position:  44°32′44″ N, 073°13′10″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.7Eastport 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Eastport 4th of July Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 pm to 9:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: From the Waterfront Public Pier in Eastport, Maine at approximate position: 44°54′25″ N, 066°58′55″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.8Hampton Beach 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Hampton Beach Village District.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:30 pm to 11:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Hampton Beach, New Hampshire in approximate position:  42°54′40″ N, 070°48′31″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.9Jonesport 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Jonesport 4th of July Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:30 pm to 10:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Beals Island, Jonesport, Maine in approximate position: 44°31′18″ N, 067°36′43″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.10Main Street Heritage Days 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Main Street Inc.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Reed and Reed Boat Yard, Woolwich, Maine in approximate position:  43°54′56″ N, 069°48′16″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.11Portland Harbor 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Department of Parks and Recreation, Portland, Maine.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:30 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of East End Beach, Portland, Maine in approximate position: 43°40′16″ N, 070°14′44″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.12St. Albans Day Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: St. Albans Area Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 pm to 10:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: From the St. Albans Bay dock in St. Albans Bay, Vermont in the approximate position: 44°48′25″ N, 073°08′23″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.13Stonington 4th of July Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Deer Isle—Stonington Chamber of Commerce.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: July 4th, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Two Bush Island, Stonington, Maine in approximate position: 44°08′57″ N, 068°39′54″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.14Urban/EPIC Triathlon</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Tri-Maine Productions.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 7:00 am to 11:00 am.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portland Harbor in the vicinity of East End Beach in Portland, Maine within the following points (NAD 83): 43°40′00″ N, 070°14′20″ W;43°40′00″ N, 070°14′00″ W;43°40′15″ N, 070°14′29″ W;43°40′17″ N, 070°13′22″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.15Tri for a Cure Swim Clinics</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Maine Cancer Foundation.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A two day event held on third Sunday and Thursday in July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 12:30 pm to 7:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portland Harbor, Maine in the vicinity of Spring Point Light within the following points (NAD 83): 43°39′01″ N, 070°13′32″ W;43°39′07″ N, 070°13′29″ W;43°39′06″ N, 070°13′41″ W;43°39′01″ N, 070°13′36″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.16Richmond Days Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Town of Richmond, Maine.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the fourth weekend of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: From a barge in the vicinity of the inner harbor, Tenants Harbor, Maine in approximate position: 44°08′42″ N, 068°27′06″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.17Colchester Triathlon</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Colchester Parks and Recreation Department.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Wednesday during the last week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 7:00 am to 11:00 am.</ENT>
              </ROW>
              <ROW>
                <PRTPAGE P="1577"/>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Malletts Bay on Lake Champlain, Vermont within the following points (NAD 83): 44°32′18″ N, 073°12′35″ W;44°32′28″ N, 073°12′56″ W;44°32′57″ N, 073°12′38″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7.18Peaks to Portland Swim</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Cumberland County YMCA.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the last week of July, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 5:00 am to 1:00 pm.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portland Harbor between Peaks Island and East End Beach in Portland, Maine within the following points (NAD 83):  43°39′20″ N, 070°11′58″ W;43°39′45″ N, 070°13′19″ W;43°40′11″ N, 070°14′13″ W;43°40′08″ N, 070°14′29″ W;43°40′00″ N, 070°14′23″ W;43°39′34″ N, 070°13′31″ W;43°39′13″ N, 070°11′59″ W.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">8.0</ENT>
                <ENT O="oi0">AUGUST</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.1Sprucewold Cabbage Island Swim</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Sprucewold Association.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the first week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 1:00 pm to 6:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Linekin Bay between Cabbage Island and Sprucewold Beach in Boothbay Harbor, Maine within the following points (NAD 83):  43°50′37″ N, 069°36′23″ W;43°50′37″ N, 069°36′59″ W;43°50′16″ N, 069°36′46″ W;43°50′22″ N, 069°36′21″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.2Westerlund's Landing Party Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Portside Marina.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the first weekend of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Westerlund's Landing in South Gardiner, Maine in approximate position:44°10′19″ N, 069°45′24″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.3Y-Tri Triathlon</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Plattsburgh YMCA.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the first week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 9:00 am to 10:00 am.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Treadwell Bay on Lake Champlain in the vicinity of Point Au Roche State Park, Plattsburgh, New York within the following points (NAD 83): 44°46′30″ N, 073°23′26″ W;44°46′17″ N, 073°23′26″ W;44°46′17″ N, 073°23′46″ W;44°46′29″ N, 073°23′46″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.4Greater Burlington YMCA Lake Swim</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Greater Burlington YMCA.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the second week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 am to 6:00 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters in Lake Champlain in the vicinity of North Hero Island within the following points (NAD 83): 44°46′55″ N, 073°22′14″ W;44°47′08″ N, 073°19′05″ W;44°46′48″ N, 073°17′13″ W;44°46′10″ N, 073°16′39″ W;44°41′08″ N, 073°20′58″ W;44°41′36″ N, 073°23′01″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.5Tri for a Cure Triathlon</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Maine Cancer Foundation.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on the second Sunday in August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 12:30 pm to 4:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portland Harbor, Maine in the vicinity of Spring Point Light within the following points (NAD 83): 43°39′01″ N, 070°13′32″ W;43°39′07″ N, 070°13′29″ W;43°39′06″ N, 070°13′41″ W;43°39′01″ N, 070°13′36″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.6Tri for a Cure Swim Clinics</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Maine Cancer Foundation.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A two day event held on the first and second Saturday in August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:30 am to 11:30 am.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Portland Harbor, Maine in the vicinity of Spring Point Light within the following points (NAD 83): 43°39′01″ N, 070°13′32″ W;43°39′07″ N, 070°13′29″ W;43°39′06″ N, 070°13′41″ W;43°39′01″ N, 070°13′36″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8.7Rockland Breakwater Swim</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Pen-Bay Masters.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the fourth week of August, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 7:30 am to 1:30 pm.</ENT>
              </ROW>
              <ROW RUL="s">
                <PRTPAGE P="1578"/>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters of Rockland Harbor, Maine in the vicinity of Jameson Point within the following points (NAD 83): 44°06′16″ N, 069°04′39″ W;44°06′13″ N, 069°04′36″ W;44°06′12″ N, 069°04′43″ W;44°06′17″ N, 069°04′44″ W;44°06′18″ N, 069°04′40″ W.</ENT>
              </ROW>
              <ROW RUL="s">
                <ENT I="21">9.0</ENT>
                <ENT O="oi0">SEPTEMBER</ENT>
              </ROW>
              <ROW>
                <ENT I="01">9.1Windjammer Weekend Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Town of Camden, Maine.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Friday during the first weekend of September, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 9:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: From a barge in the vicinity of Northeast Point, Camden Harbor, Maine in approximate position: 44°12′10″ N, 069°03′11″ W (NAD 83).</ENT>
              </ROW>
              <ROW>
                <ENT I="01">9.2The Lobsterman Triathlon</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Tri-Maine Productions.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day swim event on Saturday during the second weekend of September, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 am to 11:00 am.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters in the vicinity of Winslow Park in South Freeport, Maine within the following points (NAD 83): 43°47′59″ N, 070°06′56″ W;43°47′44″ N, 070°06′56″ W;43°47′44″ N, 070°07′27″ W;43°47′57″ N, 070°07′27″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">9.3Burlington Triathlon</ENT>
                <ENT>• Event Type: Swim Event.<LI>• Sponsor: Race Vermont.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day swim event on Sunday during the second weekend of September, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 7:00 am to 10:00 am.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: The regulated area includes all waters in the vicinity of North Beach, Burlington, Vermont within the following points (NAD 83): 44°29′31″ N 073°14′22″ W;44°29′12″ N 073°14′14″ W;44°29′17″ N 073°14′34″ W.</ENT>
              </ROW>
              <ROW>
                <ENT I="01">9.4Eliot Festival Day Fireworks</ENT>
                <ENT>• Event Type: Fireworks Display.<LI>• Sponsor: Eliot Festival Day Committee.</LI>
                </ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Date: A one day event on Saturday during the fourth weekend of September, as specified in the USCG District 1 Local Notice to Mariners.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Time: 8:00 pm to 10:30 pm.</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>• Location: In the vicinity of Eliot Town Boat Launch, Eliot, Maine in approximate position: 43°08′56″ N, 070°49′52″ W (NAD 83).</ENT>
              </ROW>
            </GPOTABLE>
          </SECTION>
          <SIG>
            <DATED>Dated: December 21, 2010.</DATED>
            <NAME>J.B. McPherson,</NAME>
            <TITLE>Captain, U.S. Coast Guard, Captain of the Port Sector Northern New England.</TITLE>
          </SIG>
        </PART>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-173 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9110-04-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="N">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
        <CFR>40 CFR Part 52</CFR>
        <DEPDOC>[EPA-R06-OAR-2010-0846; FRL-9250-5]</DEPDOC>
        <SUBJECT>Approval and Promulgation of Implementation Plans; New Mexico; Federal Implementation Plan for Interstate Transport of Pollution Affecting Visibility and Best Available Retrofit Technology Determination</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Environmental Protection Agency (EPA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of public hearing.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>On January 5, 2011, EPA published a proposal in the<E T="04">Federal Register</E>to disapprove a portion of a State Implementation Plan (SIP) revision submitted by the State of New Mexico and promulgate a Federal Implementation Plan (FIP) to prevent emissions from New Mexico sources from interfering with other states' measures to protect visibility, and to address the requirement for best available retrofit technology (BART) for nitrogen oxide (NO<E T="52">X</E>) emissions. EPA has scheduled an open house and public hearing for the proposal to be held in Farmington, New Mexico on February 17, 2011. More information is provided in<E T="02">SUPPLEMENTARY INFORMATION</E>.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The open house and public hearing will be held February 17, 2011, in Farmington, New Mexico.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>The open house and public hearing will be held at San Juan College, 4601 College Boulevard, Computer Science Building, Room 7103, Farmington, New Mexico 87402, (505) 326-3311. The open house will begin at 3 p.m. and end at 5 p.m. local time. The public hearing will begin at 6 p.m.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Joe Kordzi, Air Planning Section (6PD-L), Environmental Protection Agency, Region 6, 1445 Ross Avenue, Suite 700, Dallas, Texas 75202-2733, telephone (214) 665-7186, fax number (214) 665-7263; e-mail address<E T="03">kordzi.joe@epa.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>Throughout this document whenever “we”, “us”, or “our” is used, we mean the EPA. On January 5, 2011 (76 FR 491), we published a proposal in the<E T="04">Federal Register</E>to (1) disapprove a portion of a SIP revision submitted by the State of New Mexico and (2) promulgate a FIP to prevent emissions from New Mexico sources from interfering with other states' measures to protect visibility, and address the requirement for BART for NO<E T="52">X</E>emissions. Our proposal can be accessed through the regulations.gov Web site (Docket No. EPA-R06-OAR-2010-0846). We have scheduled an open house and public hearing for our proposal to be held on February 17, 2011, at San Juan College, 4601 College Boulevard, Computer Science Building, Room 7103, Farmington, New Mexico 87402, (505) 326-3311. The open house will begin at 3 p.m. and end at 5 p.m. local time. The public hearing will begin at 6 p.m.</P>

        <P>The public hearing will provide interested parties the opportunity to present views or arguments concerning<PRTPAGE P="1579"/>our proposal. Interested parties may also submit written comments, as discussed in the proposal. Written statements and supporting information submitted during the comment period will be considered with the same weight as any oral comments and supporting information presented at the public hearing. We will not respond to comments during the public hearing. When we publish our final action, we will provide written responses to all oral and written comments received on our proposal. To provide opportunities for questions and discussion, we will hold an open house prior to the public hearing. During the open house, EPA staff will be available to informally answer questions on our proposed action. Any comments made to EPA staff during the open house must still be provided formally in writing or orally during the public hearing in order to be considered in the record.</P>
        <P>Oral testimony may be limited to 5 minutes for each commenter to address the proposal. We will not be providing equipment for commenters to show overhead slides or make computerized slide presentations. Any person may provide written or oral comments and data pertaining to our proposal at the Public Hearing. Verbatim transcripts, in English, of the hearing and written statements will be included in the rulemaking docket.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Carl E. Edlund,</NAME>
          <TITLE>Multimedia Planning and Permitting Division Director, Region 6.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-374 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6560-50-P</BILCOD>
    </PRORULE>
    <PRORULE>
      <PREAMB>
        <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
        <CFR>40 CFR Part 52</CFR>
        <DEPDOC>[EPA-R10-OAR-2010-1072, FRL-9250-2]</DEPDOC>
        <SUBJECT>Approval and Promulgation of Implementation Plans; State of Idaho; Regional Haze State Implementation Plan and Interstate Transport Plan</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Environmental Protection Agency (EPA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Proposed rule.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>EPA is proposing to approve a State Implementation Plan (SIP) revision submitted by the State of Idaho on October 25, 2010, as meeting the requirements of Clean Air Act (CAA) section 110(a)(2)(D)(i)(II) as it applies to visibility for the 1997 8-hour ozone and 1997 particulate matter (PM2.5) National Ambient Air Quality Standards (NAAQS). EPA is also proposing to approve a portion of the revision as meeting certain requirements of the regional haze program, including the requirements for best available retrofit technology (BART).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Written comments must be received at the address below on or before February 10, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Submit your comments, identified by Docket ID No. EPA-R10-OAR-2010-1072 by one of the following methods:</P>
          <P>•<E T="03">http://www.regulations.gov.</E>Follow the on-line instructions for submitting comments.</P>
          <P>•<E T="03">E-mail: R10-Public_Comments@epa.gov.</E>
          </P>
          <P>•<E T="03">Mail:</E>Steve Body, EPA Region 10, Suite 900, Office of Air, Waste and Toxics, 1200 Sixth Avenue, Seattle, WA 98101.</P>
          <P>•<E T="03">Hand Delivery:</E>EPA Region 10, 1200 Sixth Avenue, Suite 900, Seattle, WA 98101.</P>
          <P>
            <E T="03">Attention:</E>Steve Body, Office of Air, Waste and Toxics, AWT-107. Such deliveries are only accepted during normal hours of operation, and special arrangements should be made for deliveries of boxed information.</P>
          <P>
            <E T="03">Instructions:</E>Direct your comments to Docket ID No. EPA-R10-OAR-2010-1072. EPA's policy is that all comments received will be included in the public docket without change and may be made available online at<E T="03">http://www.regulations.gov,</E>including any personal information provided, unless the comment includes information claimed to be Confidential Business Information (CBI) or other information whose disclosure is restricted by statute. Do not submit information that you consider to be CBI or otherwise protected through<E T="03">http://www.regulations.gov</E>or e-mail. The<E T="03">http://www.regulations.gov</E>Web site is an “anonymous access” system, which means EPA will not know your identity or contact information unless you provide it in the body of your comment. If you send an e-mail comment directly to EPA, without going through<E T="03">http://www.regulations.gov,</E>your e-mail address will be automatically captured and included as part of the comment that is placed in the public docket and made available on the Internet. If you submit an electronic comment, EPA recommends that you include your name and other contact information in the body of your comment and with any disk or CD-ROM you submit. If EPA cannot read your comment due to technical difficulties and cannot contact you for clarification, EPA may not be able to consider your comment. Electronic files should avoid the use of special characters, any form of encryption, and be free of any defects or viruses.</P>
          <P>
            <E T="03">Docket:</E>All documents in the docket are listed in the<E T="03">http://www.regulations.gov</E>index. Although listed in the index, some information is not publicly available (<E T="03">e.g.,</E>CBI or other information whose disclosure is restricted by statute). Certain other material, such as copyrighted material, will be publicly available only in hard copy form. Publicly available docket materials are available either electronically at<E T="03">http://www.regulations.gov</E>or in hard copy at the Office of Air, Waste and Toxics, EPA Region 10, 1200 Sixth Avenue, Seattle, WA 98101. EPA requests that if at all possible, you contact the individual listed below to view a hard copy of the docket.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Steve Body at telephone number (206) 553-0782,<E T="03">body.steve@epa.gov,</E>or the above EPA, Region 10 address.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Throughout this document whenever “we,” “us,” or “our” is used, we mean the EPA. Information is organized as follows:</P>
        <HD SOURCE="HD1">Table of Contents</HD>
        <EXTRACT>
          <FP SOURCE="FP-2">I. Background for EPA's Proposed Action</FP>
          <FP SOURCE="FP1-2">A. Definition of Regional Haze</FP>
          <FP SOURCE="FP1-2">B. Regional Haze Rules and Regulations</FP>
          <FP SOURCE="FP1-2">C. Roles of Agencies in Addressing Regional Haze</FP>
          <FP SOURCE="FP1-2">D. Interstate Transport for Visibility</FP>
          <FP SOURCE="FP-2">II. Requirements for the Regional Haze SIP</FP>
          <FP SOURCE="FP1-2">A. The CAA and the Regional Haze Rule</FP>
          <FP SOURCE="FP1-2">B. Determination of Baseline, Natural, and Current Visibility Conditions</FP>
          <FP SOURCE="FP1-2">C. Consultation with States and Federal Land Managers</FP>
          <FP SOURCE="FP1-2">D. Best Available Retrofit Technology</FP>
          <FP SOURCE="FP-2">III. EPA's Analysis of the Idaho Regional Haze SIP</FP>
          <FP SOURCE="FP1-2">A. Affected Class I Areas</FP>
          <FP SOURCE="FP1-2">B. Baseline and Natural Conditions</FP>
          <FP SOURCE="FP1-2">C. Idaho Emissions Inventories</FP>
          <FP SOURCE="FP1-2">D. Sources of Visibility Impairment in Idaho Class I Areas</FP>
          <FP SOURCE="FP1-2">E. Best Available Retrofit Technology</FP>
          <FP SOURCE="FP1-2">F. TASCO BART Analysis</FP>
          <FP SOURCE="FP1-2">G. Monsanto/P4 BART Analysis</FP>
          <FP SOURCE="FP1-2">H. Improvement in Visibility from BART at TASCO, Nampa and Monsanto/P4</FP>
          <FP SOURCE="FP-2">IV. EPA's Analysis of Whether Regional Haze SIP Submittal Meets Interstate Transport Requirements</FP>
          <FP SOURCE="FP-2">V. What action is EPA proposing?</FP>
          <FP SOURCE="FP-2">VI. Scope of Action</FP>
          <FP SOURCE="FP-2">VII. Statutory and Executive Order Reviews</FP>
        </EXTRACT>
        <HD SOURCE="HD1">I. Background for EPA's Proposed Action</HD>

        <P>In the CAA Amendments of 1977, Congress established a program to protect and improve visibility in the national parks and wilderness areas.<E T="03">See</E>
          <PRTPAGE P="1580"/>CAA section 169(A). Congress amended the visibility provisions in the CAA in 1990 to focus attention on the problem of regional haze.<E T="03">See</E>CAA section 169(B). EPA promulgated regulations in 1999 to implement sections 169A and 169B of the Act. These regulations require states to develop and implement plans to ensure reasonable progress toward improving visibility in mandatory Class I Federal areas<SU>1</SU>
          <FTREF/>(Class I areas). 64 FR 35714 (July 1, 1999);<E T="03">see also</E>70 FR 39104 (July 6, 2005) and 71 FR 60612 (October 13, 2006).</P>
        <FTNT>
          <P>
            <SU>1</SU>Areas designated as mandatory Class I Federal areas consist of national parks exceeding 6,000 acres, wilderness areas and national memorial parks exceeding 5,000 acres, and all international parks that were in existence on August 7, 1977. 42 U.S.C. 7472(a). In accordance with section 169A of the CAA, EPA, in consultation with the Department of Interior, promulgated a list of 156 areas where visibility is identified as an important value. 44 FR 69122 (November 30, 1979). The extent of a mandatory Class I area includes subsequent changes in boundaries, such as park expansions. 42 U.S.C. 7472(a). Although states and tribes may designate as Class I additional areas which they consider to have visibility as an important value, the requirements of the visibility program set forth in section 169A of the CAA apply only to “mandatory Class I Federal areas.” Each mandatory Class I Federal area is the responsibility of a “Federal Land Manager.” 42 U.S.C. 7602(i). When we use the term “Class I area” in this action, we mean a “mandatory Class I Federal area.”</P>
        </FTNT>
        <P>In this action, EPA is proposing to approve certain provisions of Idaho's Regional Haze SIP submission addressing the requirements for best available retrofit technology (BART), the calculation of baseline and natural visibility conditions, and the statewide inventory of visibility-impairing pollutants. EPA is also proposing to approve the provisions of Idaho's SIP submittal addressing BART as meeting Idaho's obligations under section 110(a)(2)(D)(i)(I) of the Act for visibility. EPA is not taking action today on those provisions of the Regional Haze SIP submittal related to reasonable progress goals and the long term strategy.</P>
        <HD SOURCE="HD2">A. Definition of Regional Haze</HD>

        <P>Regional haze is impairment of visual range or colorization caused by emission of air pollution produced by numerous sources and activities, located across a broad regional area. The sources include but are not limited to, major and minor stationary sources, mobile sources, and area sources including non-anthropogenic sources. Visibility impairment is primarily caused by fine particulate matter (PM2.5) or secondary aerosol formed in the atmosphere from precursor gasses (<E T="03">e.g.,</E>sulfur dioxide, nitrogen oxides, and in some cases, ammonia and volatile organic compounds). Atmospheric fine particulate reduces clarity, color, and visual range of visual scenes. Visibility reducing fine particulate is primarily composed of sulfate, nitrate, organic carbon compounds, elemental carbon, and soil dust, and impairs visibility by scattering and absorbing light. Fine particulate can also cause serious health effects and mortality in humans, and contributes to environmental effects such as acid deposition and eutrophication.<SU>2</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>2</SU>
            <E T="03">See</E>64 FR at 35715.</P>
        </FTNT>
        <P>Data from the existing visibility monitoring network, the “Interagency Monitoring of Protected Visual Environments” (IMPROVE) monitoring network, show that visibility impairment caused by air pollution occurs virtually all the time at most national parks and wilderness areas. Average visual range in many Class I areas in the Western United States is 100-150 kilometers, or about one-half to two-thirds the visual range that would exist without manmade air pollution.<SU>3</SU>
          <FTREF/>Visibility impairment also varies day-to-day and by season depending on variation in meteorology and emission rates.</P>
        <FTNT>
          <P>
            <SU>3</SU>
            <E T="03">Id.</E>
          </P>
        </FTNT>
        <HD SOURCE="HD2">B. Regional Haze Rules and Regulations</HD>

        <P>In section 169A of the 1977 CAA Amendments, Congress created a program for protecting visibility in the nation's national parks and wilderness areas. This section of the CAA establishes as a national goal the “prevention of any future, and the remedying of any existing, impairment of visibility in Class I areas which impairment results from manmade air pollution.” CAA section 169A(a)(1). On December 2, 1980, EPA promulgated regulations to address visibility impairment in Class I areas that is “reasonably attributable” to a single source or small group of sources,<E T="03">i.e.,</E>“reasonably attributable visibility impairment”. 45 FR 80084. These regulations represented the first phase in addressing visibility impairment. EPA deferred action on regional haze that emanates from a variety of sources until monitoring, modeling and scientific knowledge about the relationships between pollutants and visibility impairment were improved.</P>
        <P>Congress added section 169B to the CAA in 1990 to address regional haze issues. EPA promulgated a rule to address regional haze on July 1, 1999 (64 FR 35713) (the RHR). The RHR revised the existing visibility regulations to integrate into the regulation provisions addressing regional haze impairment and established a comprehensive visibility protection program for Class I areas. The requirements for regional haze, found at 40 CFR 51.308 and 51.309, are included in EPA's visibility protection regulations at 40 CFR 51.300-309. Some of the main elements of the regional haze requirements are summarized in section III of this rulemaking. The requirement to submit a regional haze SIP applies to all 50 states, the District of Columbia and the Virgin Islands.<SU>4</SU>
          <FTREF/>40 CFR 51.308(b) requires states to submit the first implementation plan addressing regional haze visibility impairment no later than December 17, 2007.</P>
        <FTNT>
          <P>
            <SU>4</SU>Albuquerque/Bernalillo County in New Mexico must also submit a regional haze SIP to completely satisfy the requirements of section 110(a)(2)(D) of the CAA for the entire State of New Mexico under the New Mexico Air Quality Control Act (section 74-2-4).</P>
        </FTNT>
        <HD SOURCE="HD2">C. Roles of Agencies in Addressing Regional Haze</HD>
        <P>Successful implementation of the regional haze program will require long-term regional coordination among states, tribal governments and various Federal agencies. As noted above, pollution affecting the air quality in Class I areas can be transported over long distances, even hundreds of kilometers. Therefore, to effectively address the problem of visibility impairment in Class I areas, states need to develop strategies in coordination with one another, taking into account the effect of emissions from one jurisdiction on the air quality in another.</P>
        <P>Because the pollutants that lead to regional haze impairment can originate from across state lines, EPA has encouraged the States and Tribes to address visibility impairment from a regional perspective. Five regional planning organizations (RPOs) were created nationally to address regional haze and related issues. One of the main objectives of the RPOs is to develop and analyze data and conduct pollutant transport modeling to assist the States or Tribes in developing their regional haze plans.</P>

        <P>The Western Regional Air Partnership (WRAP), one of the five RPOs nationally, is a voluntary partnership of State, Tribal, Federal, and local air agencies dealing with air quality in the West. WRAP member States include: Alaska, Arizona, California, Colorado, Idaho, Montana, New Mexico, North Dakota, Oregon, South Dakota, Utah, Washington, and Wyoming. WRAP Tribal members include Campo Band of Kumeyaay Indians, Confederated Salish and Kootenai Tribes, Cortina Indian Rancheria, Hopi Tribe, Hualapai Nation<PRTPAGE P="1581"/>of the Grand Canyon, Native Village of Shungnak, Nez Perce Tribe, Northern Cheyenne Tribe, Pueblo of Acoma, Pueblo of San Felipe, and Shoshone-Bannock Tribes of Fort Hall.</P>
        <HD SOURCE="HD2">D. Interstate Transport for Visibility</HD>
        <P>On July 18, 1997, EPA promulgated new NAAQS for 8-hour ozone and for PM2.5. 62 FR 38652. Section 110(a)(1) of the CAA requires states to submit a plan to address certain requirements for a new or revised NAAQS within three years after promulgation of such standards, or within such shorter time as EPA may prescribe. Section 110(a)(2) of the CAA lists the elements that such new plan submissions must address, as applicable, including section 110(a)(2)(D)(i), which pertains to the interstate transport of certain emissions.</P>

        <P>On April 25, 2005, EPA published a “Finding of Failure to Submit SIPs for Interstate Transport for the 8-hour Ozone and PM2.5 NAAQS.” 70 FR 21147. This included a finding that Idaho and other states had failed to submit SIPs to address interstate transport of emissions affecting visibility and started a 2-year clock for the promulgation of a Federal Implementation Plan (FIP) by EPA, unless the state made a submission to meet the requirements of section 110(a)(2)(D)(i) and EPA approves such submission.<E T="03">Id.</E>
        </P>
        <P>On August 15, 2006, EPA issued guidance on this topic entitled “Guidance for State Implementation Plan (SIP) Submissions to Meet Current Outstanding Obligations Under section 110(a)(2)(D)(i) for the 8-Hour Ozone and PM2.5 National Ambient Air Quality Standards” (2006 Guidance). We developed the 2006 Guidance to make recommendations to states for making submissions to meet the requirements of section 110(a)(2)(D)(i) for the 1997 8-hour ozone standards and the 1997 PM2.5 standards.</P>
        <P>As identified in the 2006 Guidance, the “good neighbor” provisions in section 110(a)(2)(D)(i) of the CAA require each state to have a SIP that prohibits emissions that adversely affect other states in ways contemplated in the statute. Section 110(a)(2)(D)(i) contains four distinct requirements related to the impacts of interstate transport. The SIP must prevent sources in the state from emitting pollutants in amounts which will: (1) Contribute significantly to nonattainment of the NAAQS in other states; (2) interfere with maintenance of the NAAQS in other states; (3) interfere with provisions to prevent significant deterioration of air quality in other states; or (4) interfere with efforts to protect visibility in other states.</P>

        <P>With respect to establishing that emissions from sources in the state would not interfere with measures in other states to protect visibility, the 2006 Guidance recommended that states make a submission indicating that it was premature, at that time, to determine whether there would be any interference with measures in the applicable SIP for another state designed to “protect visibility” until the submission and approval of regional haze SIPs. Regional haze SIPs were required to be submitted by December 17, 2007.<E T="03">See</E>74 FR 2392. At this later point in time, however, EPA believes it is now necessary to evaluate such 110(a)(2)(D)(i) submissions from a state to ensure that the existing SIP, or the SIP as modified by the submission, contains adequate provisions to prevent interference with the visibility programs of other states, such as for consistency with the assumptions for controls relied upon by other states in establishing reasonable progress goals to address regional haze.</P>
        <P>The regional haze program, as reflected in the RHR, recognizes the importance of addressing the long-range transport of pollutants for visibility and encourages states to work together to develop plans to address haze. The regulations explicitly require each state to address its “share” of the emission reductions needed to meet the reasonable progress goals for neighboring Class I areas. States working together through a regional planning process, are required to address an agreed upon share of their contribution to visibility impairment in the Class I areas of their neighbors. 40 CFR 51.308(d)(3)(ii). Given these requirements, we anticipate that regional haze SIPs will contain measures that will achieve these emissions reductions, and that these measures will meet the requirements of section 110(a)(2)(D)(i).</P>
        <P>As a result of the regional planning efforts in the West, all states in the WRAP region contributed information to a Technical Support System (TSS) which provides an analysis of the causes of haze, and the levels of contribution from all sources within each state to the visibility degradation of each Class I area. The WRAP States consulted in the development of reasonable progress goals, using the products of this technical consultation process to co-develop their reasonable progress goals for the Western Class I areas. The modeling done by the WRAP relied on assumptions regarding emissions over the relevant planning period and embedded in these assumptions were anticipated emissions reductions in each of the States in the WRAP, including reductions from BART and other measures to be adopted as part of the State's long term strategy for addressing regional haze. The reasonable progress goals in the draft and final regional haze SIPs that have now been prepared by States in the West accordingly are based, in part, on the emissions reductions from nearby States that were agreed on through the WRAP process.</P>
        <P>Idaho submitted a Regional Haze SIP on October 25, 2010, to address the requirements of the RHR and the good neighbor provisions of section 110(a)(2)(D)(i) regarding visibility for the 1997 8-hour ozone NAAQS and the 1997 PM2.5 NAAQS. EPA has reviewed the submittal and concluded at this time to propose to take action on only certain elements of Idaho's Regional Haze SIP. EPA is required at this time, to propose to take action either to approve Idaho's SIP submittal, or otherwise to take action to meet the requirements of section 110(a)(2)(D)(i)(II) regarding visibility.<SU>5</SU>
          <FTREF/>EPA is proposing to find that certain elements of Idaho's Regional Haze SIP submittal meet these requirements. In particular, as explained in section IV of this action, EPA is proposing to find that the BART measures in Idaho's Regional Haze SIP submittal, which EPA is proposing to approve in this action, will also mean that the Idaho SIP meets the requirements of section 110(a)(2)(D)(i)(II) regarding visibility for the 1997 8-hour ozone and 1997 PM2.5 NAAQS.</P>
        <FTNT>
          <P>
            <SU>5</SU>
            <E T="03">Wildearth Guardians</E>v.<E T="03">Jackson,</E>Case No. 4:09-CV-02453-CW (N.D. Calif.)</P>
        </FTNT>
        <HD SOURCE="HD1">II. Requirements for Regional Haze SIPs</HD>
        <HD SOURCE="HD2">A. The CAA and the Regional Haze Rule</HD>

        <P>Regional haze SIPs must assure reasonable progress towards the national goal of achieving natural visibility conditions in Class I areas. Section 169A of the CAA and EPA's implementing regulations require states to establish long-term strategies for making reasonable progress toward meeting this goal. Implementation plans must also give specific attention to certain stationary sources that were in existence on August 7, 1977, but were not in operation before August 7, 1962, and require these sources, where appropriate, to install BART controls for the purpose of eliminating or reducing visibility impairment. The specific regional haze SIP requirements are discussed in further detail below.<PRTPAGE P="1582"/>
        </P>
        <HD SOURCE="HD2">B. Determination of Baseline, Natural, and Current Visibility Conditions</HD>
        <P>The RHR establishes the deciview (dv) as the principal metric for measuring visibility. This visibility metric expresses uniform changes in haziness in terms of common increments across the entire range of visibility conditions, from pristine to extremely hazy conditions. Visibility is determined by measuring the visual range (or deciview), which is the greatest distance, in kilometers or miles, at which a dark object can be viewed against the sky. The deciview is a useful measure for tracking progress in improving visibility, because each deciview change is an equal incremental change in visibility perceived by the human eye. Most people can detect a change in visibility at one deciview.<SU>6</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>6</SU>The preamble to the RHR provides additional details about the deciview. 64 FR 35714, 35725 (July 1, 1999).</P>
        </FTNT>

        <P>The deciview is used in expressing reasonable progress goals (which are interim visibility goals towards meeting the national visibility goal), defining baseline, current, and natural conditions, and tracking changes in visibility. The regional haze SIPs must contain measures that ensure “reasonable progress” toward the national goal of preventing and remedying visibility impairment in Class I areas caused by manmade air pollution by reducing anthropogenic emissions that cause regional haze. The national goal is a return to natural conditions,<E T="03">i.e.,</E>manmade sources of air pollution would no longer impair visibility in Class I areas.</P>

        <P>To track changes in visibility over time at each of the 156 Class I areas covered by the visibility program (40 CFR 81.401-437), and as part of the process for determining reasonable progress, states must calculate the degree of existing visibility impairment at each Class I area at the time of each regional haze SIP submittal and periodically review progress every five years midway through each 10-year implementation period. To do this, the RHR requires states to determine the degree of impairment (in deciviews) for the average of the 20% least impaired (“best”) and 20% most impaired (“worst”) visibility days over a specified time period at each of their Class I areas. In addition, states must also develop an estimate of natural visibility conditions for the purpose of comparing progress toward the national goal. Natural visibility is determined by estimating the natural concentrations of pollutants that cause visibility impairment and then calculating total light extinction based on those estimates. EPA has provided guidance to states regarding how to calculate baseline, natural and current visibility conditions in documents titled, EPA's<E T="03">Guidance for Estimating Natural Visibility Conditions Under the Regional Haze Rule,</E>September 2003, (EPA-454/B-03-005 located at<E T="03">http://www.epa.gov/ttncaaa1/t1/memoranda/rh_envcurhr_gd.pdf),</E>(hereinafter referred to as “EPA's 2003Natural Visibility Guidance”), and<E T="03">Guidance for Tracking Progress Under the Regional Haze Rule</E>(EPA-454/B-03-004 September 2003 located at<E T="03">http://www.epa.gov/ttncaaa1/t1/memoranda/rh_tpurhr_gd.pdf)</E>, (hereinafter referred to as “EPA's 2003 Tracking Progress Guidance”).</P>
        <P>For the first regional haze SIPs that were due by December 17, 2007, “baseline visibility conditions” were the starting points for assessing “current” visibility impairment. Baseline visibility conditions represent the degree of visibility impairment for the 20% least impaired days and 20% most impaired days for each calendar year from 2000 to 2004. Using monitoring data for 2000 through 2004, states are required to calculate the average degree of visibility impairment for each Class I area, based on the average of annual values over the five-year period. The comparison of initial baseline visibility conditions to natural visibility conditions indicates the amount of improvement necessary to attain natural visibility, while the future comparison of baseline conditions to the then current conditions will indicate the amount of progress made. In general, the 2000-2004 baseline time period is considered the time from which improvement in visibility is measured.</P>
        <HD SOURCE="HD2">C. Consultation With States and Federal Land Managers</HD>
        <P>The RHR requires that states consult with Federal Land Managers (FLMs) before adopting and submitting their SIPs. 40 CFR 51.308(i). States must provide FLMs an opportunity for consultation, in person and at least 60 days prior to holding any public hearing on the SIP. This consultation must include the opportunity for the FLMs to discuss their assessment of visibility impairment in any Class I area and to offer recommendations on the development of the reasonable progress goals and on the development and implementation of strategies to address visibility impairment. Further, a state must include in its SIP a description of how it addressed any comments provided by the FLMs. Finally, a SIP must provide procedures for continuing consultation between the state and FLMs regarding the state's visibility protection program, including development and review of SIP revisions, five-year progress reports, and the implementation of other programs having the potential to contribute to impairment of visibility in Class I areas.</P>
        <HD SOURCE="HD2">D. Best Available Retrofit Technology</HD>
        <P>Section 169A of the CAA directs states to evaluate the use of retrofit controls at certain larger, often uncontrolled, older stationary sources in order to address visibility impacts from these sources. Specifically, section 169A(b)(2)(A) of the CAA requires states to revise their SIPs to contain such measures as may be necessary to make reasonable progress towards the natural visibility goal, including a requirement that certain categories of existing major stationary sources<SU>7</SU>
          <FTREF/>built between 1962 and 1977 procure, install, and operate the “Best Available Retrofit Technology” as determined by the state. States are directed to conduct BART determinations for such sources that may be anticipated to cause or contribute to any visibility impairment in a Class I area. Rather than requiring source-specific BART controls, states also have the flexibility to adopt an emissions trading program or other alternative program as long as the alternative provides greater reasonable progress towards improving visibility than BART.</P>
        <FTNT>
          <P>
            <SU>7</SU>The set of “major stationary sources” potentially subject to BART is listed in CAA section 169A(g)(7).</P>
        </FTNT>
        <P>On July 6, 2005, EPA published the<E T="03">Guidelines for BART Determinations Under the Regional Haze Rule</E>at appendix Y to 40 CFR Part 51 (hereinafter referred to as the “BART Guidelines”) to assist states in determining which of their sources should be subject to the BART requirements and in determining appropriate emission limits for each applicable source. In making a BART applicability determination for a fossil fuel-fired electric generating plant with a total generating capacity in excess of 750 megawatts, a state must use the approach set forth in the BART Guidelines. A state is encouraged, but not required, to follow the BART Guidelines in making BART determinations for other types of sources.</P>

        <P>States must address all visibility-impairing pollutants emitted by a source in the BART determination process. The most significant visibility impairing pollutants are SO<E T="52">2</E>, NO<E T="52">X</E>, and PM. EPA has indicated that states should use their best judgment in determining<PRTPAGE P="1583"/>whether VOC or NH<E T="52">3</E>compounds impair visibility in Class I areas.</P>
        <P>The RPOs provided air quality modeling to the states to help them in determining whether potential BART sources can be reasonably expected to cause or contribute to visibility impairment in a Class I area. Under the BART Guidelines, states may select an exemption threshold value for their BART modeling, below which a BART-eligible source would not be expected to cause or contribute to visibility impairment in any Class I area. The state must document this exemption threshold value in the SIP and must state the basis for its selection of that value. Any source with emissions that model above the threshold value would be subject to a BART determination review. The BART Guidelines acknowledge varying circumstances affecting different Class I areas. States should consider the number of emission sources affecting the Class I areas at issue and the magnitude of the individual sources' impacts. Generally, an exemption threshold set by the state should not be higher than 0.5 deciview.</P>
        <P>In their SIPs, states must identify potential BART sources, described as “BART-eligible sources” in the RHR, and document their BART control determination analyses. The term “BART-eligible source” used in the BART Guidelines means the collection of individual emission units at a facility that together comprises the BART-eligible source. In making BART determinations, section 169A(g)(2) of the CAA requires that states consider the following factors: (1) The costs of compliance, (2) the energy and non-air quality environmental impacts of compliance, (3) any existing pollution control technology in use at the source, (4) the remaining useful life of the source, and (5) the degree of improvement in visibility which may reasonably be anticipated to result from the use of such technology. States are free to determine the weight and significance to be assigned to each factor.</P>
        <P>A regional haze SIP must include source-specific BART emission limits and compliance schedules for each source subject to BART. Once a state has made its BART determination, the BART controls must be installed and in operation as expeditiously as practicable, but no later than five years after the date EPA approves the regional haze SIP. CAA section 169(g)(4). 40 CFR 51.308(e)(1)(iv). In addition to what is required by the RHR, general SIP requirements mandate that the SIP must also include all regulatory requirements related to monitoring, recordkeeping, and reporting for the BART controls on the source. States have the flexibility to choose the type of control measures they will use to meet the requirements of BART.</P>
        <HD SOURCE="HD1">III. EPA's Analysis of Idaho Regional Haze SIP</HD>
        <HD SOURCE="HD2">A. Affected Class I Areas</HD>

        <P>There are five mandatory Class I areas, or portions of such areas, within Idaho. Craters of the Moon National Monument, Sawtooth Wilderness Area, and Selway-Bitterroot Wilderness Area lie completely within Idaho State borders. Hells Canyon Wilderness Area is a shared Class I area with Oregon, and Yellowstone National Park is a shared Class I area with Wyoming. See 40 CFR 81.410. Oregon and Wyoming respectively will address reasonable progress goals, monitoring, and other core requirements for these Class I areas. Idaho consulted with Oregon and Wyoming to determine Idaho's contribution to regional haze in those Class I areas and to determine appropriate measures for Idaho's long-term strategy.<E T="03">See</E>chapter 13, section 13.2 of the Idaho Regional Haze SIP submittal.<E T="03">See also</E>the WRAP Technical Support Document<SU>8</SU>
          <FTREF/>(WRAP TSD) supporting this action.</P>
        <FTNT>
          <P>
            <SU>8</SU>EPA evaluated the technical work products of the WRAP used by Idaho in support of this Regional Haze SIP submittal. The results of that evaluation are included in the document “WRAP Technical Support Document” or WRAP TSD.</P>
        </FTNT>
        <P>The Idaho SIP submittal addresses the three Class I areas that are completely within the State border and, as appropriate, Class I areas with shared jurisdiction with Oregon and Wyoming and Class I areas in neighboring states.</P>
        <HD SOURCE="HD2">B. Baseline and Natural Conditions</HD>
        <P>Idaho, using data from the IMPROVE monitoring network and analyzed by WRAP, established baseline and natural visibility conditions as well as the uniform rate of progress (URP) to achieve natural visibility conditions in 2064 for all Idaho Class I areas within its borders. While Idaho is responsible for establishing baseline and natural conditions for three Class I areas, the SIP also included these values for Hells Canyon Wilderness Area and Yellowstone National Park, as determined by WRAP and established by Oregon and Wyoming.</P>

        <P>Baseline visibility was calculated from monitoring data collected by IMPROVE monitors for the most-impaired (20% worst) days and the least-impaired (20% best) days. Idaho used the WRAP derived natural visibility conditions. In general, WRAP based their estimates on EPA guidance,<E T="03">Guidance for Estimating Natural Visibility Conditions Under the Regional Haze Program</E>(EPA-45/B-03-0005 September 2003) but incorporated refinements which EPA believes provides results more appropriate for western states than the general EPA default approach.<E T="03">See</E>section 2.E of the WRAP TSD.</P>
        <P>
          <E T="03">Craters of the Moon National Monument:</E>An IMPROVE monitor is located in Craters of the Moon National Monument. Based on baseline 2000 to 2004 data, the average 20% worst days visibility is 14 dv and the average 20% best days visibility is 4.3 dv. Natural visibility for the average 20% worst days is 7.53 dv.</P>
        <P>
          <E T="03">Hells Canyon Wilderness Area:</E>Hells Canyon Wilderness Area has an IMPROVE monitor located within the Wilderness Area at Oxbow Dam. Based on baseline 2000 to 2004 data, Oregon determined the average 20% worst days visibility is 18.55 dv and the average 20% best days visibility is 5.52 dv. Natural visibility for the average 20% worst days is 8.32 dv.</P>
        <P>
          <E T="03">Sawtooth Wilderness Area:</E>Sawtooth Wilderness Area has an IMPROVE monitor located within the Wilderness Area. Based on baseline 2000 to 2004 data, the average 20% worst days visibility is 13.78 dv and the average 20% best days visibility is 3.99 dv. Natural visibility for the average 20% worst days is 6.42 dv.</P>
        <P>
          <E T="03">Selway-Bitterroot Wilderness Area:</E>Selway-Bitterroot Wilderness Area visibility is represented by an IMPROVE monitor located 20 km east of the Wilderness Area in Sula, Montana. This site also represents visibility in the Anaconda-Pintler Wilderness Area. Based on baseline 2000 to 2004 data, the average 20% worst days visibility is 13.41 dv and the average 20% best days visibility is 2.58 dv for both areas. Natural visibility for the Selway-Bitteroot and the Anaconda-Pintler Wilderness Areas average 20% worst days is 7.43 dv.</P>
        <P>
          <E T="03">Yellowstone National Park:</E>Yellowstone National Park has an IMPROVE monitor located within the park. Based on baseline 2000 to 2004 data Wyoming determined the average 20% worst days visibility is 11.76 dv and the average 20% best days visibility is 2.58 dv. Natural visibility for the average 20% worst days is 6.24 dv.</P>

        <P>Based on our evaluation of the State's baseline and natural conditions analysis, EPA is proposing to find that Idaho has appropriately determined baseline visibility for the average 20% worst and 20% best days and natural visibility conditions for the average 20%<PRTPAGE P="1584"/>worst days in each Class I area within the state.<E T="03">See</E>the WRAP TSD supporting this action (section 2.D and 2.E).</P>
        <HD SOURCE="HD2">C. Idaho Emission Inventories</HD>
        <P>There are three main categories of air pollution emission sources: Point sources, area sources, and mobile sources. Point sources are larger stationary sources that emit pollutants through a stack or duct. Area sources are large numbers of small sources that are widely distributed across an area, such as residential heating units or re-entrained dust from unpaved roads or windblown dust form agricultural fields. Mobile sources are sources such as motor vehicles, locomotives and aircraft.</P>

        <P>The RHR requires a statewide emission inventory of pollutants that are reasonably anticipated to cause or contribute to visibility impairment in any mandatory Class I area. 40 CFR 51.308(d)(4)(v). The WRAP, with data supplied by the states, compiled emission inventories for all major source categories in Idaho for the 2002 baseline year and estimated emission inventories for 2018. Emission estimates for 2018 were generated from anticipated population growth, growth in industrial activity, and emission reductions from implementation of control measures, e.g., implementation of BART limitations, and motor vehicle tailpipe emissions. Appendix D of the Idaho Regional Haze SIP discusses how emission estimates were determined and contains the emission inventory. Detailed estimates of the emissions, used in the modeling conducted by the WRAP and Idaho, can be found at the WRAP Web site:<E T="03">http://vista.cira.colostate.edu/TSS/Results/Emissions.aspx.</E>
        </P>

        <P>There are a number of emission inventory source categories identified in the Idaho SIP: point, area, on-road mobile, off-road mobile, anthropogenic fire (prescribed forest fire, agricultural field burning, and residential wood combustion), natural fire, road dust, fugitive dust and windblown dust. The 2002 baseline and 2018 projected emissions, as well as the net changes of emissions between these two years, are presented in Tables 8-1 through 8-8 in the SIP submittal for SO<E T="52">2</E>, NO<E T="52">X</E>, Volatile Organic Carbon (VOC), Organic Carbon (OC), Elemental Carbon (EC), fine particulate (PM2.5), coarse particulate (PM coarse) and ammonia. The methods that WRAP used to develop these emission inventories are described in more detail in the WRAP TSD. As explained in the WRAP TSD, emissions were calculated using best available data and approved EPA methods.<E T="03">See</E>WRAP TSD section 12.</P>
        <P>SO<E T="52">2</E>emissions in Idaho come mostly from coal combustion at industrial boilers and from other industrial activities. SO<E T="52">2</E>emissions estimates for point sources came either from source test data (where available) or calculations based on fuel type and quantity burned. These industrial point sources contribute 45% of total statewide SO<E T="52">2</E>emissions. The second largest contributor to SO<E T="52">2</E>emissions in Idaho is fire: 31% from natural fire and 2% from anthropogenic fire.</P>
        <P>Idaho projects a 45% statewide reduction in point source SO<E T="52">2</E>emissions by 2018 due to implementation of BART emission limitations. Idaho also projects total 2018 statewide SO<E T="52">2</E>emissions to be reduced by 33.9% below 2002 levels as a result of BART and additional reductions from mobile sources and anthropogenic fire emissions. According to the State's analysis, overall point source emissions, the largest source category in 2002, are projected to be reduced by 46.7%. Area source emissions (8% of statewide SO<E T="52">2</E>emissions) are projected to increase 7.9% between 2002 and 2018 due to population growth. Idaho projects SO<E T="52">2</E>emissions associated with natural fire, the second largest source category in 2002, to remain unchanged and would become the largest source category in 2018.</P>
        <P>NO<E T="52">X</E>emissions in Idaho come mostly from mobile sources, both from on-road and off-road mobile sources, which contribute 46% of total statewide NO<E T="52">X</E>emissions. The second largest source category of NO<E T="52">X</E>emissions is area source emissions from combustion to heat buildings. Area source emissions account for 19% of statewide NO<E T="52">X</E>emissions. Idaho projects that 2018 total statewide emissions of NO<E T="52">X</E>will be 20.6% lower than 2002 levels. Idaho also projects on-road and off-road mobile source emissions to be reduced by 72.4% and 38.3% respectively by 2018, due to new Federal motor vehicle emission standards and fleet turnover. Idaho projects area source NO<E T="52">X</E>emissions to increase by 38.8% to become the largest source category in 2018 due to population growth and new industrial sources. Idaho projects natural fire emissions to remain unchanged and become the second largest NO<E T="52">X</E>source category in 2018.</P>
        <P>Volatile organic compounds (VOC) in Idaho come mostly from area sources such as industrial solvent use, paints, pharmaceuticals, and refrigerants, which contribute 46% of total VOC emissions. The second largest source category in VOC emissions is non-anthropogenic fire which contributes 25% of total VOC emissions, while the second largest source category of anthropogenic VOC is mobile sources. Idaho projects 2018 statewide VOC emissions to increase by 19.2% over 2002 levels even though on-road mobile, off-road mobile and anthropogenic VOC emissions are projected to decrease 61.7%, 32.2% and 52.3% respectively. This increase in VOC emissions is due to a projected 64.2% increase in area source VOC emissions primarily due to population growth and increased business activity.</P>
        <P>Organic carbon in Idaho comes from natural fire, anthropogenic fire and mobile sources. Natural fire is the largest source category, which contributes 82% of organic carbon emissions. The second largest source category is anthropogenic fire which contributes 15% of the total organic carbon emissions. Idaho projects 2018 statewide organic carbon emissions to decrease 7.6% from 2002 emission levels due to reductions in on-road mobile, off-road mobile, and anthropogenic fire of 10.8%, 43.1% and 51.6% respectively.</P>
        <P>Elemental carbon is associated with incomplete combustion. The largest source category is natural fire, which contributes 72% of total elemental carbon emissions. The second largest source category is off-road mobile sources (diesel) which contributes 14% of total elemental carbon emissions. Idaho projects 2018 statewide elemental carbon emissions to decrease by 50.7% from 2002 emission levels. These projected reductions are the result of anticipated emission reductions in on-road mobile and off-road mobile emissions of 73.8% and 64.3% respectively.</P>

        <P>Fine particulate, particles with an aerodynamic diameter of less than 2.5 micrometers, is emitted from a variety of area sources. Point sources account for only 2% of statewide fine particulate. Wind blown dust is the largest source category contributing 26% of total fine particulate. Wood stoves and small manufacturing and industrial sources contribute 24% of total fine particulate. Natural fire, anthropogenic fire, road dust and other fugitive dust sources also emit approximately equal amounts of fine particulate. Idaho projects that 2018 fine particulate emissions will increase by 12.1% over 2002 emission levels due to population and industrial growth. Emissions increases are projected from point, area, road dust, fugitive dust at 26.8%, 33.6%, 32.0%, and 30.1% respectively. Fine particulate emissions associated with anthropogenic fire are expected to decrease by 53.6%.<PRTPAGE P="1585"/>
        </P>
        <P>Coarse particulate is particulate with an aerodynamic diameter between 2.5 and 10 micrometers. It is composed of larger particles in wind blown dust, natural fire and other particulate from industrial grinding sources. The largest source category is wind blown dust which contributes 40% of total coarse particulate emissions. The second largest source is natural fire which contributes 22% of coarse particulate emissions. Idaho projects that 2018 emissions of coarse particulate to increase by 11.9% over 2002 emission levels. Idaho projects course particulate emissions from most categories to increase, with the exception of anthropogenic fire which will decrease by 51.7%.</P>

        <P>Ammonia does not directly impair visibility but can be a precursor to the formation of particulate in the atmosphere through chemical reaction with SO<E T="52">2</E>and NO<E T="52">X</E>to form a “secondary aerosol.” Area sources are the primary source category contributing to ammonia emissions and account for 85% of total ammonia emissions. The second largest source category is natural fire which contributes 10% of ammonia emissions. Idaho projects ammonia emissions in 2018 to increase by 1.3% over 2002 emission levels with increasing emissions in all categories with the exception of anthropogenic fire which Idaho projects to decrease by 53.4%.</P>
        <HD SOURCE="HD2">D. Sources of Visibility Impairment in Idaho Class I Areas</HD>

        <P>Each pollutant species has its own visibility impairing property; 1 μg/m<SU>3</SU>of sulfate, for example, is more effective in scattering light than 1 μg/m<SU>3</SU>of organic carbon and therefore impairs visibility more than organic carbon. Following the approach recommended by the WRAP and as explain more fully below, Idaho used a two step process to identify the contribution of each source or source category to existing visibility impairment. First, ambient pollutant concentration by species (sulfate, nitrate, organic carbon, fine particulate, etc.) was determined from the IMPROVE sampler in each Class I area. These concentrations were then converted into deciview values to distribute existing impairment among the measured pollutant species. This calculation used the “improved IMPROVE equation” (<E T="03">See</E>section 2.C of the WRAP TSD) to calculate extinction from each pollutant specie concentration. Extinction, in inverse megameters, was then converted to deciview using the equation defining deciview. Second, the Comprehensive Air Quality Model with Extensions (CAMx) and PM Source Apportionment Technology (PSAT) models were used to determine which sources and source categories contributed to the ambient concentration of each pollutant species. Thus, impairment was distributed by source and source category.</P>

        <P>After considering the available models, the WRAP and Western States selected two source apportionment analysis tools. The first source apportionment tool was the Comprehensive Air Quality Model with Extensions (CAMx) in conjunction with PM Source Apportionment Technology (PSAT). This model uses emission source characterization, meteorology and atmospheric chemistry for aerosol formation to predict pollutant concentrations in the Class I area. The predicted results are compared to measured concentrations to assess accuracy of model output. CAMx PSAT modeling was used to determine source contribution to ambient sulfate and nitrate concentrations. The WRAP used state-of-the-science source apportionment tools within a widely used photochemical model. EPA has reviewed the PSAT analysis and considers the modeling, methodology, and analysis acceptable.<E T="03">See</E>section 6.A of the WRAP TSD.</P>

        <P>The second tool was the Weighted Emissions Potential (WEP) model, used primarily as a screening tool to decide which geographic source regions have the potential to contribute to haze at specific Class I areas. WEP does not account for atmospheric chemistry (secondary aerosol formation) or removal processes, and thus is used for estimating inert particulate concentrations. The model uses back trajectory wind flow calculations and resident time of an air parcel to determine source and source category and location for ambient organic carbon, elemental carbon, PM<E T="52">2.5</E>, and coarse PM concentrations. These modeling tools were the state-of-the-science and EPA has determined that these tools were appropriately used by WRAP for regional haze planning. Description of these tools and our evaluation of them are described in more detail in section 6 of the WRAP TSD.</P>

        <P>Figure 7-1 in the Idaho Regional Haze SIP submittal presents the light extinction for the base year at each Class I area by visibility impairing pollutant species for the average of the 20% worst days. The visibility impairing pollutant species identified are: Fine particulate (<E T="03">i.e.</E>sea salt, fine soil, elemental carbon, organic carbon, ammonium sulfate and ammonium nitrate) and coarse material. In addition the SIP submission identifies in Figures 7.2 through Figure 7.52, light extinction by pollutant species for the average of the 20% worst and average of the 20% best days for each of the Class I areas.</P>
        <P>Figure 7-1 of the SIP indicates that on the 20% worst days organic carbon is the primary pollutant impairing visibility in the Sawtooth and Selway-Bitterroot Wilderness Areas. In Craters of the Moon National Monument the primary pollutant impairing visibility on the 20% worst days is ammonium nitrate.</P>

        <P>Idaho also analyzed the monthly variation of light extinction and pollutant specie concentrations for the 20% worst days.<E T="03">See</E>Idaho SIP Figures 7-6 and 7-7, Figures 7-24 through 7-27, Figures 7-35 through 7-38. Each Class I area shows a distinct monthly and seasonal variation in impairment. For example, the 20% worst days in Craters of the Moon National Monument occur during the winter months of December through February. The 20% worst days in the Sawtooth and Selway-Bitterroot Wilderness Areas occur from April through November. This variation in impairment is due to monthly and seasonal variation in meteorology and emission rates.</P>

        <P>To determine potential impacts of emission sources in Idaho on Class I areas in other states, Idaho considered the WRAP analysis of interstate impacts. Ambient air sulfate and nitrate concentrations for the 20% worst and best days for baseline (2002-2004) and 2018 at each western Class I area is distributed among all states in the WRAP using PSAT modeling. The SIP submittal provides an analysis of the Class I areas in nearby states.<E T="03">See</E>chapter 9.3 of the Idaho Regional Haze SIP submission. These Class I areas are:</P>
        <HD SOURCE="HD3">Shared Class I Areas With Oregon and Wyoming</HD>
        <P>• Hells Canyon Wilderness Area</P>
        <P>• Yellowstone National Park</P>
        <HD SOURCE="HD3">Class I Areas Outside Idaho</HD>
        <P>• Glacier National Park in Montana: Idaho is ranked 3rd behind Montana and Washington in contribution of visibility impairing pollutants on the 20% worst days</P>
        <P>• Cabinet Mountain Wilderness Area in Montana: Idaho is ranked 3rd behind Oregon and Washington in contribution to visibility impairing pollutants on the 20% worst days</P>
        <P>• Bob Marshall Wilderness Area in Montana: Idaho is ranked 3rd behind Montana and Washington in contribution to visibility impairing pollutants on the 20% worst days</P>

        <P>• Gates of the Mountain Wilderness in Montana: Idaho is “ranked 3rd” behind Montana and Washington in<PRTPAGE P="1586"/>contribution to visibility impairing pollutants on the 20% worst days</P>
        <P>• North Absaroka Wilderness in Wyoming: Idaho is ranked 2nd behind Wyoming in contribution to visibility impairing pollutants on the 20% worst days</P>
        <P>• Bridger Wilderness in Wyoming: Idaho is ranked 2nd behind Wyoming in contribution to visibility impairing pollutants on the 20% worst days</P>
        <P>• Eagle Cap Wilderness Area Oregon: Idaho is ranked 3rd behind Oregon and Washington in contribution to visibility impairing pollutant on the 20% worst days</P>
        <P>• Jarbidge Wilderness Area in Nevada: Idaho is ranked 1st in contribution of sulfate and nitrate to the Jarbidge Wilderness area.</P>
        <P>EPA is proposing to find that Idaho has appropriately identified the primary pollutants impacting its Class I areas. EPA is also proposing to find that the SIP contains an appropriate analysis of the impacts of emissions from Idaho on nearby Class I areas.</P>
        <HD SOURCE="HD2">E. Best Available Retrofit Technology</HD>
        <P>The first phase of a BART evaluation is to identify all the BART-eligible sources within the State's boundaries. Table 10-1 in the SIP submission presents the list of all BART-eligible sources located in Idaho. These sources are: The Amalgamated Sugar Company (TASCO) in Twin Falls, TASCO in Nampa, TASCO in Paul, NU West/Agrium in Soda Springs, the J.R. Simplot Don Plant in Pocatello, the Monsanto/P4 Production LLC facility at Soda Springs, and the Potlatch Pulp &amp; Paper mill in Lewiston Idaho.</P>

        <P>The second phase of the BART determination process is to identify those BART-eligible sources that may reasonably be anticipated to cause or contribute to any impairment of visibility at any Class I area and are, therefore, subject to BART. As explained above, EPA has issued guidelines that provide states with guidance for addressing the BART requirements. 40 CFR Part 51 appendix Y;<E T="03">see</E>also 70 FR 39,104 (July 6, 2005). The BART Guidelines describe how states may consider exempting some BART-eligible sources from further BART review based on dispersion modeling showing that the sources contribute below a certain threshold amount. Idaho conducted dispersion modeling for the BART-eligible sources to determine the visibility impacts of these sources on Class I areas with the exception of the Monsanto/P4 Production LLC facility which was categorized as subject to BART without analysis.<SU>9</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>9</SU>Monsanto agreed to forego exemption modeling and to move directly to a BART determination.</P>
        </FTNT>
        <P>The BART Guidelines require States to set a contribution threshold to assess whether the impact of a single source is sufficient to cause or contribute to visibility impairment at a Class I area. Generally, States may not establish a contribution threshold that exceeds 0.5 dv impact. 70 FR at 39,161. Idaho established a contribution threshold of 0.5 dv through negotiated rulemaking with industry, FLMs, and the public. In its SIP submittal, Idaho notes that the 0.5 dv threshold is also consistent with the threshold used by all other states in the WRAP. Any source with an impact of greater than 0.5 dv in any Class I area, including Class I areas in other states, would be subject to a BART analysis and BART emission limitations.</P>
        <P>The explanation given by Idaho for adopting a 0.5 dv threshold for determining whether a BART source may be reasonably anticipated to cause or contribute to any visibility impairment in a Class I area is not adequate to justify the selection of such a threshold. Although a number of stakeholders may have agreed that a 0.5 dv threshold is appropriate, and other states in the Region may have adopted such a threshold, such agreement does not provide sufficient basis concluding that such a threshold was appropriate in the case of Idaho. Based on EPA's review of the BART-eligible sources in Idaho, however, EPA is proposing to find that a 0.5 dv threshold is appropriate, given the specific facts in Idaho.</P>

        <P>In the BART Guidelines, EPA recommended that States “consider the number of BART sources affecting the Class I areas at issue and the magnitude of the individual sources' impacts. In general, a larger number of BART sources causing impacts in a Class I area may warrant a lower contribution threshold.” 70 FR 39104, 39161 July 6, 2005. In developing its regional haze SIP, Idaho modeled the impacts of six of the seven BART-eligible sources on Class I areas within a 300 km radius. (<E T="03">See</E>Table 10-3 through Table 10-8 of the SIP submittal). As noted above, the State and Monsanto/P4 Production mutually agreed that Monsanto/P4 was subject to BART. Of these BART-eligible sources, only TASCO, Nampa exceeded the 0.5 dv threshold, based on consideration of the 22nd highest impact during 2003-2005.<SU>10</SU>
          <FTREF/>For the remaining five BART-eligible sources, the modeling showed maximum impacts below 0.4 dv. These sources are generally widely distributed across the State, and only TASCO Twin Falls and TASCO Paul showed modeled impacts affecting the same Class I area. Given the relatively limited impact on visibility from these sources, Idaho could have reasonably concluded that a 0.5 dv threshold was appropriate for capturing those BART-eligible sources with significant impacts on visibility in Class I areas. For these reasons, EPA is proposing to approve the 0.5 dv threshold adopted by Idaho in its Regional Haze SIP.</P>
        <FTNT>
          <P>
            <SU>10</SU>The 22nd highest impact during 2003-2004 corresponds to the 98th percentile of modeling results, an approach to applicability that EPA concluded was appropriate in the BART Guidelines. 70 FR at 39,123.</P>
        </FTNT>

        <P>To determine those sources subject to BART, Idaho used the CALPUFF model. The dispersion modeling was conducted in accord with the<E T="03">BART Modeling Protocol7.</E>This Protocol was jointly developed by the states of Idaho, Washington, Oregon and EPA and has undergone public review. The Protocol was used by all three states in determining which BART-eligible sources are subject to BART. See appendix F of the SIP submission for details of the modeling protocol, its application and results. As noted above, Idaho determined through modeling that one, of the six modeled BART-eligible sources in Idaho, was subject to BART: The TASCO facility in Nampa. In addition, the Monsanto/P4 Production LLC facility in Soda Springs was determined to be subject to BART based on agreement by the source and the State.</P>
        <HD SOURCE="HD2">F. TASCO BART Analysis</HD>
        <P>TASCO Nampa is a sugar beet processing facility that operates a 350 million BTU per hour, coal-fired boiler known as the Riley boiler. The Riley boiler emits sulfur dioxide, oxides of nitrogen and particulate matter. It is anticipated to operate into the foreseeable future, thus expected life of the source is not a factor in the BART determination.</P>

        <P>The first step in a BART analysis is the identification of all available retrofit control options. Available retrofit control options are those air pollution control technologies with a practical potential for application to the emission unit. 40 CFR part 51, appendix Y provides guidance on identifying available options that includes review of EPA's Clean Air Technology Center RACT/BACT/LAER clearinghouse, state and local Best Available Control Technology Guidelines, and a number of other documents.<E T="03">See</E>40 CFR part 51<PRTPAGE P="1587"/>appendix Y(IV)(D)(1). Generally EPA does not expect states to consider control technologies that have not already been demonstrated in practice to be technically feasible.</P>
        <P>Idaho identified the pollutants of concern for the BART determination at the Riley boiler to be sulfur dioxide, oxides of nitrogen and particulate matter. BART controls for each pollutant will be discussed below. Following an evaluation of available controls, described below, Idaho determined that the following emission limits represent BART for the Riley Boiler:</P>
        
        <FP SOURCE="FP-1">SO<E T="52">2</E>—104 lb/hr</FP>
        <FP SOURCE="FP-1">NO<E T="52">X</E>—31 lb/hr</FP>
        <FP SOURCE="FP-1">PM—12.4 lb/hr</FP>
        
        <FP>The Idaho Regional Haze SIP submittal includes the federally enforceable Tier II operating permit for TASCO, Nampa, (permit No. T2-2009.0109) that contains these emission limits. See letter and attachments dated September 7, 2010, from Mike Simon, Stationary Source Manager, Idaho Air Quality Division, to Kent Quinney, Plant Manager, The Amalgamated Sugar Company, LLC-Nampa Factory. The BART emission limits in the Tier II operating permit are slightly higher than those limits in the SIP submittal to allow for slight variation in test method results.</FP>
        <P>The emission limits for NO<E T="52">X</E>and SO<E T="52">2</E>can be achieved respectively through use of low NO<E T="52">X</E>burners with overfire air and spray dry gas desulfurization. BART will result in a 65% reduction in SO<E T="52">2</E>emissions and 80% reduction in NO<E T="52">X</E>emissions. Idaho found that the bag house currently in place at the facility will result in compliance with the PM BART limitation.</P>
        <HD SOURCE="HD3">1. TASCO SO<E T="52">2</E>BART Evaluation</HD>

        <P>The TASCO Riley boiler currently burns low-sulfur coal limited to 1% sulfur by weight. The alternative control options considered for SO<E T="52">2</E>include: low-sulfur coal limited to 0.6% sulfur by weight that would provide an additional 15% control efficiency, wet flue gas desulfurization (Wet FGD) with a 95% control efficiency, spray dryer flue gas desulfurization (Spray Dry FGD) with an 80% control efficiency, dry lime flue gas desulfurization (Dry Lime FGD) with a 55% control efficiency, dry Trona flue gas desulfurization (Dry Trona FGD) with a 65% control efficiency. Idaho found that all these technologies are technically feasible, but, as explained below, that wet FGD and spray dry FGD were the best options for further evaluation.</P>

        <P>With a removal efficiency of 95% or greater, wet FGD systems offer one of the highest SO<E T="52">2</E>removal efficiencies of the available control technologies. However, the installation of wet FGD at TASCO Nampa would require significant modification of the facility that would increase the cost of this option. As explained in the SIP submittal, wet FGD results in a saturated exhaust stream. The resulting condensation that would form in the stack would likely have a very low pH that would require installation of a stack liner to protect the integrity of the stack. Idaho concluded that installation of a stack liner would cost $2,000,000. Cost effectiveness of wet FGD was accordingly estimated at $3353/ton, with an incremental cost of $6940/ton as compared to the next most efficient control technology, spray dry FGD.</P>
        <P>Spray dry FGD typically has an estimated control efficiency of 80-90% depending on exit flue gas temperature as it approaches the adiabatic saturation temperature. Idaho used 80% control efficiency in this evaluation. Cost effectiveness of spray dry FGD is $2163/ton and the incremental cost over the next most efficient control technology, dry Trona FGD is $360/ton.</P>

        <P>Idaho also evaluated the energy and non-air related environmental impacts of the SO<E T="52">2</E>control options. Waste-water treatment from wet FGD is a major concern to Idaho and would need to be treated onsite. The SIP submittal explains that it would be difficult and expensive to expand the TASCO on-site treatment facility due to limited available land and the City of Nampa water treatment system might not be able to handle the increased water volume.<E T="03">See</E>State of Idaho Department of Environmental Quality, Regional Haze Plan, 10/8/10, appendix F,</P>
        <P>Table 32 of appendix F of the SIP submittal provides the estimated visibility impact of the five control options. Wet FGD would reduce the number of days with greater than 0.5 dv impact over a three year period from 127 days to 43 days. Spray dry FGD would reduce the number of days with greater than 0.5 dv from 127 days to 51 days. Considering the incremental cost of wet FGD over spray dry FGD of $6940/ton, the waste water treatment limitations, and achieving a reduction of only 8 more days with impact greater than 0.5 dv over a three year period, Idaho concluded that wet FGD is not warranted.</P>

        <P>Idaho has determined that spray dry FGD is the appropriate control technology for SO<E T="52">2</E>and established 104 lb/hr as BART based on cost effectiveness and improvement in visibility. EPA agrees with Idaho's BART determination for SO<E T="52">2</E>.</P>
        <HD SOURCE="HD3">2. NO<E T="52">X</E>BART Evaluation</HD>

        <P>Idaho identified potential control options for oxides of nitrogen (NO<E T="52">X</E>) for the Riley boiler as: low NO<E T="52">X</E>burners (LNB) with a 50% control efficiency, low NO<E T="52">X</E>burners with overfire air (LNB/OFA) with a 65% control efficiency, ultra low NO<E T="52">X</E>burners (ULNB) which was determined to be infeasible, selective catalytic reduction (SCR) with a 90% control efficiency, and selective non-catalytic (SNCR) determined to be infeasible. Idaho evaluated the technical feasibility of each control option. Idaho found that ULNB is not technologically feasible as the fire box at the Riley boiler is not large enough to accommodate the flame management system necessary for this type of control. Idaho also concluded that SNCR is also not technologically feasible as the boiler exhaust path does not have enough residence time for reliable control. Idaho accordingly identified three technically feasible control options: LNB, LNB/OFA, and SCR.</P>

        <P>Idaho determined the cost effectiveness and incremental cost effectiveness for the three technically feasible control options.<E T="03">See</E>Table 35 of appendix F of the SIP submittal. Idaho concluded that LNB/OFA provides a reasonable cost effectiveness of $1270/ton and incremental cost effectiveness of $2430/ton over low-NO<E T="52">X</E>burners. SCR would provide a 90% reduction in NO<E T="52">X</E>emissions at a cost effectiveness of $3768 and incremental cost of $10,245/ton over LNB/OFA. LNB/OFA would reduce the number of days with impacts greater than 0.5 dv over a three year period from 127 days to 56 days. SCR would reduce the number of days with impact greater than 0.5 dv over a three year period from 127 days to 40 days. Considering the incremental cost of SCR over LNB/OFA of $10,245/ton and achieving an incremental reduction of 16 days with impact greater than 0.5 dv over a three year period, Idaho concluded SCR is not warranted and that LNB/OFA represents BART. In addition, as described below in section F(d), TASCO argued that it could not afford to install an SCR. In view of this and Idaho's conclusion that the incremental cost of $10,245/ton for reducing the number of days with an impact greater than 0.5 dv by 16 over a three year period EPA is proposing to approve Idaho's determination of BART for NO<E T="52">X</E>TASCO.</P>
        <HD SOURCE="HD3">3. PM BART Evaluation</HD>

        <P>The TASCO Nampa Riley boiler has a baghouse to control particulate matter. In its PM BART evaluation Idaho considered other alternative control<PRTPAGE P="1588"/>technologies including: An enhanced baghouse with a control efficiency of 99%, wet electrostatic precipitator with a control efficiency of 99%, and dry electrostatic precipitator with a control efficiency of 99%. Idaho compared these technologies to the control efficiency of the current baghouse. The existing baghouse with a control efficiency of 99% emits 0.036 lbs/MMbtu (350 MMbtu/hour boiler with a limit of 0.036 lbs/MMbtu the emissions are 12.6 lbs/hour).</P>
        <P>Idaho determined that the existing baghouse is the best BART control technology since it will not incur additional cost and has control efficiency comparable to the identified alternate control technologies. The existing baghouse has the added environmental benefits of not requiring additional water or electricity. The benefit of adding an additional baghouse is so small the benefits are outweighed by the costs. In conclusion, the best BART alternative for particulate is the existing baghouse.</P>
        <P>Idaho determined that the current baghouse and an emission limitation of 12.4 lbs/hr is BART. EPA agrees with this determination.</P>
        <HD SOURCE="HD3">4. TASCO Affordability</HD>

        <P>TASCO appealed to Idaho that the company could not afford the identified BART (Spray Dry FGD and LNB/OFA) and remain viable. At Idaho's request, EPA conducted an evaluation and analysis of TASCO's financial status and health. Based on this evaluation, EPA determined TASCO could afford implementation of the identified BART. EPA also concluded that TASCO could not reasonably afford the more costly control options of Wet FGD for SO<E T="52">2</E>control and SCR for NO<E T="52">X</E>control.<E T="03">See</E>Idaho Regional Haze Plan 10/8/10, appendix F, page F-317: Executive Summary excerpt from: An Affordability Analysis of The Amalgamated Sugar Company LLC's Affordability Claim with respect to the Best Available Retrofit Technology (BART) for the Riley Boiler at the Nampa, Idaho facility, February 12, 2010.</P>
        <P>Based on EPA's review and evaluation we propose to approve the BART determination for TASCO.</P>
        <HD SOURCE="HD2">G. Monsanto/P4 BART Analysis</HD>
        <P>Monsanto/P4 Production is a thermal process elemental phosphorus production facility. Idaho identified two BART units at the facility: The #5 Rotary Kiln and the #9 Furnace Exhaust and carbon monoxide Flare. Phosphate ore is processed in a high temperature electric arc furnace in a reducing atmosphere produced by the introduction of coke. Carbon monoxide gas from the arc furnace is used as fuel for the #5 Rotary Kiln. Excess carbon monoxide is flared to the atmosphere.</P>
        <P>Idaho concluded, as discussed below, that the following emissions limit is BART for #5 Rotary Kiln:</P>
        
        <FP SOURCE="FP-1">SO<E T="52">2</E>—143 lb/hr</FP>
        

        <P>Idaho determined, as discussed below, that there are no technically feasible NO<E T="52">X</E>control options for the #9 Furnace Exhaust and CO Flare.</P>
        <HD SOURCE="HD3">1. #5 Rotary Kiln, SO<E T="52">2</E>Evaluation</HD>
        <P>Idaho conducted a thorough SO<E T="52">2</E>BART evaluation for the #5 Rotary Kiln. The #5 Rotary Kiln heats phosphate ore to remove volatile impurities and harden ore nodules for further handling and introduction into the electric arc furnace. Carbon monoxide from the furnace off gases is the primary fuel with coal and natural gas as backup. Existing federally enforceable process and air pollution controls for the kiln are included in the facility's current Tier I (title V) operating permit No. T1-2009.0121, issued July 24, 2009. These requirements consist of:</P>
        <P>• A limit on the sulfur content of the coal to no more than 1% by weight.</P>

        <P>• A dust knockout chamber, spray tower, four parallel Hydro-Sonic<E T="51">©</E>scrubbers, and four parallel cyclonic separators. The tandem nozzle fixed-throat free-jet scrubbers are required for control of PM/PM10 and polonium-210 emissions (a radionuclide) found in the phosphate ore.</P>
        <P>The initial SO<E T="52">2</E>control device is a settling chamber where large particles are removed. The exhaust flow is then routed to a concrete tower where it passes through water sprays to remove soluble gases and particulate matter. The exhaust flow is then routed to four parallel Hydro-Sonic<E T="51">©</E>scrubbers for removal of submicron particles and entrained particle-laden water. The exhaust gases exit the scrubbers and pass through cyclonic separators and fans prior to exiting to the atmosphere through four stacks.</P>

        <P>A lime concentrated dual alkali (LCDA) scrubber to control SO<E T="52">2</E>emissions from the kiln was installed by Monsanto/P4 in 2005. The LCDA scrubbing process uses the existing Hydro-Sonic<E T="51">©</E>scrubbers to absorb SO<E T="52">2</E>with a solution of sodium salts comprised of sodium sulfite and bisulfite, the active absorbent species. Some sodium sulfate will also be produced. The spent solution of sodium sulfite/bisulfite/sulfate is continuously withdrawn to a dual-reactor system, where it is treated with hydrated lime. The lime regenerates the scrubbing solution and precipitates calcium sulfite/sulfate solids. The solids are removed from the system through thickening and filtration, and the regenerated solution is returned to the scrubber as feed material.</P>
        <P>Additional SO<E T="52">2</E>controls would be add-on (or retrofit) control to the existing control technology. Idaho analyzed the technically feasible retrofit control technologies for SO<E T="52">2</E>emissions from the #5 Rotary Kiln. These alternative controls included: Wet FGD with lime and amine scrubbing.</P>

        <P>Idaho evaluated the control efficiencies of these feasible technologies and found that both are capable of 97% control. As determined by Idaho, the costs of these controls are $466/ton for wet FGD and $881/ton for amine scrubbing.<E T="03">See</E>appendix F, Table 5.1.1 (page 338) of the Idaho Regional Haze SIP. The energy impacts were evaluated and both options require more energy, but not disproportionate amounts. Neither of the available options constitute significant adverse non-air environmental effects. The #5 Rotary Kiln is expected to remain in operation for the life of the P4 facility.</P>
        <P>Idaho selected wet-FGD with lime as the most suitable control technology based on the fact that control efficiency is comparable to amine scrubbing, has a lower cost, and is a proven mature technology. Idaho determined that 143 lb/hr is BART for the #5 Rotary Kiln. EPA agrees with this determination.</P>
        <HD SOURCE="HD3">2. #5 Rotary Kiln NO<E T="52">X</E>BART Evaluation</HD>

        <P>Idaho searched EPA's RACT/BACT/LAER clearinghouse (RBLC) for potential NO<E T="52">X</E>control options. The available options include: Combustion control, LNB, and SNCR.</P>
        <P>Idaho determined that NO<E T="52">X</E>combustion controls are technically infeasible due to the temperatures required for sintering the phosphate ore and the change in temperature resulting from combustion control. Thermal NO<E T="52">X</E>is formed at approximately 1300 °C (2372 °F) and above. The minimum temperature at which sintering of the phosphate ore occurs is 1400 °C to 1459 °C (2552 °F to 2658 °F). Therefore, it is not feasible to lower the temperature in the kiln to minimize or prevent the formation of thermal NO<E T="52">X</E>and still sinter the ore.</P>

        <P>Likewise, LNB was eliminated because the temperature required for a low NO<E T="52">X</E>burner is too low to sinter the phosphate ore and form the required nodules. Sintering of the ore takes place at 1400 °C to 1459 °C, and low NO<E T="52">X</E>burners must be controlled to operate at temperatures well below 1300 °C (2372<PRTPAGE P="1589"/>°F), the temperature at which thermal NO<E T="52">X</E>is formed.</P>

        <P>SNCR was eliminated because the kiln off gas temperature at the exit of the kiln and prior to the existing Hydro-Sonic<E T="51">©</E>particulate control is too low for operation of SNCR.</P>
        <P>EPA agrees that there are no technically feasible NO<E T="52">X</E>control options for the #5 Rotary Kiln. The current emission limitation is 3750.7 ton/yr.</P>
        <HD SOURCE="HD3">3. #5 Rotary Kiln Particulate Matter BART Evaluation</HD>

        <P>As described above, the #5 Rotary Kiln emissions are currently controlled with Hydro-Sonic<E T="51">©</E>high energy venture scrubbers to control particulate matter. The Tier I operating permit includes a federally enforceable limit of 89.4 tons of PM/year.</P>

        <P>Idaho conducted a brief evaluation of alternative PM control technologies but concluded, and EPA agrees, that there are no other technically feasible alternative control technologies with greater control efficiency than the existing Hydro-Sonic<E T="51">©</E>high energy venturi scrubbers. Thus, the existing PM emission limit of 98.4 t/yr constitutes BART for this source.</P>
        <HD SOURCE="HD3">4. BART for the #9 Furnace CO Flare Evaluation</HD>
        <P>Ore nodules from the #5 Rotary Kiln are combined with coke and quartzite and heated in the #9 electric arc furnace. The resulting thermal process releases elemental phosphorus (as a gas), carbon monoxide and entrained particulate matter. The furnace off gas is cooled to liquefy and collect the elemental phosphorus and the remaining gases are ducted to the #5 Rotary Kiln as fuel. Excess furnace off gas is treated in a thermal oxidizer and flared to the atmosphere. The source of concern is the furnace flare, since most of the furnace gases fuel the #5 Rotary kiln and are controlled by technology applied to that source.</P>

        <P>A review of the RBLC Clearinghouse revealed there are no available control technologies for particulate matter, SO<E T="52">2</E>, or NO<E T="52">X</E>for the #9 Furnace CO Flare. The RBLC Clearinghouse flare control options are exclusively for organic fuels and are not applicable for carbon monoxide fueled flares.</P>
        <P>EPA agrees with Idaho's conclusion because there are no known retrofit control technologies that are technically feasible for the Monsanto/P4 #9 Furnace Exhaust and CO Flare. EPA is proposing to approve the BART determination for Monsanto/P4.</P>
        <P>The Monsanto/P4 BART emission limits are contained in federally enforceable Tier I and Tier II operating permits. The BART requirements are contained in the Tier II operating permit, T2-2009.0109, issued November 17, 2009.</P>
        <HD SOURCE="HD2">H. Improvement in Visibility From BART at TASCO, Nampa and Monsanto/P4</HD>
        <P>Table 10-14 of the SIP submittal presents the visibility improvement at several Class I areas in Idaho and surrounding states from implementation of BART at TASCO Nampa and Monsanto/P4. The metric used to measure improvement is the number of days (or reduction in number of days) with a deciview impact larger than 0.5 dv from each BART facility over a three year period.</P>
        <P>The greatest improvement from BART controls at Monsanto/P4 is seen in the Teton Wilderness Area in Wyoming. Idaho estimated a reduction in the number of days with visibility impairment greater than 0.5 dv from Monsanto/P4 of 50 days over a three year period. Table 10-15 of the SIP submittal presents the visibility improvement at several other Class I areas in Idaho and surrounding states from implementation of BART at the Monsanto/P4 facility in Soda Springs.</P>
        <P>The greatest improvement from BART controls at TASCO Nampa is seen in the Eagle Cap Wilderness Area in Oregon, with a reduction in days with greater than 0.5 dv of 127 days over a three year period.</P>
        <P>Idaho included in the SIP submittal, federally enforceable Tier I and Tier II operating permits for TASCO Nampa and Monsanto/P4 which contain the necessary emission limitations representing BART and schedules for compliance.</P>
        <HD SOURCE="HD1">IV. EPA's Analysis of Whether Regional Haze SIP Submittal Meets Interstate Transport Requirements</HD>
        <P>In its October 25, 2010, transmittal letter, Idaho also indicated that it intends the Regional Haze SIP submittal also to be a SIP submission for purposes of the visibility requirements of section 110(a)(2)(D)(i) with respect to the 1997 8-hour ozone and 1997 PM2.5 NAAQS. In the submission, Idaho stated that: “Idaho's Regional Haze SIP also satisfies the Clean Air Act Interstate Transport requirements of section 110(a)(2)(D)(ii). Chapters 2 and 13 and the associated appendix for chapter 2 describe Idaho's consultation with other states through the WRAP. Chapter 9 identifies Idaho's contribution and future visibility improvements at mandatory Class I Federal Areas impacted by Idaho's emissions.” In its SIP transmittal letter, the state referred to section 110(a)(2)(D)(ii), but from the context it is clear that the state intended this reference to be to section 110(a)(2)(D)(i), and more particularly to section 110(a)(2)(D)(i)(II).</P>
        <P>Section 110(a)(2)(D)(i)(II) of the Act requires SIP revisions to “contain” adequate provisions  * * * prohibiting  * * * any source or other types of emission activity within the State from emitting any air pollutant in amounts which will  * * * interfere with measures required to be included in the applicable implementation plan for any other State  * * *  to protect visibility.” EPA is proposing to find that the SIP submitted by Idaho to address regional haze contains adequate provisions to meet the “good neighbor” provisions of section 110(a)(2)(D)(i)(II) with respect to visibility.</P>
        <P>As an initial matter, EPA notes that section 110(a)(2)(D)(i)(II) does not explicitly specify how EPA should ascertain whether a state's SIP contains adequate provisions to prevent emissions from sources in that state from interfering with measures required in another state to protect visibility. Thus, the statute is ambiguous on its face, and EPA must interpret that provision.</P>
        <P>Our 2006 Guidance recommended that a state could meet the visibility prong of the transport requirements for section 110(a)(2)(D)(i)(II) by submission of the regional haze SIP, due in December 2007. EPA's reasoning was that the development of the regional haze SIPs was intended to occur in a collaborative environment among the states, and that through this process states would coordinate on emissions controls to protect visibility on an interstate basis. In fact, in developing their respective reasonable progress goals, WRAP states consulted with each other through the WRAP's work groups. As a result of this process, the common understanding was that each state would take action to achieve the emissions reductions relied upon by other states in their reasonable progress demonstrations under the RHR. This interpretation is consistent with the requirement in the regional haze rule that a state participating in a regional planning process must include “all measures needed to achieve its apportionment of emission reduction obligations agreed upon through that process.” 40 CFR 51.308(d)(3)(ii).</P>

        <P>We believe that with approval of the portions of the Idaho RH SIP that we are proposing to take action on today, Idaho's SIP will also contain adequate provisions to prevent interstate transport that would interfere with the measures required in other states to<PRTPAGE P="1590"/>protect visibility. Chapter 13 of the Idaho SIP submittal explains the consultation process followed by Idaho and its neighboring states to meet the requirements in the regional haze rule to address the interstate transport of visibility impairing pollutants and the outcome of that process. Section 13.2.3 indicates that Idaho and neighboring states agreed that “no major contributions were identified that supported developing new interstate strategies, mitigation measures, or emissions reductions obligations,” and that each state could achieve its share of emission reductions through the implementation of BART and other existing measures in state regional haze plans. The state agreed that future consultation would address any new strategies or measures needed. The measures addressing BART in the Idaho SIP submittal accordingly would appear to be adequate to prevent emissions from source in Idaho from interfering with the measures required to be in the regional haze SIPs of its neighbors.</P>
        <P>This conclusion is consistent with the analysis conducted by the WRAP, an analysis that provides an appropriate means for further evaluating whether emissions from sources in a state are interfering with the visibility programs of other states, as contemplated in section 110(a)(2)(D)(i)(II). As described below, EPA's evaluation shows that the BART measures of the Regional Haze SIP submittal, that we are proposing to approve today, are generally consistent with the emissions reductions assumptions of the WRAP modeling from Idaho sources. Accordingly, EPA is proposing to approve Idaho's SIP as ensuring that emissions from Idaho do not interfere with the reasonable progress goals of other states.</P>
        <P>In developing their visibility projections using photochemical grid modeling, the WRAP states assumed a certain level of emissions from sources within Idaho. The visibility projection modeling was in turn used by the states to establish their own reasonable progress goals. We have reviewed the WRAP photochemical modeling emissions projections used in the demonstration of reasonable progress towards natural visibility conditions and compared them to the emissions limits that will result from the imposition of BART on sources in Idaho. We have concluded that with the emissions reductions achieved by these measures, the emissions from Idaho sources in the projected inventory for 2018 (which included both reductions and increases) will be below that assumed in the WRAP analysis. In addition, EPA notes that these projections also included estimated emissions from a new coal fired power plant to be located in Jerome, Idaho. The Governor of Idaho subsequently issued a ban on the construction of new coal fired power plants that is still in effect. Thus, EPA anticipates that the actual emissions in 2018 may be significantly less than the emissions used in modeling 2018 conditions because the Jerome, Idaho facility will likely not be constructed during the time period covered by the Regional Haze SIP.</P>
        <P>As a result of the foregoing determination, EPA is proposing to find that the Idaho Regional Haze SIP submission contains the emission reductions needed to achieve Idaho's share of emission reductions agreed upon through the regional planning process. As reflected in its Regional Haze SIP submittal, Idaho committed to achieve these emission reductions to address impacts on visibility on Class I areas in surrounding states. The portions of the Idaho Regional Haze SIP that we are proposing to approve ensure that emissions from Idaho will not interfere with the reasonable progress goals for neighboring state's Class I areas. EPA is accordingly proposing to find that these emission reductions also meet the requirements of section 110(a)(2)(D)(i)(II) of the Act with respect to the visibility prong for the 1997 8-hour ozone and 1997 PM2.5 NAAQS.</P>
        <HD SOURCE="HD1">V. What action is EPA proposing?</HD>
        <P>EPA is proposing to approve portions of the Idaho Regional Haze plan, submitted on October 25, 2010, as meeting the requirements set forth in section 169A of the Act and in 40 CFR 51.308(e) regarding BART. EPA is also proposing to approve the Idaho submittal as meeting the requirements of 51.308(d)(2) and (4)(v) regarding the calculation of baseline and natural conditions for Craters of the Moon National Monument, Sawtooth Wilderness Area, and Selway-bitterroot Wilderness, and the statewide inventory of emissions of pollutants that are reasonably anticipated to cause or contribute to visibility impairment in any mandatory Class I Federal Area. In addition, EPA is proposing to find that the BART measures in the Idaho Regional Haze plan meet the requirements of section 110(a)(D)(ii)(II) of the CAA with respect to the 1997 8-hour ozone and 1997 PM2.5 NAAQS.</P>
        <HD SOURCE="HD1">VI. Scope of Action</HD>
        <P>Idaho has not demonstrated authority to implement and enforce IDAPA chapter 58 within “Indian Country” as defined in 18 U.S.C. 1151.<SU>11</SU>

          <FTREF/>Therefore, EPA proposes that this SIP approval not extend to “Indian Country” in Idaho.<E T="03">See</E>CAA sections 110(a)(2)(A) (SIP shall include enforceable emission limits), 110(a)(2)(E)(i) (State must have adequate authority under State law to carry out SIP), and 172(c)(6) (nonattainment SIPs shall include enforceable emission limits). This is consistent with EPA's previous approval of Idaho's prevention of significant deterioration (PSD) program, in which EPA specifically disapproved the program for sources within Indian Reservations in Idaho because the State had not shown it had authority to regulate such sources.<E T="03">See</E>40 CFR 52.683(b). It is also consistent with EPA's approval of Idaho's title V air operating permits program.<E T="03">See</E>61 FR 64622, 64623 (December 6, 1996) (interim approval does not extend to Indian Country); 66 FR 50574, 50575 (October 4, 2001) (full approval does not extend to Indian Country).</P>
        <FTNT>
          <P>
            <SU>11</SU>“Indian country” is defined under 18 U.S.C. 1151 as: (1) All land within the limits of any Indian reservation under the jurisdiction of the United States Government, notwithstanding the issuance of any patent, and including rights-of-way running through the reservation, (2) all dependent Indian communities within the borders of the United States, whether within the original or subsequently acquired territory thereof, and whether within or without the limits of a State, and (3) all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way running through the same. Under this definition, EPA treats as reservations trust lands validly set aside for the use of a Tribe even if the trust lands have not been formally designated as a reservation. In Idaho, Indian country includes, but is not limited to, the Coeur d'Alene Reservation, the Duck Valley Reservation, the Reservation of the Kootenai Tribe, the Fort Hall Indian Reservation, and the Nez Perce Reservation as described in the 1863 Nez Perce Treaty.</P>
        </FTNT>
        <HD SOURCE="HD1">VII. Statutory and Executive Order Reviews</HD>
        <P>Under the Clean Air Act, the Administrator is required to approve a SIP submission that complies with the provisions of the Act and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. Accordingly, this proposed action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this proposed action:</P>
        <P>• 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);</P>

        <P>• Does not impose an information collection burden under the provisions<PRTPAGE P="1591"/>of the Paperwork Reduction Act (44 U.S.C. 3501<E T="03">et seq.</E>);</P>

        <P>• 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<E T="03">et seq.</E>);</P>
        <P>• 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);</P>
        <P>• Does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);</P>
        <P>• Is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);</P>
        <P>• Is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);</P>
        <P>• 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</P>
        <P>• 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).</P>
        <P>In addition, this rule does not have tribal implications as specified by Executive Order 13175 (65 FR 67249, November 9, 2000), because the SIP 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.</P>
        <LSTSUB>
          <HD SOURCE="HED">List of Subjects in 40 CFR Part 52</HD>
          <P>Environmental protection, Air pollution control, Intergovernmental relations, Nitrogen dioxide, Particulate matter, Reporting and recordkeeping requirements, Sulfur oxides, visibility, and Volatile organic compounds.</P>
        </LSTSUB>
        <SIG>
          <DATED>Dated: December 22, 2010.</DATED>
          <NAME>Dennis J. McLerran,</NAME>
          <TITLE>Regional Administrator, Region 10.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-249 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6560-50-P</BILCOD>
    </PRORULE>
  </PRORULES>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Notices</UNITNAME>
  <NOTICES>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1592"/>
        <AGENCY TYPE="F">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBJECT>Submission for OMB Review; Comment Request</SUBJECT>
        <DATE>January 6, 2011.</DATE>

        <P>The Department of Agriculture has submitted the following information collection requirement(s) to OMB for review and clearance under the Paperwork Reduction Act of 1995, Public Law 104-13. Comments regarding (a) 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; (b) the accuracy of the agency's estimate of burden including the validity of the methodology and assumptions used; (c) ways to enhance the quality, utility and clarity of the information to be collected; (d) ways to minimize the burden of the collection of information on 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 should be addressed to: Desk Officer for Agriculture, Office of Information and Regulatory Affairs, Office of Management and Budget (OMB),<E T="03">OIRA_Submission@OMB.EOP.GOV</E>or fax (202) 395-5806 and to Departmental Clearance Office, USDA, OCIO, Mail Stop 7602, Washington, D.C. 20250-7602. Comments regarding these information collections are best assured of having their full effect if received within 30 days of this notification. Copies of the submission(s) may be obtained by calling (202) 720-8958.</P>
        <P>An agency may not conduct or sponsor a collection of information unless the collection of information displays a currently valid OMB control number and the agency informs potential persons who are to respond to the collection of information that such persons are not required to respond to the collection of information unless it displays a currently valid OMB control number.</P>
        <HD SOURCE="HD1">Food Safety and Inspection Service</HD>
        <P>
          <E T="03">Title:</E>Specified Risk Materials.</P>
        <P>
          <E T="03">OMB Control Number:</E>0583-0129.</P>
        <P>
          <E T="03">Summary of Collection:</E>The Food Safety and Inspection Service (FSIS) has been delegated the authority to exercise the functions of the Secretary as provided in the Federal Meat Inspection Act (FMIA) (21 U.S.C. 601<E T="03">et seq.</E>) This statutes mandate that FSIS protect the public by ensuring that meat products are safe, wholesome, not adulterated, and properly labeled and packaged. FSIS requires that official establishments that slaughter cattle and or process carcasses or parts of cattle develop written procedures for the removal, segregation, and disposition of specified risk materials (SRMs). Establishments are also required by FSIS to maintain daily records sufficient document the implementation and monitoring of their procedures for the removal, segregation, and disposition of SRMs, and any corrective actions taken to ensure that such procedures are effective.</P>
        <P>
          <E T="03">Need and Use of the Information:</E>FSIS will collect information from establishments to ensure meat and meat products distributed in commerce for use as human food do not contain SMRs.</P>
        <P>
          <E T="03">Description of Respondents:</E>Business or other for-profit.</P>
        <P>
          <E T="03">Number of Respondents:</E>3,512.</P>
        <P>
          <E T="03">Frequency of Responses:</E>Recordkeeping;<E T="03">Reporting:</E>On occasion.</P>
        <P>
          <E T="03">Total Burden Hours:</E>123,916.</P>
        <HD SOURCE="HD1">Food Safety and Inspection Service</HD>
        <P>
          <E T="03">Title:</E>Advanced Meat Recovery Systems.</P>
        <P>
          <E T="03">OMB Control Number:</E>0583-0130.</P>
        <P>
          <E T="03">Summary of Collection:</E>The Food Safety and Inspection Service (FSIS) has been delegated the authority to exercise the functions of the Secretary as provided in the Federal Meat Inspection Act (FMIA) (21 U.S.C. 601<E T="03">et seq.</E>) This statutes mandate that FSIS protect the public by ensuring that meat products are safe, wholesome, not adulterated, and properly labeled and packaged. FSIS requires that official establishments that produce meat from Advanced Meat Recovery (AMR) systems ensure that bones used for AMR systems do not contain brain, trigeminal ganglia, or spinal cord; to test for calcium (at a different level than previously required), iron, spinal cord, and dorsal root ganglia (DRG); to document their testing protocols, to assess manner that does not cause product to be misbranded or adulterated; and to maintain records of their documentation and test results.</P>
        <P>
          <E T="03">Need and Use of the Information:</E>FSIS will collect information from establishments to ensure that the meat products produced by the use of AMR systems is free from Bovine Spongiform Encephalopathy (BSE).</P>
        <P>
          <E T="03">Description of Respondents:</E>Business or other for-profit.</P>
        <P>
          <E T="03">Number of Respondents:</E>56.</P>
        <P>
          <E T="03">Frequency of Responses:</E>Recordkeeping;<E T="03">Reporting:</E>On occasion.</P>
        <P>
          <E T="03">Total Burden Hours:</E>25,209.</P>
        <SIG>
          <NAME>Ruth Brown,</NAME>
          <TITLE>Departmental Information Collection Clearance Officer.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-358 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-DM-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Animal and Plant Health Inspection Service</SUBAGY>
        <DEPDOC>[Docket No. APHIS-2010-0039]</DEPDOC>
        <SUBJECT>National Poultry Improvement Plan; General Conference Committee Meeting</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Animal and Plant Health Inspection Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>We are giving notice of a meeting of the General Conference Committee of the National Poultry Improvement Plan.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The General Conference Committee meeting will be held on January 26, 2011, from 1:30 p.m. to 5 p.m.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>The meeting will be held at the Georgia World Congress Center, 285 Andrew Young International Boulevard NW., Atlanta, GA.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Mr. Andrew R. Rhorer, Senior Coordinator, National Poultry Improvement Plan, VS, APHIS, 1498 Klondike Road, Suite 101, Conyers, GA 30094-5104; (770) 922-3496.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The General Conference Committee (the<PRTPAGE P="1593"/>Committee) of the National Poultry Improvement Plan (NPIP), representing cooperating State agencies and poultry industry members, serves an essential function by acting as a liaison between the poultry industry and the Department in matters pertaining to poultry health. The Committee meets to discuss significant poultry health issues and makes recommendations to improve the NPIP program.</P>
        <P>Topics for discussion at the upcoming meeting include:</P>
        <P>1. Salmonella methodology.</P>
        <P>2. Approval of rapid assays.</P>
        <P>3. FDA equivalency.</P>
        <P>4. NPIP database.</P>

        <P>The meeting will be open to the public. However, due to time constraints, the public will not be allowed to participate in the discussions during the meeting. Written statements on meeting topics may be filed with the Committee before or after the meeting by sending them to the person listed under<E T="02">FOR FURTHER INFORMATION CONTACT</E>. Written statements may also be filed at the meeting. Please refer to Docket No. APHIS-2010-0039 when submitting your statements.</P>
        <P>This notice of meeting is given pursuant to section 10 of the Federal Advisory Committee Act (5 U.S.C. App. 2).</P>
        <SIG>
          <DATED>Done in Washington, DC, this 5th day of January 2011.</DATED>
          <NAME>Kevin Shea,</NAME>
          <TITLE>Acting Administrator, Animal and Plant Health Inspection Service.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-346 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-34-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Farm Service Agency</SUBAGY>
        <SUBJECT>Information Collection; Measurement Service Records</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Farm Service Agency, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice; request for comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In accordance with the Paperwork Reduction Act of 1995, the Farm Service Agency (FSA) is seeking comments from all interested individuals and organizations on an extension of a currently approved information collection associated with the Measurement Service Records.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>We will consider comments that we receive by March 14, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>We invite you to submit comments on this notice. In your comments, include date, volume and page number, the OMB Control Number and the title of the information collection of this issue of the<E T="04">Federal Register</E>. You may submit comments by any of the following methods:</P>
          <P>•<E T="03">Mail:</E>Joe Lewis, Common Provisions Branch, Production Emergencies and Compliance Division, USDA, FSA, Farm Programs 1400 Independence Avenue, SW., STOP 0517, Washington, DC 20250-0523.</P>
          <P>•<E T="03">E-mail: Joe.Lewis@wdc.usda.gov.</E>
          </P>
          <P>•<E T="03">Fax:</E>(202) 720-4941.</P>
          <P>You may also send comments to the Desk Officer for Agriculture, Office of Information and Regulatory Affairs, Office of Management and Budget, Washington, DC 20503.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Joe Lewis, USDA, Farm Service Agency, Production Emergencies and Compliance Division, (202) 720-0795, or<E T="03">Todd.Anderson@wdc.usda.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Description of Information Collection</HD>
        <P>
          <E T="03">Title:</E>Measurement Service Records.</P>
        <P>
          <E T="03">OMB Control Number:</E>0560-0260.</P>
        <P>
          <E T="03">Expiration Date:</E>05/31/2011.</P>
        <P>
          <E T="03">Type of Request:</E>Extension.</P>
        <P>
          <E T="03">Abstract:</E>The producers request a measurement of acreage or production from the FSA. Producers use form FSA-409 (Measurement Service Record) to make a request, which requires a measurement fee to be paid FSA. Producers provide the acreage and production information to the FSA when obtaining program benefits. Measurement service procedure is followed in accordance with 7 CFR part 718 and FSA Handbook 2-CP. The FSA is using the collected information to provide acreage or production measurements to producers and to ensure that measurements are accurate.</P>
        <P>
          <E T="03">Estimate of Annual Burden:</E>Public reporting burden for this collection of information is estimated to average .25 hours per response. The travel time, which is included in the total annual burden, is estimated to be 1 hour per respondent.</P>
        <P>
          <E T="03">Respondents:</E>Producers.</P>
        <P>
          <E T="03">Estimated Number of Respondents:</E>135,000.</P>
        <P>
          <E T="03">Estimated Number of Responses per Respondent:</E>1.</P>
        <P>
          <E T="03">Estimated Total Annual of Responses:</E>135,000.</P>
        <P>
          <E T="03">Estimated Total Annual Burden Hours:</E>168,750 hours.</P>
        <P>We are requesting comments on all aspects of this information collection to help us to:</P>
        <P>(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;</P>
        <P>(2) Evaluate the accuracy of the agency's estimate of burden including the validity of the methodology and assumptions used;</P>
        <P>(3) Enhance the quality, utility and clarity of the information to be collected;</P>
        <P>(4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.</P>
        <P>All comments received in response to this notice, including names and addresses when provided, will be a matter of public record. Comments will be summarized and included in the submission for OMB approval.</P>
        <SIG>
          <DATED>Signed in Washington, DC, on January 4, 2011.</DATED>
          <NAME>Jonathan Coppess,</NAME>
          <TITLE>Administrator, Farm Service Agency.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-345 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-05-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Forest Service</SUBAGY>
        <SUBJECT>Notice of Central Idaho Resource Advisory Committee Meeting</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Forest Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>Pursuant to the authorities in the Federal Advisory Committee Act (Pub. L. 92-463) and under the Secure Rural Schools and Community Self-Determination Act of 2000 (Pub. L. 110-343), the Salmon-Challis National Forest's Central Idaho Resource Advisory Committee will conduct a business meeting which is open to the public.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Monday, January 25, 2011, beginning at 10 a.m.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Salmon-Challis N.F. South Zone Office, Highway 93, Challis, Idaho.</P>
        </ADD>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Agenda topics will include, presentation of proposed projects, evaluation of some projects proposals, and approval and recommendation of some projects for Title II funding for 2011 and 2012. Some RAC members may attend the meeting by conference call, telephone, or electronically. The meeting is open to the public.</P>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Frank V. Guzman, Forest Supervisor and Designated Federal Officer, at 208-756-5111.</P>
          <SIG>
            <PRTPAGE P="1594"/>
            <DATED>Dated: January 5, 2011.</DATED>
            <NAME>Frank V. Guzman,</NAME>
            <TITLE>Forest Supervisor, Salmon-Challis National Forest.</TITLE>
          </SIG>
        </FURINF>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-320 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-11-M</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Forest Service</SUBAGY>
        <SUBJECT>North Central Idaho Resource Advisory Committee</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Forest Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meetings.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The North Central Idaho RAC will meet in Grangeville, Idaho. The committee is meeting as authorized under the Secure Rural Schools and Community Self-Determination Act (Pub. L. 110-343) and in compliance with the Federal Advisory Committee Act. The purpose of the meetings are to discuss and select projects for 2011 and 2012.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The meetings will be held January 26th, February 23rd and 24th, and March 24, 2011, at 10 a.m. (PST).</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>The meetings will be held at the Nez Perce National Forest Supervisors Office, 104 Airport Road, Grangeville, Idaho. Written comments should be sent to Laura Smith at 104 Airport Road in Grangeville, Idaho 83530. Comments may also be sent via email to<E T="03">lasmith@fs.fed.us</E>or via facsimile to Laura at 208-983-4099.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Laura Smith, Designated Forest Official at 208-983-5143.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The meeting is open to the public. A public forum will begin at 3:15 p.m. (PST) on each meeting day. The following business will be conducted: Comments and questions from the public to the committee. Persons who wish to bring related matters to the attention of the Committee may file written statements with the Committee staff before or after the meeting.</P>
        <SIG>
          <DATED>Dated: January 3, 2011.</DATED>
          <NAME>Ralph E. Rau,</NAME>
          <TITLE>Deputy Forest Supervisor.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-96 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-11-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Forest Service</SUBAGY>
        <SUBJECT>Francis Marion Sumter National Forests Resource Advisory Committee</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Forest Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Francis Marion Sumter National Forests Resource Advisory Committee will meet in Columbia, South Carolina. The committee is meeting as authorized under the Secure Rural Schools and Community Self-Determination Act (Pub. L. 110-343) and in compliance with the Federal Advisory Committee Act. The purpose of the meeting is to review proposals that were submitted for Title II funding.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The meeting will be held on February 3, 2010, and will begin at 9:30 a.m.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>The meeting will be held at the Forest Service office, Large Conference Room, 4931 Broad River Road, Columbia, SC. Written comments should be sent to Mary Morrison, Francis Marion Sumter National Forests, 4931 Broad River Road, Columbia, SC 29212. Comments may also be sent via e-mail to<E T="03">mwmorrison@fs.fed.us,</E>or via facsimile to 803-561-4004.</P>
          <P>All comments, including names and addresses when provided, are placed in the record and are available for public inspection and copying. The public may inspect comments received at Francis Marion Sumter National Forests Office, 4931 Broad River Road, Columbia, SC 29212. Visitors are encouraged to call ahead to 803-561-4058 to facilitate review of the comments.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Mary Morrison, RAC coordinator, USDA, Francis Marion Sumter National Forests, 4931 Broad River Road, Columbia, SC 29212; (803) 561-4058; E-mail<E T="03">mwmorrison@fs.fed.us.</E>
          </P>
          <P>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 Standard Time, Monday through Friday.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The meeting is open to the public. The following business will be conducted: (1) Introductions of all committee members, replacement members and Forest Service personnel; (2) Receive materials explaining the process for considering and recommending Title II projects; (3) Review and Recommend Title II proposals; and (4) Public Comment. Persons who wish to bring related matters to the attention of the Committee may file written statements with the Committee staff before or after the meeting.</P>
        <SIG>
          <DATED>Dated: January 3, 2011.</DATED>
          <NAME>Paul Bradley,</NAME>
          <TITLE>Designated Federal Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-340 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-11-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Forest Service</SUBAGY>
        <SUBJECT>Amador County Resource Advisory Committee</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Forest Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Amador County Resource Advisory Committee will meet in Sutter Creek, California. The committee is meeting as authorized under the Secure Rural Schools and Community Self-Determination Act (Pub. L. 110-343) and in compliance with the Federal Advisory Committee Act. Project proposals will be discussed and voted on to determine which projects will be recommended to Eldorado National Forest Supervisor Ramior Villalvazo for approval and implementation.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The meeting will be held on January 18, 2011 beginning at 6 p.m.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>The meeting will be held at 10877 Conductor Blvd., Sutter Creek, CA. Written comments should be sent to Frank Mosbacher; Forest Supervisor's Office; 100 Forni Road; Placerville, CA 95667. Comments may also be sent via e-mail to<E T="03">fmosbacher@fs.fed.us,</E>or via facsimile to 530-621-5297.</P>
          <P>All comments, including names and addresses when provided, are placed in the record and are available for public inspection and copying. The public may inspect comments received at 100 Forni Road; Placerville, CA 95667. Visitors are encouraged to call ahead to 530-622-5061 to facilitate entry into the building.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Frank Mosbacher, Public Affairs Officer, Eldorado National Forest Supervisors Office, (530) 621-5268.</P>
          <P>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 Standard Time, Monday through Friday.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The meeting is open to the public. The following business will be conducted: At that meeting the RAC will review project proposals submitted by the Forest Service and the public, listen to project proponents explain their projects, deliberate and vote on projects to recommend for approval and implementation and conduct RAC management business.</P>

        <P>More information will be postd on the Eldorado National Forest Web site<E T="03">@http://www.fs.fed.us/r5/eldorado.</E>A public comment opportunity will be made available following the business activity. Future meetings will have a formal public imput period for those<PRTPAGE P="1595"/>following the yet to be developed public imput process.</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Ramiro Villalvazo,</NAME>
          <TITLE>Forest Supervisor.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-362 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-11-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Natural Resources Conservation Service</SUBAGY>
        <SUBJECT>Notice of Proposed Changes to the National Handbook of Conservation Practices for the Natural Resources Conservation Service</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Natural Resources Conservation Service (NRCS), USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of availability of proposed changes in the NRCS National Handbook of Conservation Practices for public review and comment.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>Notice is hereby given of the intention of NRCS to issue a series of revised conservation practice standards in the National Handbook of Conservation Practices. These standards include: Aquatic Organism Passage (Code 396), Bivalve Aquaculture Waste Control (Code 400), Cross Wind Trap Strips (Code 589c), Irrigation Field Ditch (Code 388), Nutrient Management (Code 590), and Waste Facility Closure (Code 360).</P>
          <P>NRCS State Conservationists who choose to adopt these practices for use within their States will incorporate them into section IV of their respective electronic Field Office Technical Guide. These practices may be used in conservation systems that treat highly erodible land (HEL) or on land determined to be a wetland. Section 343 of the Federal Agriculture Improvement and Reform Act of 1996 requires NRCS to make available for public review and comment all proposed revisions to conservation practice standards used to carry out HEL and wetland provisions of the law.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>This is effective January 11, 2011.</P>
          <P>
            <E T="03">Comment Date:</E>Submit comments on or before February 25, 2011. Final versions of these new or revised conservation practice standards will be adopted after the close of the 45-day period, and after consideration of all comments.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Comments should be submitted using any of the following methods:</P>
          <P>•<E T="03">Mail:</E>Wayne Bogovich, National Agricultural Engineer, Conservation Engineering Division, Department of Agriculture, Natural Resources Conservation Service, 1400 Independence Avenue, SW., Room 6136 South Building, Washington, DC 20250.</P>
          <P>•<E T="03">E-mail: wayne.bogovich@wdc.usda.gov</E>.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Wayne Bogovich, National Agricultural Engineer, Conservation Engineering Division, Department of Agriculture, Natural Resources Conservation Service, 1400 Independence Avenue, SW., Room 6136 South Building, Washington, DC 20250.</P>

          <P>Electronic copies of these standards can be downloaded or printed from the following Web site:<E T="03">ftp://ftp-fc.sc.egov.usda.gov/NHQ/practice-standards/federal-register/</E>. Requests for paper versions or inquiries may be directed to Wayne Bogovich, National Agricultural Engineer, Conservation Engineering Division, Department of Agriculture, Natural Resources Conservation Service, 1400 Independence Avenue, SW., Room 6136 South Building, Washington, DC 20250.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>The amount of the proposed changes varies considerably for each of the Conservation Practice Standards addressed in this notice. To fully understand the proposed changes, individuals are encouraged to compare these changes with each standard's current version as shown at:<E T="03">http://www.nrcs.usda.gov/technical/Standards/nhcp.html</E>. To aid in this comparison, following are highlights of the proposed revisions to each standard:</P>
        <P>
          <E T="03">Aquatic Organism Passage (Code 396)</E>—The title was changed from “Fish Passage” to “Aquatic Organism Passage” in an effort to better reflect the full range of passage projects completed under the standard across the United States and its protectorates. Both the Definition and Purpose were modified by removing unnecessary words. Two new Criteria were added. Textual references to additional relevant standards were added, and the references cited section was updated to match material presented in the body of the standard. Minor edits were made to improve the readability and clarity of the standard.</P>
        <P>
          <E T="03">Bivalve Aquaculture Waste Control (Code 400)</E>—This is a new conservation practice standard.</P>
        <P>
          <E T="03">Cross Wind Trap Strips (Code589c)</E>—The purpose to induce deposition and reduce transport of wind-borne sediment and sediment-borne contaminants downwind changed to induce wind-borne sediment deposition. Deleted the purpose to provide food and cover for wildlife. Added two new purposes: Induce snow deposition and improve air quality by reducing the generation of airborne particulate matter. The existing criteria in the standard were reformatted to be listed under the appropriate additional criteria for the intended purpose.</P>
        <P>
          <E T="03">Irrigation Field Ditch (Code 388)</E>—Revised Purpose, adding Improvement of Energy Efficiency; revised Criteria, to remove compliance with Federal, State, and local laws and regulations; revised Criteria, changing reference for maximum design velocity from Technical Release 25 to National Engineering Handbook 654; expanded Considerations; expanded Plans and Specifications; and added References.</P>
        <P>
          <E T="03">Nutrient Management (Code 590)</E>—This standard has been updated to promote enhanced nutrient management planning activities at the State level. The standard delivers the minimum requirements for nutrient planning associated with USDA programs. Focus has been added on erosion control, nutrient use efficiency, adaptive nitrogen management tactics, tile drainage, and better management of the 4Rs of nutrient application (Right source, Right timing, Right amount, and Right placement).</P>
        <P>
          <E T="03">Waste Facility Closure (Code 360)</E>—This standard has been updated to include the remediation of contaminated soil in dry waste storage facilities. The name of the standard has also been changed to reflect the expanded definition of decommissioning dry waste facilities. A more widespread use of this standard is anticipated with the inclusion of dry waste facilities. We do not anticipate controversial issues or problems with these changes, nor do we envision the changes will make it more difficult for the States to implement this standard.</P>
        <SIG>
          <DATED>Signed this 5th day of January 2011, in Washington, DC.</DATED>
          <NAME>Dave White,</NAME>
          <TITLE>Chief, Natural Resources Conservation Service.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-373 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3410-16-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Rural Housing Service</SUBAGY>
        <SUBJECT>Notice of Request for Extension of a Currently Approved Information Collection</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Rural Housing Service.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Proposed collection; Comments requested.</P>
        </ACT>
        <SUM>
          <PRTPAGE P="1596"/>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In accordance with the Paperwork Reduction Act of 1995, this notice announces the Rural Housing Service's intention to request an extension for a currently approved information collection in support of the program of the Agency's use of supervised bank accounts (SBA).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments on this notice must be received by March 14, 2011 to be assured of consideration.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Ancil Green, Financial Loan Analyst, Multi-Family Housing Portfolio Management Division, RHS, STOP 0782, U.S. Department of Agriculture, 1400 Independence Avenue, SW., Washington, DC 20250-0782.<E T="03">Telephone:</E>(202) 690-0760.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P SOURCE="NPAR">
          <E T="03">Title:</E>7 CFR 1902-A, Supervised Bank Accounts.</P>
        <P>
          <E T="03">OMB Number:</E>0575-0158.</P>
        <P>
          <E T="03">Expiration Date of Approval:</E>04/30/2011</P>
        <P>
          <E T="03">Type of Request:</E>Extension of a Currently Approved Information Collection.</P>
        <P>
          <E T="03">Abstract:</E>The Agency extends financial assistance to applicants that do not qualify for loans under commercial rates and terms.</P>
        <P>The Agency use SBAs as a mechanism to (1) Ensure correct disbursement and expenditure of all funds designated for a project; (2) help a borrower properly manage its financial affairs; (3) ensure that the Government's security is protected adequately from fraud, waste and abuse.</P>
        <P>SBAs are mandatory for Multi-Family Housing (MFH) reserve accounts. The MFH funds must be kept in the SBA for the full term of a loan. Any funds withdrawn for disbursement for an authorized purpose require a countersignature from an Agency official.</P>
        <P>This regulation prescribes the policies and responsibilities for the use of SBAs. In carrying out the mission as a supervised credit Agency, this regulation authorizes the use of supervised accounts for the disbursement of funds. The use may be necessitated to disburse Government funds consistent with the various stages of any development (construction) work actually achieved. On limited occasions, a supervised account is used to provide temporary credit counseling and oversight of those being assisted who demonstrate an inability to handle their financial affairs responsibly. Another use is for depositing MFH reserve account funds in a manner requiring Agency co-signature for withdrawals. MFH reserve account funds are held in a reserve account for the future capital improvement needs for apartment properties. Supervised accounts are established to ensure Government security is adequately protected against fraud, waste and abuse.</P>
        <P>The legislative authority for requiring the use of supervised accounts is contained section 510 of the Housing Act of 1949, as amended (42 U.S.C. 1480). These provisions authorize the Secretary of Agriculture to make such rules and regulations as deemed necessary to carry out the responsibilities and duties the Government is charged with administering.</P>
        <P>
          <E T="03">Estimate of Burden:</E>Public reporting burden for this information collection is estimated to average .38 hours per response.</P>
        <P>
          <E T="03">Respondents:</E>Small Business.</P>
        <P>
          <E T="03">Estimated Average Number of Respondents:</E>20,000.</P>
        <P>
          <E T="03">Estimated Total Annual Responses:</E>70,292.</P>
        <P>
          <E T="03">Estimated Total Number of Man Hours:</E>26,929.</P>
        <P>
          <E T="03">Estimated Hourly Salary Rate:</E>$22.</P>
        <P>
          <E T="03">Estimated Total Cost (Man Hours × Hourly Rate):</E>$593,317.</P>

        <P>Statistical Data obtained from the Bureau of Labor Statistics, Employment, Hours and Earning year 2009-10 (<E T="03">http://bls.gov/</E>).</P>
        <P>Copies of this information collection can be obtained from Jeanne Jacobs, Regulations and Paperwork Management Branch, at (202) 692-0040.</P>
        <HD SOURCE="HD1">Comments</HD>
        <P>
          <E T="03">Comments are invited on:</E>(a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility; (b) the accuracy of the Agency's estimate of the burden of the proposed collection of information including the validity of the methodology and assumptions used; (c) ways to enhance the quality, utility and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology. Comments may be sent to Jeanne Jacobs, Regulations and Paperwork Management Branch, U.S. Department of Agriculture, Rural Development, STOP 0732, 1400 Independence Ave., SW., Washington, DC 20250.</P>
        <P>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.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Tammye H. Trevino,</NAME>
          <TITLE>Administrator, Rural Housing Service.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-304 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Rural Housing Service</SUBAGY>
        <SUBJECT>Notice of Request for Extension of a Currently Approved Information Collection</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Rural Housing Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Proposed collection; comments requested.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In accordance with the Paperwork Reduction Act of 1995, this Notice announces the Rural Housing Service's intention to request an extension for a currently approved information collection in support of the program for the Guaranteed Rural Rental Housing Program.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments on this Notice must be received by March 14, 2011 to be assured of consideration.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Tammy Daniels, Financial and Loan Analyst, Multi-Family Housing Guaranteed Loan Division, Rural Housing Service, USDA, Stop 0781, 1400 Independence Avenue, SW., Washington, DC 20250, telephone: (202) 720-0021.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P/>
        <P>
          <E T="03">Title:</E>Guaranteed Rural Rental Housing Program.</P>
        <P>
          <E T="03">OMB Number:</E>0575-0174.</P>
        <P>
          <E T="03">Expiration Date of Approval:</E>June 30, 2011.</P>
        <P>
          <E T="03">Type of Request:</E>Extension of a Currently Approved Information Collection.</P>
        <P>
          <E T="03">Abstract:</E>On March 28, 1996, President Clinton signed the “Housing Opportunity Program Extension Act of 1996.” One of the provisions of the Act was the authorization of the Section 538 Guaranteed Rural Rental Housing Loan Program, adding the program to the Housing Act of 1949. The program has been designed to increase the supply of affordable Multi-Family Housing (MFH) through partnerships between RHS and major lending sources, as well as State and local housing finance agencies and bond issuers. Qualified lenders will be authorized to originate, underwrite, and close loans for MFH projects. To be considered, these projects must be either new construction or acquisition with rehabilitation with at least $6,500 per unit.<PRTPAGE P="1597"/>
        </P>
        <P>The housing must be available for occupancy only to low- or moderate-income families or persons, whose incomes at the time of initial occupancy do not exceed 115 percent of the median income of the area. After initial occupancy, the tenant's income may exceed these limits; however, rents, including utilities, are restricted to no more than 30 percent of the 115 percent of area median income for the term of the loan.</P>
        <P>The Secretary is authorized under Section 510(k) of the Housing Act of 1949 to prescribe regulations to ensure that these federally-funded loans are made to eligible applicants for authorized purposes. The lender must evaluate the eligibility, cost, benefits, feasibility, and financial performance of the proposed project. The Agency collects this information from the lender to determine if funds are being used to meet the goals and mission of Rural Development. The information submitted by the lender to the Agency is used by the Agency to manage, plan, evaluate, and account for Government resources.</P>
        <P>
          <E T="03">Estimate of Burden:</E>Public reporting burden for this collection of information is estimated to average 1.8 man hours per response.</P>
        <P>
          <E T="03">Respondents:</E>Non-profit and for-profit lending corporations and public bodies.</P>
        <P>
          <E T="03">Estimated Number of Respondents:</E>150.</P>
        <P>
          <E T="03">Estimated Number of Responses per Respondent:</E>16.7.</P>
        <P>
          <E T="03">Estimated Number of Responses:</E>2,498.</P>
        <P>
          <E T="03">Estimated Total Annual Burden on Respondents:</E>1,389 hours.</P>
        <P>Copies of this information collection can be obtained from Jeanne Jacobs, Regulations and Paperwork Management Branch, at (202) 692-0040.</P>
        <P>
          <E T="03">Comments:</E>
        </P>
        <P>Comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility; (b) the accuracy of the Agency's estimate of the burden of the proposed collection of information including the validity of the methodology and assumptions used; (c) ways to enhance the quality, utility and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology. Comments may be sent to Jeanne Jacobs, Regulations and Paperwork Management Branch, U.S. Department of Agriculture, Rural Development, STOP 0742, 1400 Independence Avenue, SW., Washington, DC 20250. 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.</P>
        <SIG>
          <DATED>Dated: January 3, 2011.</DATED>
          <NAME>Tammye Treviño,</NAME>
          <TITLE>Administrator, Rural Housing Service.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-305 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF AGRICULTURE</AGENCY>
        <SUBAGY>Rural Utilities Service</SUBAGY>
        <SUBJECT>Information Collection Activity; Comment Request</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Rural Utilities Service, USDA.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice and request for comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended), the Rural Utilities Service, an agency delivering the United States Department of Agriculture's (USDA) Rural Development Utilities Programs, hereinafter referred to as Rural Development and/or Agency, invites comments on this information collection for which the Agency intends to request approval from the Office of Management and Budget (OMB).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments on this notice must be received by March 14, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Michele L. Brooks, Director, Program Development and Regulatory Analysis, Rural Utilities Service, 1400 Independence Ave., SW., STOP 1522, Room 5162 South Building, Washington, DC 20250-1522. Telephone: (202) 690-1078, FAX: (202) 690-1078.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>The Office of Management and Budget's (OMB) regulation (5 CFR 1320) implementing provisions of the Paperwork Reduction Act of 1995 (Pub. L. 104-13) requires that interested members of the public and affected agencies have an opportunity to comment on information collection and recordkeeping activities (<E T="03">see</E>5 CFR 1320.8(d)). This notice identifies an information collection that the Agency is submitting to OMB for extension.</P>
        <P>
          <E T="03">Comments are invited on:</E>(a) Whether the proposed collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility; (b) the accuracy of the Agency's estimate of the burden of the proposed collection of information including the validity of the methodology and assumptions used; (c) ways to enhance the quality, utility and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology. Comments may be sent to: Michele L. Brooks, Director, Program Development and Regulatory Analysis, Rural Utilities Service, U.S. Department of Agriculture, STOP 1522, Room 5162, 1400 Independence Ave., SW., Washington, DC 20250-1522. FAX: (202)720-4120.</P>
        <P>
          <E T="03">Title:</E>Public Television Station Digital Transition Grant Program.</P>
        <P>
          <E T="03">OMB Control Number:</E>0572-0134.</P>
        <P>
          <E T="03">Type of Request:</E>Extension of a currently approved information collection.</P>
        <P>
          <E T="03">Abstract:</E>As part of the nation's evolution to digital television, the Federal Communications Commission had ordered all television broadcasters to initiate the broadcast of a digital television signal. Public television stations rely largely on community financial support to operate. In many rural areas the cost of the transition to digital broadcasting may exceed community resources. Since rural communities depend on public television stations for services ranging from educational course content in their schools to local news, weather, and agricultural reports, any disruption of public television broadcasting would be detrimental.</P>

        <P>Initiating a digital broadcast requires the installation of a new antenna, transmitter or translator, and new digital program management facilities consisting of processing and storage systems. Public television stations use a combination of transmitters and translators to serve the rural public. If the public television station is to perform program origination functions, as most do, digital cameras, editing and mastering systems are required. A new studio-to-tower site communications link may be required to transport the digital broadcast signal to each transmitter and translator. The capability to broadcast some programming in a high definition television format is inherent in the digital television standard, and this can require additional facilities at the<PRTPAGE P="1598"/>studio. These are the new components of the digital transition.</P>
        <P>In designing the national competition for the distribution of these grant funds, priority is given to public television stations serving the areas that would be most unable to fund the digital transition without a grant. The largest sources of funding for public television stations are public membership and business contributions. In rural areas, lower population density reduces the field of membership, and rural areas have fewer businesses per capita than urban and suburban areas. Therefore, rurality is a primary predictor of the need for grant funding for a public television station's digital transition. In addition, some rural areas have per capita income levels that are lower than the national average, and public television stations covering these areas in particular are likely to have difficulty funding the digital transition. As a result, the consideration of the per capita income of a public television station's coverage area is a secondary predictor of the need for grant funding. Finally, some public television stations may face special difficulty accomplishing the transition, and a third scoring factor for station hardship will account for conditions that make these public television stations less likely to accomplish the digital transition without a grant.</P>
        <P>
          <E T="03">Estimate of Burden:</E>Public reporting burden for this collection of information is estimated to average 21 hours per response.</P>
        <P>
          <E T="03">Respondents:</E>Not-for-profit institutions; State, Local or Tribal Government.</P>
        <P>
          <E T="03">Estimated Number of Respondents:</E>50.</P>
        <P>
          <E T="03">Estimated Number of Responses per Respondent:</E>1.12.</P>
        <P>
          <E T="03">Estimated Total Annual Burden on Respondents:</E>1,168 hours.</P>
        <P>Copies of this information collection can be obtained from MaryPat Daskal, Program Development and Regulatory Analysis, at (202) 720-7853. FAX: (202) 720-4120</P>
        <P>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.</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Jonathan Adelstein,</NAME>
          <TITLE>Administrator, Rural Utilities Service.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-372 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF COMMERCE</AGENCY>
        <SUBJECT>Submission for OMB Review; Comment Request</SUBJECT>
        <P>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).</P>
        <P>
          <E T="03">Agency:</E>U.S. Census Bureau.</P>
        <P>
          <E T="03">Title:</E>National Survey of Fishing, Hunting, and Wildlife-Associated Recreation (FHWAR) Cell Phone and Debit Card Test.</P>
        <P>
          <E T="03">OMB Control Number:</E>None.</P>
        <P>
          <E T="03">Form Number(s):</E>Control Advance Letter FHW-W1[T], Prenotice Postcard for Cell Phone Sample FHW-W1[C1], Advance Letter for Cell Phone Sample FHW-W1[C2], Advance Letter for Debit Card Sample FHW-W1[D].</P>
        <P>
          <E T="03">Type of Request:</E>New collection.</P>
        <P>
          <E T="03">Burden Hours:</E>254.</P>
        <P>
          <E T="03">Number of Respondents:</E>1,500.</P>
        <P>
          <E T="03">Average Hours per Response:</E>8 minutes.</P>
        <P>
          <E T="03">Needs and Uses:</E>The U.S. Fish and Wildlife Service (FWS) and the U.S. Census Bureau plan to conduct (covered under separate OMB clearance number 1018-0088) the 2011 National Survey of Fishing, Hunting, and Wildlife-Associated Recreation (FHWAR) which is authorized under the Fish and Wildlife Act of 1956 and the Wildlife and Sport Fish Restoration Programs Improvement Act of 2000. The Census Bureau is authorized to conduct the FHWAR under Title 13, United States Code Section 8(b). The FHWAR data, collected approximately every five years, assist Federal and State agencies in administering the Sport Fish and Wildlife Restoration grant programs and provide up-to-date information on the uses and demands for wildlife-related recreation resources, trends in uses of those resources, and a basis for developing and evaluating programs and projects to meet existing and future needs.</P>
        <P>The FHWAR uses an address-based sample selected from the Census Bureau's Master Address File (MAF). Interviewing is conducted using Computer-Assisted Telephone Interviewing (CATI) and Computer-Assisted Personal Interviewing (CAPI). Through research conducted by Relevate, Lexis Nexis, and by researchers at the Census Bureau's three telephone centers, we estimate that we will obtain telephone numbers for 47,891 sample households that will be eligible for CATI interviewing. With a total household sample of 81,955, this leaves 34,064 households eligible for a CAPI interview. Due to the cost of conducting personal visit interviews, the 2011 FHWAR budget will only fund 5,154 CAPI interviews. These 5,154 cases will be subsampled from the 34,064 cases for which we do not have a household telephone number.</P>
        <P>A CAPI sample in the FHWAR is particularly important because households with available phone numbers may differ in characteristics from those without telephones and those with unlisted phone numbers. By decreasing our sample from 34,064 to 5,154, we are introducing additional variance in our survey data.</P>
        <P>The purpose of the Cell Phone and Debit Card Test is to research alternative survey designs that could increase the number of CATI interviews while reducing the variance associated with conducting fewer CAPI interviews.</P>
        <P>Researching comparable alternatives to CAPI interviewing is important since the FWS has limited funding to conduct the survey. An FHWAR CAPI interview is estimated to cost approximately $600 per case, while a CATI interview is estimated to cost $65 per case.</P>
        <P>We plan to conduct a test in the first wave of interviewing (the FHWAR is conducted in three waves) that includes three panels of 500 households each. We will select the test cases from the remaining cases (approximately 28,910 cases) without phone numbers after the production CAPI sample is selected. These 1,500 cases will remain in the CATI sample; they will not be sent for CAPI interviewing.</P>

        <P>The first panel will receive an advance letter with a cell phone. The advance letter will ask that a household member call the telephone center and complete an interview using the cell phone. The telephone centers will also attempt to contact these households using the assigned cell phone telephone number. The second panel will receive an advance letter and a $25 incentive. The advance letter will ask that a household member call the telephone center to complete an interview and accept the prepaid debit or gift card as a “thank you” for participating. The third panel will only receive an advance letter that requests a household member call the telephone center to complete an interview. (<E T="02">Note:</E>The only way that contact will be made with households in the second and third panels will be if household respondents call the telephone center.)</P>

        <P>The test data from these three panels will not be included with the production FHWAR data and the FWS will not have access to the data.<PRTPAGE P="1599"/>
        </P>
        <P>If this study proves successful, it may also provide an option for future FHWAR surveys and other Census Bureau surveys interested in reducing field data collection costs.</P>
        <P>
          <E T="03">Affected Public:</E>Households or individuals.</P>
        <P>
          <E T="03">Frequency:</E>One-time.</P>
        <P>
          <E T="03">Respondent's Obligation:</E>Voluntary.</P>
        <P>
          <E T="03">Legal Authority:</E>Title 13 U.S.C., Section 8(b).</P>
        <P>
          <E T="03">OMB Desk Officer:</E>Brian Harris-Kojetin, (202) 395-7314.</P>

        <P>Copies of the above information collection proposal can be obtained by calling or writing Diana Hynek, Departmental Paperwork Clearance Officer, (202) 482-0266, Department of Commerce, Room 6616, 14th and Constitution Avenue, NW., Washington, DC 20230 (or via the Internet at<E T="03">dhynek@doc.gov</E>).</P>

        <P>Written comments and recommendations for the proposed information collection should be sent within 30 days of publication of this notice to Brian Harris-Kojetin,OMB Desk Officer either by fax (202-395-7245) or e-mail (<E T="03">bharrisk@omb.eop.gov</E>).</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Glenna Mickelson,</NAME>
          <TITLE>Management Analyst, Office of the Chief Information Officer.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-313 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3510-07-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
        <SUBAGY>Foreign-Trade Zones Board</SUBAGY>
        <DEPDOC>[Docket 4-2011]</DEPDOC>
        <SUBJECT>Foreign-Trade Zone 203—Moses Lake, Washington; Application for Manufacturing Authority, SGL Automotive Carbon Fibers, LLC, (Carbon Fiber Manufacturing), Moses Lake, WA</SUBJECT>
        <P>An application has been submitted to the Foreign-Trade Zones Board (the Board) by the Port of Moses Lake Public Corporation, grantee of FTZ 203, requesting export-only manufacturing authority on behalf of SGL Automotive Carbon Fibers, LLC (SGL Automotive), located in Moses Lake, Washington. The application was submitted pursuant to the provisions of the Foreign-Trade Zones Act, as amended (19 U.S.C. 81a-81u), and the regulations of the Board (15 CFR part 400), specifically Section 400.32(b)(1). It was formally filed on January 4, 2011.</P>
        <P>The SGL Automotive facility (12 employees initially and up to 250 employees at full production; 60 acres) is located within Site 3 of FTZ 203. This new facility will be used for the manufacture of carbon fiber, all of which will be exported for the exclusive use of BMW Group in its new electric car production. This application requests authority to allow SGL Automotive to conduct manufacturing of carbon fiber (1,500 metric tons at the outset and up to 15,000 metric tons at full capacity) under FTZ procedures for export. Foreign-origin polyacrylonitrile (PAN) fiber (HTSUS 5501.30, duty rate: 7.5%) will be used as the primary production input, which represents some 45 percent of finished product value.</P>
        <P>FTZ procedures could exempt SGL Automotive from customs duty payments on the PAN fiber used in export production (100 percent of shipments). FTZ designation could further allow SGL Automotive to realize certain customs-related logistical benefits. Customs duties also could possibly be deferred or reduced on foreign status production equipment. The request indicates that the savings from FTZ procedures would help improve the plant's international competitiveness.</P>
        <P>In accordance with the Board's regulations, Diane Finver of the FTZ Staff is designated examiner to evaluate and analyze the facts and information presented in the application and case record and to report findings and recommendations to the Board.</P>
        <P>Public comment is invited from interested parties. Submissions (original and 3 copies) shall be addressed to the Board's Executive Secretary at the address below. The closing period for their receipt is February 10, 2011. Rebuttal comments in response to material submitted during the foregoing period may be submitted during the subsequent 15-day period to February 25, 2011.</P>

        <P>A copy of the application will be available for public inspection at the Office of the Executive Secretary, Foreign-Trade Zones Board, Room 2111, U.S. Department of Commerce, 1401 Constitution Avenue, NW., Washington, DC 20230-0002, and in the “Reading Room” section of the Board's Web site, which is accessible via<E T="03">http://www.trade.gov/ftz.</E>
        </P>
        <P>For further information, contact Diane Finver at<E T="03">Diane.Finver@trade.gov</E>or (202) 482-1367.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Andrew McGilvray,</NAME>
          <TITLE>Executive Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-398 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3510-DS-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
        <SUBAGY>International Trade Administration</SUBAGY>
        <DEPDOC>[A-351-825]</DEPDOC>
        <SUBJECT>Stainless Steel Bar From Brazil: Final Results of Antidumping Duty Administrative Review</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Import Administration, International Trade Administration, Department of Commerce.</P>
        </AGY>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>On November 3, 2010, the Department of Commerce (the Department) published the preliminary results of its administrative review of the antidumping duty order on stainless steel bar from Brazil. The review covers one producer/exporter of the subject merchandise, Villares Metals S.A. (VMSA). The period of review is February 1, 2009, through January 31, 2010. We gave interested parties an opportunity to comment on our preliminary results. We received no comments on our preliminary results. The final weighted-average dumping margin for VMSA is listed below in the “Final Results of Review” section of this notice.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>January 11, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Sandra Stewart or Minoo Hatten, AD/CVD Operations, Office 5, Import Administration, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230, telephone: (202) 482-0768 or (202) 482-1690, respectively.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Background</HD>

        <P>On November 3, 2010, the Department published the preliminary results of its administrative review of the antidumping duty order on stainless steel bar (SSB) from Brazil. See<E T="03">Stainless Steel Bar From Brazil: Preliminary Results of Antidumping Duty Administrative Review,</E>75 FR 67689 (November 3, 2010) (<E T="03">Preliminary Results</E>). We invited interested parties to comment on the<E T="03">Preliminary Results.</E>We did not receive comments from any interested parties.</P>
        <P>The Department has conducted this administrative review in accordance with section 751 of the Tariff Act of 1930, as amended (the Act).</P>
        <HD SOURCE="HD1">Scope of the Order</HD>

        <P>The scope of the order covers SSB. The term SSB with respect to the order means articles of stainless steel in straight lengths that have been either hot-rolled, forged, turned, cold-drawn, cold-rolled or otherwise cold-finished,<PRTPAGE P="1600"/>or ground, having a uniform solid cross section along their whole length in the shape of circles, segments of circles, ovals, rectangles (including squares), triangles, hexagons, octagons or other convex polygons. SSB includes cold-finished SSBs that are turned or ground in straight lengths, whether produced from hot-rolled bar or from straightened and cut rod or wire, and reinforcing bars that have indentations, ribs, grooves, or other deformations produced during the rolling process. Except as specified above, the term does not include stainless steel semi-finished products, cut-length flat-rolled products (<E T="03">i.e.,</E>cut-length rolled products which if less than 4.75 mm in thickness have a width measuring at least 10 times the thickness, or if 4.75 mm or more in thickness having a width which exceeds 150 mm and measures at least twice the thickness), wire (<E T="03">i.e.,</E>cold-formed products in coils, of any uniform solid cross section along their whole length, which do not conform to the definition of flat-rolled products), and angles, shapes and sections. The SSB subject to the order is currently classifiable under subheadings 7222.10.0005, 7222.10.0050, 7222.20.0005, 7222.20.0045, 7222.20.0075, and 7222.30.0000 of the Harmonized Tariff Schedule of the United States (HTSUS). Although the HTSUS subheadings are provided for convenience and customs purposes, the written description of the scope of the order is dispositive.</P>
        <HD SOURCE="HD1">Changes Since the Preliminary Results</HD>

        <P>We identified a slight programming syntax error in our calculations after publication of the<E T="03">Preliminary Results.</E>We have corrected the syntax error for the final results. Despite this correction, the dumping margin for VMSA remains unchanged. For a more detailed description of this change please see the final analysis memorandum for VMSA, dated concurrently with this notice, which is on file in the Department's Central Records Unit, Room 7046 of the main Commerce building.</P>
        <HD SOURCE="HD1">Final Results of Review</HD>
        <P>As announced in the<E T="03">Preliminary Results,</E>we disregarded sales at prices below cost in the home market when determining normal value in the course of this administrative review. As a result of our review, we determine that the weighted-average dumping margin of 4.07 percent exists for VMSA for the period February 1, 2009, through January 31, 2010.</P>
        <HD SOURCE="HD1">Assessment Rates</HD>

        <P>The Department shall determine, and CBP shall assess, antidumping duties on all appropriate entries. In accordance with 19 CFR 351.212(b)(1), we have calculated importer/customer-specific assessment rates for these final results of review. For sales where VMSA reported entered value, we divided the total dumping margins (calculated as the difference between normal value and EP) for the reviewed sales by the total entered value of those reviewed sales for each reported importer or customer. For sales where entered value was not reported, we divided the total dumping margins for each exporter's importer or customer by the total number of units the exporter sold to that importer or customer. We will instruct CBP to assess the resulting importer/customer-specific<E T="03">ad-valorem</E>rate or per-unit dollar amount, as appropriate, on all entries of subject merchandise made by the relevant importer or customer during the period of review. See 19 CFR 351.212(b).</P>

        <P>The Department clarified its “automatic assessment” regulation on May 6, 2003. This clarification will apply to entries of subject merchandise during the period of review produced by VMSA for which VMSA did not know its merchandise was destined for the United States. In such instances, we will instruct CBP to liquidate unreviewed entries of VMSA-produced merchandise at the all-others rate if there is no rate for the intermediate company(ies) involved in the transaction. For a full discussion of this clarification, see<E T="03">Antidumping and Countervailing Duty Proceedings: Assessment of Antidumping Duties,</E>68 FR 23954 (May 6, 2003).</P>
        <P>The Department intends to issue instructions to CBP 15 days after the publication of these final results of review.</P>
        <HD SOURCE="HD1">Cash-Deposit Requirements</HD>

        <P>The following deposit requirements will be effective upon publication of this notice of final results of administrative review for all shipments of SSB from Brazil entered, or withdrawn from warehouse, for consumption on or after the date of publication, as provided by section 751(a)(2)(C) of the Act: (1) The cash-deposit rate for VMSA will be 4.07 percent; (2) for previously reviewed or investigated companies not listed above, the cash-deposit rate will continue to be the company-specific rate published for the most recent period; (3) if the exporter is not a firm covered in this review, a prior review, or the less-than-fair-value investigation but the manufacturer is, the cash-deposit rate will be the rate established for the most recent period for the manufacturer of the merchandise; (4) if neither the exporter nor the manufacturer has its own rate, the cash-deposit rate will be the all-others rate for this proceeding, 19.43 percent. See<E T="03">Notice of Final Determination of Sales at Less Than Fair Value: Stainless Steel Bar From Brazil,</E>59 FR 66914 (December 28, 1994). These deposit requirements shall remain in effect until further notice.</P>
        <HD SOURCE="HD1">Notification to Parties</HD>
        <P>This notice serves as a reminder to importers of their responsibility under 19 CFR 351.402(f) to file a certificate regarding the reimbursement of antidumping duties prior to liquidation of the relevant entries during this review period. Failure to comply with this requirement could result in the Department's presumption that reimbursement of antidumping duties occurred and the subsequent assessment of doubled antidumping duties.</P>
        <P>This notice also serves as a reminder to parties subject to administrative protective order (APO) of their responsibility concerning the disposition of proprietary information disclosed under APO in accordance with 19 CFR 351.305(a)(3). Timely notification of the destruction of APO materials or conversion to judicial protective order is hereby requested. Failure to comply with the regulations and the terms of an APO is a sanctionable violation.</P>
        <P>These final results of administrative review are issued and published in accordance with sections 751(a)(1) and 777(i)(1) of the Act.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Ronald K. Lorentzen,</NAME>
          <TITLE>Deputy Assistant Secretary for Import Administration.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-395 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3510-DS-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
        <SUBAGY>International Trade Administration</SUBAGY>
        <SUBJECT>U.S. Aerospace Supplier &amp; Investment Mission</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>International Trade Administration, Department of Commerce.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice.</P>
        </ACT>
        <HD SOURCE="HD1">Mission Description</HD>

        <P>The United States Department of Commerce, International Trade Administration, U.S. and Foreign Commercial Service is organizing a U.S. Aerospace Supplier &amp; Investment Mission to Montreal, Canada on May 2-4, 2011. This aerospace mission is an<PRTPAGE P="1601"/>ideal opportunity for U.S. aerospace companies to gain valuable international business leads in a low risk, highly important international aerospace market. Canada has the fifth largest aerospace industry in the world; in 2009 it generated over $22 billion in revenues. Participating U.S. companies will receive market briefings by Canadian industry experts, seminars on exporting best practices, participate in pre-scheduled, pre-qualified one-on-one meetings with Canadian aerospace supply chain contacts, engage in networking activities and visit key Canadian aerospace OEM plants such as Bombardier. This mission is designed to provide U.S. aerospace companies with a highly effective and unique opportunity to establish supplier relations with major Canadian aerospace companies. This mission presents strong potential for high returns given these factors and the ongoing support of USCS Canada.</P>
        <HD SOURCE="HD1">Commercial Setting</HD>
        <P>Canada is a receptive market to U.S. aerospace goods and services and presents an ideal opportunity for the U.S. Commercial Service to contribute to the President's National Export Initiative. The United States and Canada share the largest and most dynamic commercial relationship in the world; U.S. trade with Canada exceeds total U.S. trade with the 27 countries of the European Union combined. Canada also represents the number one export market for 36 of our 50 states and is among the top five export markets for another ten states. The aerospace sector is one of CS Canada's best prospects.</P>
        <P>Canada's aerospace industry is the fifth largest in the world; in 2009 total aerospace sales were US $22.2 billion. The United States is Canada's largest supplier of aircraft parts and components; on average, Canadian aerospace companies purchased 55% of their inputs from the United States. In 2009, U.S.-Canada aerospace bilateral trade exceeded $13 billion, and total U.S. aerospace exports to Canada were approximately $6 billion. In 2009 Canada was the United States' 6th largest aerospace export market, and in many aerospace sub-markets was often in the top 5. Industry estimates show an expected recovery of the global aerospace industry to begin in 2011 that will positively impact Canada's largely commercial aircraft manufacturing sector. Further, industry analysts also predict a positive long term growth in commercial aircraft production over military aircraft; since Canada's aerospace sector is 83% civil, this anticipated trend will bode well for U.S. companies wanting to sell to this market. Canada is a world leader in business and regional aircraft, commercial helicopters, turbine engines, flight simulators, avionics, and a broad range of aircraft systems, components and equipment.</P>
        <P>Quebec and Ontario are at the heart of the Canadian aerospace industry with about 51% and 29% of local production respectively. Montreal is the world's third largest aerospace cluster after Toulouse and Seattle, and is the only place in the world where an aircraft can be assembled within a 30-mile radius. Montreal is home to renowned industry leaders such as Bombardier Aerospace, Bell Helicopter Textron, Pratt &amp; Whitney Canada, and CAE. To this exceptional concentration of world leaders, we can add other big names such as Rolls-Royce Canada, Héroux Devtek, Messier-Dowty, CMC Electronics—Esterline, Thales Canada, and many other suppliers.</P>
        <P>Canada's geographic proximity, open market economy, stable business climate and receptivity to U.S. goods and services make it the ideal market for contributing to the goals of the Administration pursuant to the National Export Initiative. The North American Free Trade Agreement (NAFTA) allows for most U.S. products to enter Canada duty-free and therefore further contributes to the relatively low-cost, low-risk, access that U.S. SMEs can use to prosper and grow in this foreign marketplace. Canada is a party to the World Trade Organization agreement on trade and civil aircraft.</P>
        <HD SOURCE="HD1">Mission Goals</HD>
        <P>The trade mission's goal is to advance the goals of the Administration pursuant to the National Export Initiative by providing U.S. suppliers of aerospace products the opportunity to meet with key potential customers such as Canadian aerospace OEMs, sales agents and distributors and obtain export successes in Canada.</P>
        <HD SOURCE="HD1">Mission Scenario</HD>
        <P>Participants in the mission to Canada will benefit from a full range of business facilitation and trade promotion services provided by the U.S. Commercial Service in Canada. Participants will receive a briefing by a panel of experts on the Canadian, Quebec and Ontario aerospace markets, an overview of doing business in Canada, and seminars with additional key information for U.S. exporters. It will also include one-on-one business meetings between U.S. participants and potential Canadian business partners, networking opportunities, and tours of some of the largest aerospace OEMs, where companies will have the opportunity to meet senior representatives and learn about planned projects and expected procurement needs. Please see the timetable below with detailed information on the program. Prior to the end of the mission, Commercial Service staff will counsel participants on follow-up.</P>
        <HD SOURCE="HD1">Timetable</HD>
        <P>The proposed schedule allows for three days in Montreal and describes the programming we are planning for participating U.S. companies.</P>
        <GPOTABLE CDEF="s50,r150" COLS="2" OPTS="L2,tp0,p1,8/9,i1">
          <TTITLE/>
          <BOXHD>
            <CHED H="1"/>
            <CHED H="1"/>
          </BOXHD>
          <ROW>
            <ENT I="01">Sunday, May 1</ENT>
            <ENT>Participants arrive in Montreal.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>6:00 p.m.No-Host Ice Breaker and No-Host Dinner.</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Monday, May 2</ENT>
            <ENT>8:00-8:30Mission welcoming remarks by Consul General/SCO &amp; Mission Logistics Briefing.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>8:30-9:30Presentation: Doing Business in Canada.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>9:30-10:30Presentations: Trends in the Canadian Aerospace Sector Panel: Deloitte Touche, AIAC, Minister of Transport, NRC.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>10:30-11:00Coffee break—Networking.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>11:00-12:30Presentations: Canada's Aerospace Market, Quebec's Aerospace Market, Ontario's Aerospace Market.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>12:30-13:30Lunch break (on their own).</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>14:00-16:00Seminars: Exporting to Canada Best Practices; U.S. EXIM BANK; U.S. Export Controls in Canada-U.S. Aerospace Trade.</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Tuesday, May 3</ENT>
            <ENT>PROGRAM FOR U.S. COMPANIES.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>8:30-12:00Business matchmaking appointments.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>12:00-14:00General event networking lunch.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>14:00-16:30Business matchmaking appointments.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>17:30-19:30General event reception hosted by CG.</ENT>
          </ROW>
          <ROW>
            <PRTPAGE P="1602"/>
            <ENT I="01">Wednesday, May 4</ENT>
            <ENT>9:00-15:00Plant tours of Canadian aerospace OEMs for U.S. Companies.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>16:00-16:30Mission debriefing at hotel.</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>PROGRAM END.</ENT>
          </ROW>
        </GPOTABLE>
        <HD SOURCE="HD1">Participation Requirements</HD>
        <P>All parties interested in participating in the U.S. Aerospace Trade and Investment Mission must complete and submit an application package for consideration by the Department of Commerce.</P>
        <P>All applicants will be evaluated on their ability to meet certain conditions and best satisfy the selection criteria as outlined below. The mission is designed for a minimum of 15 and a maximum of 20 companies will be considered for this mission. U.S. companies already doing business in the target markets as well as U.S. companies seeking to enter these markets for the first time are encouraged to apply.</P>
        <HD SOURCE="HD2">Fees and Expenses</HD>
        <P>After a company has been selected to participate in the mission, a participation fee paid to the U.S. Department of Commerce is required. The participation fee will be $3,000 for large firms and $2,000 for a small or medium-sized enterprise (SME),*<FTREF/>with up to two company representatives. The fee for a third company representative is $250. Expenses for travel, lodging, in-country transportation (except for bus transportation to visit local aerospace OEMs on the third day of the mission), meals and incidentals will be the responsibility of each mission participant.</P>
        <FTNT>

          <P>* An SME is defined as a firm with 500 or fewer employees or that otherwise qualifies as a small business under SBA regulations (<E T="03">see http://www.sba.gov/services/contracting opportunities/sizestandardstopics/index.html</E>). Parent companies, affiliates, and subsidiaries will be considered when determining business size. The dual pricing reflects the Commercial Service's user fee schedule that became effective May 1, 2008 (<E T="03">see http://www.export.gov/newsletter/march2008/initiatives.html</E>for additional information).</P>
        </FTNT>
        <HD SOURCE="HD2">Conditions for Participation</HD>
        <P>• An applicant must submit a completed and signed mission application and supplemental application materials, including adequate information on the company's products and/or services, primary market objectives, and goals for participation. If the Department of Commerce receives an incomplete application, the Department may reject the application, request additional information, or take the lack of information into account when evaluating the applications.</P>
        <P>• Each applicant must also certify that the products and services to be promoted through the mission are either produced in the United States or marketed under the name of a U.S. firm and have at least 51 percent U.S. content of the value of the finished product or service.</P>
        <HD SOURCE="HD2">Selection Criteria for Participation</HD>
        <P>For Companies:</P>
        <P>• Suitability of the company's products or services for the Canadian aerospace market</P>
        <P>• Applicant's potential for business in Canada, including the likelihood of exports resulting from the mission</P>
        <P>• Consistency of the applicant's goals and objectives with the stated scope of the mission</P>
        <P>Diversity of company size, type, location, and demographics and traditional underrepresentation in business, may also be considered during the review process.</P>
        <P>Referrals from political organizations and any documents containing references to partisan political activities (including political contributions) will be removed from an applicant's submission and not considered during the selection process.</P>
        <HD SOURCE="HD1">Timeframe for Recruitment and Applications</HD>

        <P>Mission recruitment will be conducted in an open and public manner, and will commence as soon as the trade mission is approved. Outreach will include publication in the<E T="04">Federal Register</E>, posting on the Commerce Department trade mission calendar (<E T="03">http://www.ita.doc.gov/doctm/tmcal.html</E>) and other Internet Web sites, press releases to general and trade media, direct mail, broadcast fax, notices by industry trade associations and other multiplier groups, and publicity at industry meetings, symposia, conferences, and trade shows. CS Canada intends to conduct a webinar on “Opportunities in the Canadian Aerospace Market” to supplement recruitment efforts in January/February 2011.</P>

        <P>Recruitment for the mission will begin immediately and close on March 14, 2011. Applications received after March 21, 2011 will be considered only if space and scheduling constraints permit. Applications will be available online on the mission Web site at:<E T="03">http://www.buyusa.gov/Canada.</E>
        </P>
        <P>Information can also be obtained by contacting the mission contacts listed below.</P>
        <P>
          <E T="03">Contacts:</E>Gina Rebelo Bento, Commercial Specialist—Aerospace, U.S. Consulate General in Montreal, PO Box 65 Desjardins Station, Montreal, QC H5B 1G1,<E T="03">Tel:</E>514-908-3660,<E T="03">E-mail: Gina.Bento@trade.gov.</E>
        </P>
        <SIG>
          <NAME>Frank Spector,</NAME>
          <TITLE>Global Trade Programs, U.S. &amp; Foreign Commercial Service.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-308 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3510-FP-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
        <SUBAGY>National Oceanic and Atmospheric Administration</SUBAGY>
        <SUBJECT>Proposed Information Collection; Comment Request; Scientific Research, Exempted Fishing, and Exempted Activity Submissions</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>National Oceanic and Atmospheric Administration (NOAA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>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.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Written comments must be submitted on or before March 14, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>Direct all written comments to Diana Hynek, Departmental Paperwork Clearance Officer, Department of Commerce, Room 6616, 14th and Constitution Avenue, NW., Washington, DC 20230 (or via the Internet at<E T="03">dHynek@doc.gov).</E>
          </P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Requests for additional information or copies of the information collection instrument and instructions should be directed to Jackie Wilson, (240) 338-3936 or<E T="03">Jackie.Wilson@noaa.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P/>
        <HD SOURCE="HD1">I. Abstract</HD>

        <P>Exempted Fishing Permits (EFPs), Scientific Research Permits (SRPs), Display Permits, Letters of Acknowledgment (LOAs), and Shark Research Permits are issued under the authority of the Magnuson-Stevens Fishery Conservation and Management Reauthorization Act (Magnuson-Stevens Act) (16 U.S.C. 1801<E T="03">et seq.</E>) and/or the<PRTPAGE P="1603"/>Atlantic Tunas Convention Act (ATCA) (16 U.S.C. 971<E T="03">et seq.</E>). Issuance of EFPs and related permits are necessary for the collection of Highly Migratory Species (HMS) for public display and scientific research that is exempt from regulations (<E T="03">e.g.,</E>seasons, prohibited species, authorized gear, and minimum sizes) that may prohibit the collection of live animals or biological samples. A Display Permit is issued for the collection of HMS for the purpose of public display whereas a Shark Research Permit allows the National Marine Fisheries Service (NMFS) and commercial shark fishermen to conduct cooperative research to collect fishery-dependent data for management of the Atlantic shark fishery.</P>

        <P>The regulations at 50 CFR 600.745 and 50 CFR 635.32 govern scientific research activity, exempted fishing, and exempted educational activities with respect to Atlantic HMS. Since the Magnuson-Stevens Act does not consider scientific research to be “fishing,” scientific research is exempt from this statute, and NMFS does not issue EFPs for bona fide research activities (<E T="03">e.g.,</E>research conducted from a research vessel and not a commercial or recreational fishing vessel) involving species that are regulated only under the Magnuson-Stevens Act (<E T="03">e.g.,</E>most species of sharks) and not under ATCA. NMFS requests copies of scientific research plans for these activities and indicates concurrence by issuing a LOA to researchers to indicate that the proposed activity meets the definition of research and is therefore exempt from regulation.</P>

        <P>Scientific research is not exempt from regulation under ATCA. NMFS issues SRPs for collection of species managed under this statute (<E T="03">e.g.,</E>tunas, swordfish, billfish), which authorize researchers to collect HMS from bona fide research vessels (<E T="03">e.g.,</E>NMFS or university research vessel.) NMFS will issue an EFP when research/collection involving Atlantic tunas, swordfish, and billfishes occurs from commercial or recreational fishing platforms.</P>
        <P>To regulate these fishing activities, NMFS needs information to determine the justification of granting an EFP, LOA, SRP, Display or Shark Research Permit. The application requirements are detailed at 50 CFR 600.745(b)(2). Interim, annual and no-catch/fishing reports must also be submitted to the HMS Management Division within NMFS. The authority for the HMS Management Division for requiring this information is found at 50 CFR 635.32(a).</P>
        <HD SOURCE="HD1">II. Method of Collection</HD>
        <P>Respondents have a choice of either electronic or paper forms. Methods of submittal include e-mail of electronic forms, mail and facsimile transmission of paper forms.</P>
        <HD SOURCE="HD1">III. Data</HD>
        <P>
          <E T="03">OMB Control Number:</E>0648-0471.</P>
        <P>
          <E T="03">Form Number:</E>None.</P>
        <P>
          <E T="03">Type of Review:</E>Regular submission (extension of a currently approved collection).</P>
        <P>
          <E T="03">Affected Public:</E>Non-profit institutions; State, local, or tribal government; business or other for-profit organizations.</P>
        <P>
          <E T="03">Estimated Number of Respondents:</E>75.</P>
        <P>
          <E T="03">Estimated Time Per Response:</E>2 hours for a scientific research plan; 40 minutes for an application for an EFP, Display Permit, SRP, Shark Research Permit or LOA for HMS; 1 hour for an interim report; 40 minutes for an annual fishing report; 15 minutes for an application for an amendment; 5 minutes for notification of departure phone calls to NMFS Enforcement; 2 minutes for “no-catch” reports; and 2 minutes for tag applications.</P>
        <P>
          <E T="03">Estimated Total Annual Burden Hours:</E>236.</P>
        <P>
          <E T="03">Estimated Total Annual Cost to Public:</E>$119 in recordkeeping/reporting costs.</P>
        <HD SOURCE="HD1">IV. Request for Comments</HD>
        <P>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.</P>
        <P>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.</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Gwellnar Banks,</NAME>
          <TITLE>Management Analyst, Office of the Chief Information Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-275 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 3510-22-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">COMMODITY FUTURES TRADING COMMISSION</AGENCY>
        <SUBJECT>Agency Information Collection Activities: Proposed Collection, Comment Request: Reporting of Pre-enactment Swap Transactions</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Commodity Futures Trading Commission.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>The Commodity Futures Trading Commission (“Commission” or “CFTC”) is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act (“PRA”), 44 U.S.C. 3501<E T="03">et seq.,</E>Federal agencies are required to publish notice in the<E T="04">Federal Register</E>concerning each proposed collection of information and to allow 60 days for public comment. The Commission recently adopted an interim final rule, as required by the Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), requiring counterparties to a pre-enactment unexpired swap to report such swaps according to such rules as the Commission may in the future adopt. This notice solicits comments on the record retention requirement that is embedded in the interim final rule's reporting requirement, which was recognized by the Commission in an interpretive note to the final rule.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments must be submitted on or before March 14, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may submit comments, identified by “Pre-Enactment Swap Collection,” by any of the following methods:</P>
          <P>• The Agency's Web site, at<E T="03">http://comments.cftc.gov/.</E>Follow the instructions for submitting comments through the Web site.</P>
          <P>•<E T="03">Mail:</E>David A. Stawick, Secretary of the Commission, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.</P>
          <P>•<E T="03">Hand Delivery/Courier:</E>Same as mail above.</P>
          
          <FP>Please submit your comments using only one method.</FP>

          <P>All comments must be submitted in English, or if not, accompanied by an English translation. Comments will be posted as received to<E T="03">http://www.cftc.gov.</E>
          </P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Susan Nathan, Division of Market Oversight, Senior Special Counsel, CFTC, (202) 418-5133; e-mail:<E T="03">snathan@cftc.gov</E>.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <PRTPAGE P="1604"/>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>Under the PRA, Federal agencies must obtain approval from the Office of Management and Budget (“OMB”) for each collection of information they conduct or sponsor. “Collection of Information” is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3 and includes agency requests or requirements that members of the public submit reports, keep records, or provide information to a third party. Section 3506(c)(2)(A) of the PRA, 44 U.S.C. 3506(c)(2)(A), requires Federal agencies to provide a 60-day notice in the<E T="04">Federal Register</E>concerning each proposed collection of information before submitting the collection to OMB for approval. To comply with this requirement, the CFTC is publishing notice of the proposed collection of information listed below.</P>
        <P>
          <E T="03">Abstract:</E>Section 729 of the Dodd-Frank Act required the CFTC to adopt, within 90 days of enactment of the Dodd-Frank Act, an interim final rule for the reporting of swap transactions entered into before July 21, 2010 whose terms had not expired as of that date (“pre-enactment unexpired swaps”). Pursuant to this mandate, the CFTC adopted an interim final rule requiring specified parties to pre-enactment unexpired swap transactions to report certain information related to such transactions to a swap data repository (“SDR”) or to the Commission by the compliance date to be established in reporting rules required under Section 2(h)(5) of the CEA, or within 60 days after an appropriate SDR becomes registered under Section 21 of the CEA and commences operations to receive and maintain data related to such swap, whichever occurs first. An interpretative note to the rule advises that counterparties that may be required to report to an SDR or the CFTC will need to preserve information pertaining to the terms of such swaps.</P>
        <P>
          <E T="03">Burden Statement:</E>The respondent burden for this collection is estimated to be .5 hours per response. These estimates include the time to locate the information related to the pre-enactment unexpired swap transactions and the time to ensure such information is maintained in such form as it currently exists.</P>
        <P>
          <E T="03">Respondents/Affected Entities:</E>Swap Dealers, Major Swap Participants, and other counterparties to a swap transaction (<E T="03">i.e.,</E>end-user, non-SD/non-MSP counterparties).</P>
        <P>
          <E T="03">Estimated Number of Respondents:</E>1,800.</P>
        <P>
          <E T="03">Estimated Total Annual Burden on Respondents:</E>900 hours.</P>
        <P>
          <E T="03">Frequency of Collection:</E>Once.</P>
        <SIG>
          <DATED>Issued by the Commission this 5th day of January, 2011.</DATED>
          <NAME>David Stawick,</NAME>
          <TITLE>Secretary of the Commission.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-326 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6351-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">CORPORATION FOR NATIONAL AND COMMUNITY SERVICE</AGENCY>
        <SUBJECT>Sunshine Act Meeting Notice</SUBJECT>
        <P>The White House Council for Community Solutions gives notice of their following first meeting:</P>
        <PREAMHD>
          <HD SOURCE="HED">DATE AND TIME:</HD>
          <P>Friday, February 4, 2011, 1 p.m.-3 p.m. Eastern Standard Time.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">PLACE:</HD>

          <P>The Council will meet in the Eisenhower Executive Office Building. This meeting will be streamed live for public viewing and a link will be available on the council's Web  site:<E T="03">http://www.serve.gov/communitysolutions.</E>
          </P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">PUBLIC COMMENT:</HD>

          <P>The public is invited to submit publicly available comments through the Council's Web site. To send statements to the Council, please send written statements to the Council's electronic mailbox at<E T="03">WhiteHouseCouncil@cns.gov.</E>The public can also follow the Council's work by visiting its Web site:<E T="03">http://www.serve.gov/communitysolutions.</E>
          </P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">STATUS:</HD>
          <P>Open.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">MATTERS TO BE CONSIDERED:</HD>
          <P>The purpose of this meeting is to review the Council's charge, discuss the key issues impacting youth employment, education, work preparedness and the healthy transition to adulthood, and establish committees to carry out the Council's work.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">CONTACT PERSON FOR MORE INFORMATION:</HD>

          <P>Susannah Washburn, Executive Director, White House Council for Community Solutions, Corporation for National and Community Service, 10th Floor, Room 10911, 1201 New York Avenue, NW., Washington, DC 20525. Phone (202) 606-6740. Fax (202) 606-3464. E-mail:<E T="03">swashburn@cns.gov</E>.</P>
        </PREAMHD>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Susannah Washburn,</NAME>
          <TITLE>Executive Director.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-467 Filed 1-7-11; 11:15 am]</FRDOC>
      <BILCOD>BILLING CODE 6050-$$-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF DEFENSE</AGENCY>
        <SUBAGY>Office of the Secretary</SUBAGY>
        <SUBJECT>Renewal of Department of Defense Federal Advisory Committees</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Department of Defense.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of Renewal of Federal Advisory Committee</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>Under the provisions of section 596 of Public Law 110-417, section 594 of Public Law 111-84 and the Federal Advisory Committee Act of 1972, (5 U.S.C. Appendix), the Government in the Sunshine Act of 1976 (5 U.S.C. 552b), and 41 CFR 102-3.50, the Department of Defense gives notice that it is renewing the charter for the Military Leadership Diversity Commission (hereafter referred to as the “Commission”).</P>
          <P>The Commission is a non-discretionary federal advisory committee that shall provide the President and Congress a comprehensive evaluation and assessment of minority promotion and advancement policies.</P>
          <P>The commission, pursuant to section 596(d) of Public Law 110-417, shall:</P>
          <P>a. Carry out a comprehensive study to evaluate and assess policies that provide opportunities for the promotion and advancement of minority members of the U.S. Armed Forces, including minority members who are senior officers; and</P>
          <P>b. In carrying out the study, the Commission shall examine the following:</P>
          <P>(1) The efforts to develop and maintain diverse leadership at all levels of the Armed Forces.</P>
          <P>(2) The successes and failures of developing and maintaining a diverse leadership, particularly at the general and flag officer positions.</P>
          <P>(3) The effect of expanding Department of Defense secondary educational programs to diverse civilian populations, to include military service academy preparatory schools.</P>
          <P>(4) The ability of current recruitment and retention practices to attract and maintain a diverse pool of qualified individuals in sufficient numbers in officer pre-commissioning programs.</P>
          <P>(5) The ability of current activities to increase continuation rates for ethnic- and gender-specific members of the Armed Forces.</P>
          <P>(6) The benefits of conducting an annual conference attended by civilian military, active-duty and retired military and corporate leaders on diversity, to include a review of current policy and the annual demographic data from the Defense Equal Opportunity Management Institute.</P>

          <P>(7) The status of prior recommendations made to the Department of Defense and to Congress concerning diversity initiatives within the Armed Forces.<PRTPAGE P="1605"/>
          </P>
          <P>(8) The incorporation of private sector practices that have been successful in cultivating diverse leadership.</P>
          <P>(9) The establishment and maintenance of fair promotion and command opportunities for ethnic- and gender-specific members of the Armed Forces at the 0-5 grade level and above.</P>
          <P>(10) An assessment of pre-command billet assignments of ethnic-specific members of the Armed Forces.</P>
          <P>(11) An assessment of command selection of ethnic-specific members of the Armed Forces.</P>
          <P>(12) The development of a uniform definition, to be used throughout the Department of Defense, of diversity that is congruent with the core values and vision of the Department of Defense for the future workforce.</P>
          <P>(13) The existing metrics and milestones for evaluating the diversity plans of the Department of Defense (including the plans of the Military Departments) and for facilitating future evaluation and oversight.</P>
          <P>(14) The existence and maintenance of fair promotion, assignment, and command opportunities for ethnic- and gender-specific members of the Armed Forces at the levels of warrant officer, chief warrant officer, company and junior grade, field and mid-grade, and general and flag officer.</P>
          <P>(15) The current institutional structure of the Office of Diversity Management and Equal Opportunity of the Department of Defense, and of similar officers of the Military Departments, and their ability to ensure effective and accountable diversity management across the Department of Defense.</P>
          <P>(16) The options available for improving the substance or implementation of current plans and policies of the Department of Defense and the Military Departments.</P>
          <P>No later than 12 months after the date on which the Commission first meets, the Commission shall submit to the President and Congress a report on its study. The Commission's final report shall include, as a minimum, the following:</P>
          <P>a. The findings and conclusions of the Commission;</P>
          <P>b. The recommendations of the Commission for improving diversity within the U.S. Armed Forces; and</P>
          <P>c. Such other information and recommendations as the Commission considers appropriate.</P>
          <P>In addition, the Commission may submit interim reports to the President and Congress as the Commission considers appropriate.</P>
          <P>In carrying out its study the Commission, pursuant to section 596(d)(3) of Public Law 110-417, may consult with appropriate private, for-profit, and non-profit organizations and advocacy groups to learn methods for developing, implementing, and sustaining senior diverse leadership within the Department of Defense.</P>
          <P>The Commission, pursuant to section 596(b) of Public Law 110-417 and amended by section 594 of Public Law 111-84, shall be comprised of no more than thirty members to include the following:</P>
          <P>a. The Director of the Defense Manpower Data Center;</P>
          <P>b. The Commandant of the Defense Equal Opportunity Management Institute;</P>
          <P>c. An active commissioned officer from each of the Army, Navy, Air Force, and Marine Corps;</P>
          <P>d. An active commissioned officer from the National Guard, and an active commissioned officer from the Reserves, each of whom serves or has served in a leadership position with either a Military Department command or combatant command;</P>
          <P>e. A commissioned officer or noncommissioned officer of the Coast Guard on active duty;</P>
          <P>f. A retired general or flag officer from each of the Army, Navy, Air Force and Marine Corps, a retired general or flag officer from the National Guard, and a retired general or flag officer from the Reserves;</P>
          <P>g. A retired flag officer of the Coast Guard;</P>
          <P>h. A retired noncommissioned officer from each of the Army, Navy, Air Force and Marine Corps, a retired noncommissioned officer from the National Guard, and a retired noncommissioned officer from the Reserves;</P>
          <P>i. Five retired commissioned officers who served in leadership positions with either a Military Department command or combatant command, of whom no less than three shall represent the views of minority veterans;</P>
          <P>j. Four individuals with expertise in cultivating diverse leaders in private or non-profit organizations; and</P>
          <P>k. An attorney with appropriate experience and expertise in constitutional and legal matters related to the duties and responsibilities of the commission.</P>
          <P>The appointment of the Director of the Defense Manpower Data Center and the Commandant of the Defense Equal Opportunity Management Institute shall be based upon their ex-officio position within the Department of Defense.</P>
          <P>The Secretary of Defense shall appoint the remaining Commission members, who are not required to be appointed by ex-officio position. Commission members appointed by the Secretary of Defense, who are not full-time or permanent part-time employees of the Federal Government, shall be appointed to serve as experts and consultants under the authority of 5 U.S.C. 3109, and these individuals shall serve as special government employees, whose appointments shall be renewed on an annual basis.</P>

          <P>Pursuant to section 596(g)(1) of Public Law 110-417, the Secretary of Homeland Security, in consultation with the Commandant of the Coast Guard, shall appoint the two individuals who represent interests of the U.S. Coast Guard,<E T="03">see</E>13(e) and (g) above.</P>
          <P>All Commission members shall be appointed for the life of the Commission; however, each non-ex-officio appointment must be renewed by the Secretary of Defense, or the Secretary of Homeland Security (as applicable) on an annual basis. Any Commission vacancy shall be filled in the same manner as the original appointment and shall be renewed on an annual basis.</P>
          <P>Commission members, who are not full-time or permanent part-time federal employees, shall serve without compensation. All Commission members shall be provided travel and per diem for official committee travel.</P>
          <P>The Secretary of Defense, pursuant to section 596(b)(3) of Public Law 110-417, shall designate one member as the chairman of the Commission.</P>
          <P>With DoD approval, the Commission is authorized to establish subcommittees, as necessary and consistent with its mission. These subcommittees shall operate under the provisions of the Federal Advisory Committee Act of 1972, the Government in the Sunshine Act of 1976 (5 U.S.C. 552b), and other Governing Federal statutes and regulations.</P>
          <P>Such subcommittees shall not work independently of the chartered Commission, and shall report all their recommendations and advice to the Commission for full deliberation and discussion. Subcommittees have no authority to make decisions on behalf of the chartered Commission; nor can they report directly to the Department of Defense or any Federal officers or employees who are not Commission members.</P>

          <P>Subcommittee members, who are not Commission members, shall be appointed in the same manner as the Commission members. Such individuals, if not full-time or part-time government employees, shall be appointed to serve as experts and<PRTPAGE P="1606"/>consultants under the authority of 5 U.S.C. 3019, and serve as special government employees, whose appointments must be renewed on an annual basis.</P>
        </SUM>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Contact Jim Freeman, Deputy Advisory Committee Management Officer for the Department of Defense, 703-601-6128.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Commission pursuant to section 596(c)(2) of Public Law 110-417, shall meet at the call of the Commission's Designated Federal Officer, in consultation with the Chairperson. The estimated number of Commission meetings is one per year.</P>
        <P>The Designated Federal Officer, pursuant to DoD policy, shall be a full-time or permanent part-time DoD employee, and shall be appointed in accordance with governing DoD policies and procedures. In addition, the Designated Federal Officer is required to be in attendance at all Commission and subcommittee meetings; however, in the absence of the Designated Federal Officer, the Alternate Designated Federal Officer shall attend the meeting.</P>
        <P>Pursuant to 41 CFR 102-3.105(j) and 102-3.140, the public or interested organizations may submit written statements to the Military Leadership Diversity Commission's membership about the Commission's mission and functions. Written statements may be submitted at any time or in response to the stated agenda of planned meeting of Military Leadership Diversity Commission.</P>

        <P>All written statements shall be submitted to the Designated Federal Officer for the Military Leadership Diversity Commission, and this individual will ensure that the written statements are provided to the membership for their consideration. Contact information for the Military Leadership Diversity Commission Designated Federal Officer can be obtained from the GSA's FACA Database—<E T="03">https://www.fido.gov/facadatabase/public.asp.</E>
        </P>
        <P>The Designated Federal Officer, pursuant to 41 CFR 102-3.150, will announce planned meetings of the Military Leadership Diversity Commission. The Designated Federal Officer, at that time, may provide additional guidance on the submission of written statements that are in response to the stated agenda for the planned meeting in question.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Morgan F. Park,</NAME>
          <TITLE>Alternate OSD Federal Register Liaison Officer,Department of Defense.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-329 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 5001-06-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF DEFENSE</AGENCY>
        <SUBAGY>Department of the Army</SUBAGY>
        <DEPDOC>[Docket ID: USA-2011-0001]</DEPDOC>
        <SUBJECT>Privacy Act of 1974; System of Records</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Department of the Army, DoD.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice to add a system of records.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Department of the Army proposes to add a system of records to its inventory of record systems subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>This proposed action would be effective without further notice on February 10, 2011 unless comments are received which result in a contrary determination.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may submit comments, identified by docket number and/Regulatory Information Number (RIN) and title, by any of the following methods:</P>
          <P>*<E T="03">Federal Rulemaking Portal: http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>*<E T="03">Mail:</E>Federal Docket Management System Office, Room 3C843, 1160 Defense Pentagon, Washington, DC 20301-1160.</P>
          <P>
            <E T="03">Instructions:</E>All submissions received must include the agency name and docket number or Regulatory Information Number (RIN) for this<E T="04">Federal Register</E>document. The general policy for comments and other submissions from members of the public is to make these submissions available for public viewing on the Internet at<E T="03">http://www.regulations.gov</E>as they are received without change, including any personal identifiers or contact information.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Mr. Leroy Jones at (703) 428-6185, or Department of the Army, Privacy Office, U.S. Army Records Management and Declassification Agency, 7701 Telegraph Road, Casey Building, Suite 144, Alexandria, VA 22325-3905.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>The Department of the Army notices for systems of records subject to the Privacy Act of 1974 (5 U.S.C. 552a), as amended, have been published in the<E T="04">Federal Register</E>and are available from the<E T="02">FOR FURTHER INFORMATION CONTACT</E>address above.</P>
        <P>The proposed system report, as required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as amended, was submitted on January 5, 2011 to the House Committee on Oversight and Government Reform, the Senate Committee on Governmental Affairs, and the Office of Management and Budget (OMB) pursuant to paragraph 4c of Appendix I to OMB Circular No. A-130, “Federal Agency Responsibilities for Maintaining Records About Individuals,” dated February 8, 1996 (February 20, 1996, 61 FR 6427).</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Morgan F. Park,</NAME>
          <TITLE>Alternate OSD Federal Register Liaison Officer, Department of Defense.</TITLE>
        </SIG>
        <PRIACT>
          <HD SOURCE="HD1">A0350-1c TRADOC</HD>
          <HD SOURCE="HD2">System name:</HD>
          <P>Digital Training Management System.</P>
          <HD SOURCE="HD2">System location:</HD>
          <P>U.S. Army Combined Arms Center, Network Enterprise Center, 645 Biddle Blvd, Fort Leavenworth, KS 66027-2309.</P>
          <HD SOURCE="HD2">Categories of individuals covered by the system:</HD>
          <P>Department of the Army military personnel (Active, National Guard and Reserve Components), Department of the Army civilian personnel, Department of the Army contractor personnel requiring or requesting access to Digital Training Management System (DTMS) and other Department of Defense personnel who have completed any Department of the Army courses of instruction.</P>
          <HD SOURCE="HD2">Categories of records in the system:</HD>
          <P>Name, Social Security Number (SSN), rank, gender, birth date, medical appointment scheduling information, employment information includes, work e-mail and work phone number, unit number, military occupational specialty, and skill level. Additional information is provided voluntarily that consists of driver's license, personal cell telephone number, home telephone number, personal e-mail address, mailing/home address, spouse's first name, children's names, emergency contact, and education information.</P>
          <HD SOURCE="HD2">Authority for maintenance of the system:</HD>
          <P>10 U.S.C. 3013, Secretary of the Army; Army Regulation 350-1, Army Training and Leader Development; and E.O. 9397 (SSN), as amended.</P>
          <HD SOURCE="HD2">Purpose(s):</HD>

          <P>To support the on-going digital training management task. The system<PRTPAGE P="1607"/>provides training managers with a comprehensive password protected management tool for conducting and tracking digital systems training online. DTMS allows users to completely manage the entire learning environment for all soldiers. Training managers at separate companies, battalions, brigades, divisions, corps, program managers, and other Department of Army agencies can access and utilize the system. DTMS tracks not only new equipment training (NET), but also sustainment, collective and individual training.</P>
          <HD SOURCE="HD2">Routine uses of records maintained in the system, including categories of users and the purposes of such uses:</HD>
          <P>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, these records contained therein may specifically be disclosed outside the DoD as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:</P>
          <P>The DoD `Blanket Routine Uses' set forth at the beginning of the Army's compilation of systems of records notices also apply to this system.</P>
          <HD SOURCE="HD2">Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:</HD>
          <HD SOURCE="HD2">Storage:</HD>
          <P>Records are stored on electronic storage media.</P>
          <HD SOURCE="HD2">Retrievability:</HD>
          <P>Data is retrieved by name, unit number, military occupational specialty, and skill level queries from within the DTMS application.</P>
          <HD SOURCE="HD2">Safeguards:</HD>
          <P>Computerized records maintained in a controlled area are accessible only to authorized personnel. Records are maintained in a controlled facility. Physical entry is restricted by the use of locks, guards, and is accessible only to authorized personnel. Physical and electronic access is restricted to designated individuals having a need to know in the performance of official duties and who are properly screened and cleared.</P>
          <HD SOURCE="HD2">Retention and disposal:</HD>
          <P>Records are archived after training is completed and maintained in the current file area until no longer needed for conducting business, but not longer than 6 years after the member's separation, then destroyed electronically.</P>
          <HD SOURCE="HD2">System manager(s) and address:</HD>
          <P>Program Manager, U.S. Army Combined Arms Center, Collective Training Directorate, 513 Grant Ave, Fort Leavenworth, KS 66027-2309.</P>
          <HD SOURCE="HD2">Notification procedure:</HD>
          <P>Individuals seeking to determine whether this system of records contains information about themselves should address written inquiries to the Program Manager, U.S. Army Combined Arms Center, Collective Training Directorate, 513 Grant Ave, Fort Leavenworth, KS 66027-2309.</P>
          <P>For verification purposes, individuals should provide full name, unit number, rank, military occupational specialty, skill level, and signature.</P>
          <P>In addition, the requester must provide a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:</P>
          <P>If executed outside the United States: `I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date). (Signature)'.</P>
          <P>If executed within the United States, its territories, possessions, or commonwealths: `I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature)'.</P>
          <HD SOURCE="HD2">Record access procedures:</HD>
          <P>Individuals seeking to access records about themselves should address written inquiries to the Program Manager, U.S. Army Combined Arms Center, Collective Training Directorate, 513 Grant Ave, Fort Leavenworth, KS 66027-2309.</P>
          <P>For verification purposes, individuals should provide full name, unit number, rank, military occupational specialty, skill level, and signature.</P>
          <HD SOURCE="HD2">In addition, the requester must provide a notarized statement or an unsworn declaration made in accordance with 28 U.S.C. 1746, in the following format:</HD>
          <P>If executed outside the United States: `I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct. Executed on (date). (Signature)'.</P>
          <P>If executed within the United States, its territories, possessions, or commonwealths: `I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct. Executed on (date). (Signature)'.</P>
          <HD SOURCE="HD2">Contesting record procedures:</HD>
          <P>The Army's rules for accessing records, contesting contents; and appealing initial agency determinations are contained in Army Regulation 340-21; 32 CFR part 505; or may be obtained from the system manager.</P>
          <HD SOURCE="HD2">Record source categories:</HD>
          <P>From the individual, DoD staff, personnel, training and medical systems for use in appointment scheduling.</P>
          <HD SOURCE="HD2">Exemptions claimed for the system:</HD>
          <P>None.</P>
        </PRIACT>
        
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-330 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 5001-06-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF ENERGY</AGENCY>
        <SUBJECT>Blue Ribbon Commission on America's Nuclear Future</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Department of Energy, Office of Nuclear Energy.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of open meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice announces an open meeting of the Blue Ribbon Commission on America's Nuclear Future (the Commission). The Commission was organized pursuant to the Federal Advisory Committee Act (Pub. L. 92-463, 86 Stat. 770) (the Act). This notice is provided in accordance with the Act.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Wednesday, January 26, 2011, 1 p.m.-5 p.m. MST;Thursday, January 27, 2011, 8:30 a.m.-3:15 p.m. MST.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Pecos River Village Conference Center,711 Muscatel Avenue,Carlsbad, New Mexico 88220,(575) 887-6516.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Timothy A. Frazier, Designated Federal Officer, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585; telephone (202) 586-4243 or facsimile (202) 586-0544; e-mail<E T="03">CommissionDFO@nuclear.energy.gov</E>. Additional information may also be available at<E T="03">http://www.brc.gov</E>.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P SOURCE="NPAR">
          <E T="03">Background:</E>The President directed that the Blue Ribbon Commission on America's Nuclear Future (the Commission) be established to conduct a comprehensive review of policies for managing the back end of the nuclear fuel cycle. The Commission will provide advice and make recommendations on issues including alternatives for the storage, processing, and disposal of civilian and defense spent nuclear fuel and nuclear waste.</P>
        <P>The Commission is scheduled to submit a draft report to the Secretary of Energy by July 2011, and a final report by January 2012.</P>
        <P>
          <E T="03">Purpose of the Meeting:</E>The meeting will provide the Commission with a<PRTPAGE P="1608"/>range of local and regional perspectives from a wide variety of individuals and organizations. The Commission will also tour the Waste Isolation Pilot Plant to see first-hand the disposal of defense related transuranic waste.</P>
        <P>Tentative Agenda: The site tour is expected to start at 1 p.m. on January 26th with the Commissioners touring relevant areas of the Waste Isolation Pilot Plant. The meeting on January 27th will begin at 8:30 a.m. at the Pecos Village River Conference Center. The Commission will hear presentations and statements from various stakeholder groups, and ask questions of the presenters, to provide additional information for Commission consideration. The meeting on January 27th is expected to conclude with public statements starting at approximately 2:15 p.m. MST. The meeting will end by 3:15 p.m. MST.</P>
        <P>Public Participation: A tour of the Waste Isolation Pilot Plant surface and underground facilities is being offered to the general public on a first come, first served basis. Registration for the public tour will open at 8 a.m. MST, on Tuesday, January 18, 2011, and close at 5 p.m. MST, on Thursday, January 20, 2011. Individuals interested in the public tour may register by calling (575) 234-7512. A limited number of seats are available.</P>
        <P>Individuals and representatives of organizations who would like to offer comments and suggestions may do so at the end of the meeting on January 27, 2011. Approximately one hour will be reserved for public comments. Time allotted per speaker will depend on the number who wish to speak but will not exceed 5 minutes. The Designated Federal Officer is empowered to conduct the meeting in a fashion that will facilitate the orderly conduct of business. Those wishing to speak should register to do so beginning at 8 a.m. MST, on January 27, 2011, at the Pecos River Conference Center. Registration to speak will close at 12 p.m. MST, January 27, 2011.</P>

        <P>Those not able to attend the meeting or having insufficient time to address the committee are invited to send a written statement to Timothy A. Frazier, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585, e-mail to<E T="03">CommissionDFO@nuclear.energy.gov</E>, or post comments on the Commission Web site at<E T="03">http://www.brc.gov</E>.</P>

        <P>Additionally, the meeting will be available via live webcast. The link will be available at<E T="03">http://www.brc.gov</E>.</P>
        <P>
          <E T="03">Minutes:</E>The minutes of the meeting will be available at<E T="03">http://www.brc.gov</E>or by contacting Mr. Frazier. He may be reached at the postal address or e-mail address above.</P>
        <SIG>
          <DATED>Issued in Washington, DC, on January 5, 2011.</DATED>
          <NAME>LaTanya R. Butler,</NAME>
          <TITLE>Acting Deputy Committee Management Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-349 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6450-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBJECT>Blue Ribbon Commission on America's Nuclear Future</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Department of Energy, Office of Nuclear Energy.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of open meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice announces an open meeting of the Blue Ribbon Commission on America's Nuclear Future (the Commission). The Commission was organized pursuant to the Federal Advisory Committee Act (Pub. L. 92-463, 86 Stat. 770) (the Act). This notice is provided in accordance with the Act.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Friday, January 28, 2011, 8:30 a.m.-1:15 p.m. MST.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Hyatt Regency Albuquerque, 330 Tijeras NW., Albuquerque, New Mexico 87102, (505) 842-1234.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Timothy A. Frazier, Designated Federal Officer, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington, DC 20585; telephone (202) 586-4243 or facsimile (202) 586-0544; e-mail<E T="03">CommissionDFO@nuclear.energy.gov.</E>Additional information may also be available at<E T="03">http://www.brc.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P SOURCE="NPAR">
          <E T="03">Background:</E>The President directed that the Blue Ribbon Commission on America's Nuclear Future (the Commission) be established to conduct a comprehensive review of policies for managing the back end of the nuclear fuel cycle. The Commission will provide advice and make recommendations on issues including alternatives for the storage, processing, and disposal of civilian and defense spent nuclear fuel and nuclear waste.</P>
        <P>The Commission is scheduled to submit a draft report to the Secretary of Energy by July 2011, and a final report by January 2012.</P>
        <P>
          <E T="03">Purpose of the Meeting:</E>The meeting will provide the Commission with a range of local and regional perspectives from a wide variety of individuals and organizations.</P>
        <P>
          <E T="03">Tentative Agenda:</E>The meeting on January 28th will begin at 8:30 a.m. MST, at the Hyatt Regency Albuquerque. The Commission will hear presentations and statements from various stakeholder groups, and ask questions of the presenters, to provide additional information for Commission consideration. The meeting on January 28th is expected to conclude with public statements starting at approximately 12:15 p.m. MST. The meeting will end by 1:15 p.m.</P>
        <P>Public Participation: Individuals and representatives of organizations who would like to offer comments and suggestions may do so at the end of the meeting on January 28, 2011. Approximately one hour will be reserved for public comments. Time allotted per speaker will depend on the number who wish to speak but will not exceed 5 minutes. The Designated Federal Officer is empowered to conduct the meeting in a fashion that will facilitate the orderly conduct of business. Those wishing to speak should register to do so beginning at 8 a.m. MST on January 28, 2011, at the Hyatt Regency Albuquerque. Registration to speak will close at 11 a.m. MST, January 28, 2011.</P>

        <P>Those not able to attend the meeting or having insufficient time to address the committee are invited to send a written statement to Timothy A. Frazier, U.S. Department of Energy, 1000 Independence Avenue, SW., Washington DC 20585, e-mail to<E T="03">CommissionDFO@nuclear.energy.gov,</E>or post comments on the Commission Web site at<E T="03">http://www.brc.gov.</E>
        </P>

        <P>Additionally, the meeting will be available via live webcast. The link will be available at<E T="03">http://www.brc.gov.</E>
        </P>
        <P>
          <E T="03">Minutes:</E>The minutes of the meeting will be available at<E T="03">http://www.brc.gov</E>or by contacting Mr. Frazier. He may be reached at the postal address or e-mail address above.</P>
        <SIG>
          <DATED>Issued in Washington, DC, on January 5, 2011.</DATED>
          <NAME>LaTanya R. Butler,</NAME>
          <TITLE>Acting Deputy Committee Management Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-351 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6450-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1609"/>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <DEPDOC>[Project No. 2232-587]</DEPDOC>
        <SUBJECT>Duke Energy Carolinas, LLC; Notice of Application for Amendment of License and Soliciting Comments, Motions To Intervene, and Protests</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>Take notice that the following hydroelectric application has been filed with the Commission and is available for public inspection:</P>
        <P>a.<E T="03">Application Type:</E>Non-Project Use of Public Lands and Waters: Water Withdrawal.</P>
        <P>b.<E T="03">Project No.:</E>2232-587.</P>
        <P>c.<E T="03">Date Filed:</E>December 1, 2010.</P>
        <P>d.<E T="03">Applicant:</E>Duke Energy Carolinas, LLC.</P>
        <P>e.<E T="03">Name of Project:</E>Catawba-Wateree Project.</P>
        <P>f.<E T="03">Location:</E>The Catawba-Wateree Project is located in Alexander, Burke, Caldwell, Catawba, Gaston, Iredell, Lincoln, McDowell and Mecklenburg Counties, North Carolina and Chester, Fairfield, Kershaw, Lancaster, and York Counties, South Carolina. This project does not occupy any federal lands.</P>
        <P>g.<E T="03">Filed Pursuant to:</E>Federal Power Act, 16 U.S.C. 791a-825r.</P>
        <P>h.<E T="03">Applicant Contact:</E>Mr. Kelvin K. Reagan, Lake Services Manager, Duke Energy Carolinas, LLC, P.O. Box 1006, Charlotte, North Carolina 28201-1006, (704) 382-9386.</P>
        <P>i.<E T="03">FERC Contact:</E>Rachel Price, (202) 502-8907 and e-mail:<E T="03">rachel.price@ferc.gov</E>
        </P>
        <P>j.<E T="03">Deadline for filing comments, motions to intervene, and protest:</E>February 3, 2011.</P>
        <P>All documents should be filed with: Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426. Please include the project number (P-2232-587) on any comments or motions filed. Comments, protests, and interventions may be filed electronically via the Internet, see 18 CFR 385.2001 (a)(1)(iii) and the instructions on the Commission's Web site under the “e-filing” link. The Commission strongly encourages electronic filings. In lieu of electronic filing, an original and eight copies of all documents may be mailed to the Secretary at the address above.</P>
        <P>The Commission's Rules of Practice and Procedure require all interveners filing documents with the Commission to serve a copy of that document on each person whose name appears on the official service list for the project. Further, if an intervener files comments or documents with the Commission relating to the merits of an issue that may affect the responsibilities of a particular resource agency, they must also serve a copy of the document on that resource agency. A copy of any motion to intervene must also be served upon each representative of the Applicant specified in the particular application.</P>
        <P>k.<E T="03">Description of Request:</E>Duke Energy Carolinas, LLC requests Commission approval of an agreement that would allow Duke to authorize the City of Rock Hill, North Carolina to construct and operate expanded water intake facilities on, and to withdraw water from, Lake Wylie. A new water intake structure would be constructed beside the existing structure. The new intake structure and water line would occupy approximately 0.33 acres of land within the project boundary. Additionally, new screens with screen openings that do not exceed 0.375 inches would be installed on the new intake structure. Intake velocities at the new intake structure would not exceed 0.50 feet per second. Under the agreement, the expanded facility would have a maximum withdrawal capacity of 60 million gallons per day (MGD), a 30 MGD increase from the current approved withdrawal rate. The water intake and pump facility is located in York County, South Carolina.</P>
        <P>l.<E T="03">Locations of the Application:</E>A copy of the application is available for inspection and reproduction at the Commission's Public Reference Room, located at 888 First Street, NE., Room 2A, Washington, DC 20426, or by calling (202) 502-8371. This filing may also be viewed on the Commission's Web site at<E T="03">http://www.ferc.gov</E>using the “eLibrary” link. Enter the docket number excluding the last three digits in the docket number field to access the document. You may also register online at<E T="03">http://www.ferc.gov/docs-filing/esubscription.asp</E>to be notified via email of new filings and issuances related to this or other pending projects. For assistance, call 1-866-208-3676 or e-mail<E T="03">FERCOnlineSupport@ferc.gov,</E>for TTY, call (202) 502-8659. A copy is also available for inspection and reproduction at the address in item (h) above.</P>
        <P>m. Individuals desiring to be included on the Commission's mailing list should so indicate by writing to the Secretary of the Commission.</P>
        <P>n.<E T="03">Comments, Protests, or Motions to Intervene:</E>Anyone may submit comments, a protest, or a motion to intervene in accordance with the requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211, .214. In determining the appropriate action to take, the Commission will consider all protests or other comments filed, but only those who file a motion to intervene in accordance with the Commission's Rules may become a party to the proceeding. Any comments, protests, or motions to intervene must be received on or before the specified comment date for the particular application.</P>
        <P>o. Any filing must bear in all capital letters the title “COMMENTS”, “PROTEST”, or “MOTION TO INTERVENE”, as applicable, and the Project Number of the particular application to which the filing refers.</P>
        <P>p.<E T="03">Agency Comments:</E>Federal, state, and local agencies are invited to file comments on the described application. A copy of the application may be obtained by agencies directly from the Applicant. If an agency does not file comments within the time specified for filing comments, it will be presumed to have no comments. One copy of an agency's comments must also be sent to the Applicant's representatives.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-301 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <DEPDOC>[Docket No. ER11-2534-000]</DEPDOC>
        <SUBJECT>Morris Cogeneration, LLC; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>This is a supplemental notice in the above-referenced proceeding Morris Cogeneration, 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.</P>
        <P>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.</P>

        <P>Notice is hereby given that the deadline for filing protests with regard<PRTPAGE P="1610"/>to the applicant's request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability, is January 24, 2011.</P>

        <P>The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at<E T="03">http://www.ferc.gov.</E>To facilitate electronic service, persons with Internet access who will eFile a document and/or be listed as a contact for an intervenor must create and validate an eRegistration account using the eRegistration link. Select the eFiling link to log on and submit the intervention or protests.</P>
        <P>Persons unable to file electronically should submit an original and 14 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.</P>

        <P>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 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 e-mail notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please e-mail<E T="03">FERCOnlineSupport@ferc.gov</E>or call (866) 208-3676 (toll free). For TTY, call (202) 502-8659.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-297 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <DEPDOC>[Docket No. ER11-2589-000]</DEPDOC>
        <SUBJECT>Evraz Claymont Steel, Inc.; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>This is a supplemental notice in the above-referenced proceeding Evraz Claymont Steel, Inc.'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.</P>
        <P>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.</P>
        <P>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 January 24, 2011.</P>

        <P>The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at<E T="03">http://www.ferc.gov.</E>To facilitate electronic service, persons with Internet access who will eFile a document and/or be listed as a contact for an intervenor must create and validate an eRegistration account using the eRegistration link. Select the eFiling link to log on and submit the intervention or protests.</P>
        <P>Persons unable to file electronically should submit an original and 14 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.</P>

        <P>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 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 e-mail notification when a document is added to a subscribed dockets(s). For assistance with any FERC Online service, please e-mail<E T="03">FERCOnlineSupport@ferc.gov.</E>or call (866) 208-3676 (toll free). For TTY, call (202) 502-8659.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-298 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <DEPDOC>[ Project No. 2246-058]</DEPDOC>
        <SUBJECT>Yuba County Water Agency; Notice of Intent To File License Application, Filing of Pre-Application Document (PAD), Commencement of Pre-Filing Process, and Scoping; Request for Comments on the PAD and Scoping Document, and Identification of Issues and Associated Study Requests</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>a.<E T="03">Type of Filing:</E>Notice of Intent to File License Application for a New License and Commencing Pre-filing Process.</P>
        <P>b.<E T="03">Project No.:</E>2246-058.</P>
        <P>c.<E T="03">Dated Filed:</E>November 5, 2010.</P>
        <P>d.<E T="03">Submitted By:</E>Yuba County Water Agency.</P>
        <P>e.<E T="03">Name of Project:</E>Yuba River Hydroelectric Project.</P>
        <P>f.<E T="03">Location:</E>The Yuba River Project facilities are located on the western slope of the Sierra Nevada on the main stems of the Yuba River, the North Yuba River, the Middle Yuba River, and Oregon Creek (a tributary to the Middle Yuba River) in Yuba, Sierra, and Nevada Counties, California. Portions of the Yuba River Project occupy lands of the Plumas and Tahoe National Forests.</P>
        <P>g.<E T="03">Filed Pursuant to:</E>18 CFR Part 5 of the Commission's Regulations.</P>
        <P>h.<E T="03">Potential Applicant Contact:</E>Curt Aikens, General Manager, Yuba County Water Agency, 1220 F Street, Marysville, California 95901, 530-741-6278.</P>
        <P>i.<E T="03">FERC Contact:</E>Alan Mitchnick at (202) 502-6074 or<E T="03">alan.mitchnick@ferc.gov</E>.</P>
        <P>j.<E T="03">Cooperating agencies:</E>Federal, state, local, and tribal agencies with jurisdiction and/or special expertise with respect to environmental issues that wish to cooperate in the preparation of the environmental document should follow the instructions for filing such requests described in item o below. Cooperating agencies should note the Commission's policy that agencies that cooperate in the preparation of the environmental document cannot also intervene.<E T="03">See</E>94 FERC ¶ 61,076 (2001).</P>

        <P>k. With this notice, we are initiating informal consultation with: (a) The U.S. Fish and Wildlife Service and/or NOAA Fisheries under section 7 of the Endangered Species Act and the joint agency regulations thereunder at 50 CFR Part 402 and (b) the California State Historic Preservation Officer, as required by section 106, National<PRTPAGE P="1611"/>Historical Preservation Act, and the implementing regulations of the Advisory Council on Historic Preservation at 36 CFR 800.2.</P>
        <P>l. With this notice, we are designating the Yuba County Water Agency as the Commission's non-federal representative for carrying out informal consultation, pursuant to Section 7 of the Endangered Species Act and section 106 of the National Historic Preservation Act.</P>
        <P>m. Yuba County Water Agency filed with the Commission a Pre-Application Document (PAD; including a proposed process plan and schedule), pursuant to 18 CFR 5.6 of the Commission's regulations.</P>

        <P>n. A copy of the PAD is available for review at the Commission in the Public Reference Room or may be viewed on the Commission's website (<E T="03">http://www.ferc.gov</E>), using the “eLibrary” link. Enter the docket number, excluding the last three digits in the docket number field to access the document. For assistance, contact FERC Online Support at<E T="03">FERCONlineSupport@ferc.gov</E>or toll free at 1-866-208-3676, or for TTY, (202) 502-8659. A copy is also available for inspection and reproduction at the address in paragraph h.</P>
        <P>Register online at<E T="03">http://www.ferc.gov/docs-filing/esubscription.asp</E>to be notified via e-mail of new filing and issuances related to this or other pending projects. For assistance, contact FERC Online Support.</P>

        <P>o. With this notice, we are soliciting comments on the PAD and Commission's staff Scoping Document 1 (SD1), as well as study requests. All comments on the PAD and SD1, and study requests should be sent to the address above in paragraph h. In addition, all comments on the PAD and SD1, study requests, requests for cooperating agency status, and all communications to and from Commission staff related to the merits of the potential application must be filed with the Commission. Documents may be filed electronically via the Internet. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's website<E T="03">http://www.ferc.gov/docs-filing/efiling.asp</E>. Commenters can submit brief comments up to 6,000 characters, without prior registration, using the eComment system at<E T="03">http://www.ferc.gov/docs-filing/ecomment.asp</E>. You must include your name and contact information at the end of your comments. For assistance, please contact FERC Online Support. Although the Commission strongly encourages electronic filing, documents may also be paper-filed. To paper-file, mail an original and seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.</P>
        <P>All filings with the Commission must include on the first page, the project name (Yuba River Hydroelectric Project) and number (P-2246-058), and bear the appropriate heading: “Comments on Pre-Application Document,” “Study Requests,” “Comments on Scoping Document 1,” “Request for Cooperating Agency Status,” or “Communications to and from Commission Staff.” Any individual or entity interested in submitting study requests, commenting on the PAD or SD1, and any agency requesting cooperating status must do so by March 7, 2011.</P>
        <P>p. Although our current intent is to prepare an environmental assessment (EA), there is the possibility that an Environmental Impact Statement (EIS) will be required. Nevertheless, this meeting will satisfy the NEPA scoping requirements, irrespective of whether an EA or EIS is issued by the Commission.</P>
        <HD SOURCE="HD1">Scoping Meetings and Site Visit</HD>
        <P>Commission staff will hold two scoping meetings in the vicinity of the project at the time and place noted below. The daytime meeting will focus on resource agency, Indian tribes, and non-governmental organization concerns, while the evening meeting is primarily for receiving input from the public. We invite all interested individuals, organizations, and agencies to attend one or both of the meetings, and to assist staff in identifying particular study needs, as well as the scope of environmental issues to be addressed in the environmental document. The times and locations of these meetings are as follows:</P>
        <HD SOURCE="HD2">Daytime Scoping Meeting</HD>
        <FP SOURCE="FP-1">
          <E T="03">Date and Time:</E>Wednesday, February 2, 2011, 1 p.m. (PST)</FP>
        <FP SOURCE="FP-1">
          <E T="03">Location:</E>Yuba County Government Center, Conference Rooms 1 and 2, 915 8th Street, Marysville, California</FP>
        <HD SOURCE="HD2">Evening Scoping Meeting</HD>
        <FP SOURCE="FP-1">
          <E T="03">Date and Time:</E>Wednesday, February 2, 2011, 7 p.m. (PST)</FP>
        <FP SOURCE="FP-1">
          <E T="03">Location:</E>Yuba County Government Center, Conference Rooms 1 and 2, 915 8th Street, Marysville, California</FP>
        

        <P>Scoping Document 1 (SD1), which outlines the subject areas to be addressed in the environmental document, was mailed to the individuals and entities on the Commission's and Yuba County's mailing lists. Copies of SD1 will be available at the scoping meetings, or may be viewed on the web at<E T="03">http://www.ferc.gov,</E>using the “eLibrary” link. Follow the directions for accessing information in paragraph n. Based on all oral and written comments, a Scoping Document 2 (SD2) may be issued. SD2 may include a revised process plan and schedule, as well as a list of issues, identified through the scoping process.</P>
        <HD SOURCE="HD2">Site Visit</HD>
        <FP SOURCE="FP-1">
          <E T="03">Date and Time:</E>Tuesday, February 1, 2011, 8 a.m.-4:30 p.m. (PST)</FP>
        <FP SOURCE="FP-1">
          <E T="03">Location:</E>Meet at Yuba County Water Agency office, 1220 F Street, Marysville, California</FP>
        
        <P>Please notify Alan Mitchnick at 202-502-6074 or<E T="03">alan.mitchnick@ferc.gov</E>by January 21, 2011, if you plan to attend the site visit.</P>
        <HD SOURCE="HD1">Meeting Objectives</HD>
        <P>At the scoping meetings, staff will: (1) Initiate scoping of the issues; (2) review and discuss existing conditions and resource management objectives; (3) review and discuss existing information and identify preliminary information and study needs; (4) review and discuss the process plan and schedule for pre-filing activity that incorporates the time frames provided for in Part 5 of the Commission's regulations and, to the extent possible, maximizes coordination of federal, state, and tribal permitting and certification processes; and (5) discuss the appropriateness of any federal or state agency or Indian tribe acting as a cooperating agency for development of an environmental document.</P>
        <P>Meeting participants should come prepared to discuss their issues and/or concerns. Please review the PAD in preparation for the scoping meetings. Directions on how to obtain a copy of the PAD and SD1 are included in item n. of this document.</P>
        <HD SOURCE="HD1">Meeting Procedures</HD>
        <P>The meetings will be recorded by a stenographer and will be placed in the public record of the project.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-302 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1612"/>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <DEPDOC>[Project No. 13247-001]</DEPDOC>
        <SUBJECT>Natural Currents Energy Services, LLC; Notice of Intent To File License Application, Filing of Draft Application, Request for Waivers of Integrated Licensing Process Regulations Necessary for Expedited Processing of a Hydrokinetic Pilot Project License Application, and Soliciting Comments</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>a.<E T="03">Type of Filing:</E>Notice of Intent to File a License Application for an Original License for a Hydrokinetic Pilot Project.</P>
        <P>b.<E T="03">Project No.:</E>13247-001.</P>
        <P>c.<E T="03">Date Filed:</E>December 22, 2010.</P>
        <P>d.<E T="03">Submitted By:</E>Natural Currents Energy Services, LLC.</P>
        <P>e.<E T="03">Name of Project:</E>Will's Hole Tidal Electric Project.</P>
        <P>f.<E T="03">Location:</E>The project would be located in the Manasquan River in Ocean County, New Jersey. The project would not occupy Federal lands.</P>
        <P>g.<E T="03">Filed Pursuant to:</E>18 CFR 5.3 of the Commission's regulations.</P>
        <P>h.<E T="03">Applicant Contact:</E>Mr. Roger Bason, Natural Currents Energy Services, LLC, 24 Roxanne Boulevard, Highland, New York 12561, (845) 691-4009.</P>
        <P>i.<E T="03">FERC Contact:</E>Timothy Konnert, (202) 502-6359.</P>
        <P>j.<E T="03">Natural Currents Energy Services, LLC (Natural Currents) has filed with the Commission:</E>(1) A notice of intent (NOI) to file an application for an original license for a hydrokinetic pilot project and a draft license application with monitoring plans; (2) a request for waivers of the integrated licensing process regulations necessary for expedited processing of a hydrokinetic pilot project license application; (3) a proposed process plan and schedule; (4) a request to be designated as the non-federal representative for section 7 of the Endangered Species Act (ESA) consultation; and (5) a request to be designated as the non-Federal representative for section 106 consultation under the National Historic Preservation Act (collectively the pre-filing materials).</P>

        <P>k. With this notice, we are soliciting comments on the pre-filing materials listed in paragraph j above, including the draft license application and monitoring plans. All comments should be sent to the address above in paragraph h. In addition, all comments may be filed electronically via the Internet. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web site<E T="03">http://www.ferc.gov/docs-filing/efiling.asp.</E>Commenters can submit brief comments up to 6,000 characters, without prior registration, using the eComment system at<E T="03">http://www.ferc.gov/docs-filing/ecomment.asp.</E>You must include your name and contact information at the end of your comments. For assistance, please contact FERC Online Support at<E T="03">FERCOnlineSupport@ferc.gov</E>or toll free at 1-866-208-3676, or for TTY, (202) 502-8659. Although the Commission strongly encourages electronic filing, documents may also be paper-filed. To paper-file, mail an original and seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426. Any individual or entity interested in submitting comments on the pre-filing materials must do so by March 7, 2011.</P>
        <P>l. With this notice, we are approving Natural Currents' request to be designated as the non-federal representative for section 7 of the ESA and its request to initiate consultation under section 106 of the National Historic Preservation Act; and recommending that it begin informal consultation with: (a) The U.S. Fish and Wildlife Service and the National Marine Fisheries Service as required by section 7 of ESA; and (b) the New Jersey State Historic Preservation Officer, as required by section 106, National Historical Preservation Act, and the implementing regulations of the Advisory Council on Historic Preservation at 36 CFR 800.2.</P>
        <P>m. This notice does not constitute the Commission's approval of Natural Currents' request to use the Pilot Project Licensing Procedures. Upon its review of the project's overall characteristics relative to the pilot project criteria, the draft license application contents, any comments filed, and Natural Currents' response to any additional information requests by the Commission, the Commission will determine whether there is adequate information to conclude the pre-filing process and approve the use the Pilot Project Licensing Procedures.</P>
        <P>n. The proposed Will's Hole Tidal Electric Project would consist of: (1) An approximately 50-foot by 20-foot floating dock structure that would be anchored by thirteen 12-inch diameter pilings; (2) two 7.9-foot-diameter Natural Currents Red Hawk Tidal generating units, with a total installed capacity of 40 kilowatts, each surrounded by a 5-foot by 11-foot stainless steel cage; (3) a 200-foot-long underwater transmission cable that would interconnect with the existing Jersey Central Power and Light system, and (4) appurtenant facilities for operating and maintaining the project. The project is estimated to have an annual generation of 70-megawatt-hours, which would be sold to the Kingsbridge Financial Group, Inc. and Will's Hole Marina.</P>

        <P>o. A copy of the draft license application and all pre-filing materials are available for review at the Commission in the Public Reference Room or may be viewed on the Commission's Web site at<E T="03">http://www.ferc.gov</E>using the “eLibrary” link. Enter the docket number, excluding the last three digits in the docket number field to access the document. For assistance, contact FERC Online Support at<E T="03">FERCOnlineSupport@ferc.gov</E>or toll free at 1-866-208-3676, or for TTY, (202) 502-8659.</P>
        <P>p. Pre-filing process schedule. The pre-filing process will be conducted pursuant to the following tentative schedule. Revisions to the schedule below may be made based on staff's review of the draft application and any comments received.</P>
        <GPOTABLE CDEF="s50,xs66" COLS="2" OPTS="L2,tp0,i1">
          <BOXHD>
            <CHED H="1">Milestone</CHED>
            <CHED H="1">Date</CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">Comments on pre-filing materials due</ENT>
            <ENT>March 7, 2011.</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Issuance of Notice of Site Visit/Meetings</ENT>
            <ENT>March 22, 2011.</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Site Visit &amp; Public Meetings/Technical Conference</ENT>
            <ENT>April 21, 2011.</ENT>
          </ROW>
        </GPOTABLE>
        <P>q. Register online at<E T="03">http://www.ferc.gov/docs-filing/esubscription.asp</E>to be notified via e-mail of new filing and issuances related to this or other pending projects. For assistance, contact FERC Online Support.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-303 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1613"/>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <SUBJECT>Notice of Change in Time of Commission Meeting</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>The Commission's open meeting scheduled for Thursday, January 20, 2011, will begin at 9 a.m.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-300 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <SUBJECT>Notice of Membership of Performance Review Board for Senior Executives (PRB)</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>The Federal Energy Regulatory Commission hereby provides notice of the membership of its Performance Review Board (PRB) for the Commission's Senior Executive Service (SES) members. The function of this board is to make recommendations relating to the performance of senior executives in the Commission. This action is undertaken in accordance with Title 5, U.S.C., Section 4314(c)(4).</P>
        <P>The Commission's PRB will remove the following members: Thomas R. Herlihy; Thomas R. Sheets.</P>
        <P>The Commission's PRB will add the following members: Michael A. Bardee; Charles H. Schneider, PRB Chairman.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-299 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
        <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
        <DEPDOC>[Project No. 13877-000]</DEPDOC>
        <SUBJECT>Mahoning Hydropower, LLC; Notice of Preliminary Permit Application Accepted for Filing and Soliciting Comments, Motions To Intervene, and Competing Applications</SUBJECT>
        <DATE>January 4, 2011.</DATE>
        <P>On November 4, 2010, Mahoning Hydro, LLC filed an application for a preliminary permit, pursuant to section 4(f) of the Federal Power Act, proposing to study the feasibility of the Stonewall Jackson Hydroelectric Project, to be located at the U.S. Army Corps of Engineers' Stonewall Jackson dam on the West Fork River, in the Town of Weston, Lewis County, West Virginia. The sole purpose of a preliminary permit, if issued, is to grant the permit holder priority to file a license application during the permit term. A preliminary permit does not authorize the permit holder to perform any land-disturbing activities or otherwise enter upon lands or waters owned by others without the owners' express permission.</P>
        <P>The proposed project would utilize the existing U.S. Army Corps of Engineers' Stonewall Jackson dam and would consist of: (1) An existing 42-inch-diameter, 100-foot-long penstock; (2) an existing 50-foot by 50-foot powerhouse, containing one existing generating unit with a generating capacity of 300 kilowatts (kW), discharging directly into the existing stilling basin through a 10-foot-wide, 4-foot-high draft tube opening; (3) an approximately 400-foot-long, 12.4-kilovolt (kV) existing transmission line connecting to an existing distribution system owned by Allegheny Power; and (4) appurtenant facilities. The estimated annual generation of the Stonewall Jackson Hydroelectric Project would be 1,800 megawatt-hours.</P>
        <P>
          <E T="03">Applicant Contact:</E>Anthony J. Marra III, 11365 Normandy Lane, Auburn Township, Ohio 44023; phone: (440) 804-6627.</P>
        <P>
          <E T="03">FERC Contact:</E>Timothy Konnert, (202) 502-6359.</P>

        <P>Deadline for filing comments, motions to intervene, competing applications (without notices of intent), or notices of intent to file competing applications: 60 days from the issuance of this notice. Competing applications and notices of intent must meet the requirements of 18 CFR 4.36. Comments, motions to intervene, notices of intent, and competing applications may be filed electronically via the Internet. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web site<E T="03">http://www.ferc.gov/docs-filing/efiling.asp</E>. Commenters can submit brief comments up to 6,000 characters, without prior registration, using the eComment system at<E T="03">http://www.ferc.gov/docs-filing/ecomment.asp</E>. You must include your name and contact information at the end of your comments. For assistance, please contact FERC Online Support. Although the Commission strongly encourages electronic filing, documents may also be paper-filed. To paper-file, mail an original and seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.</P>

        <P>More information about this project, including a copy of the application, can be viewed or printed on the “eLibrary” link of the Commission's Web site at<E T="03">http://www.ferc.gov/docs-filing/elibrary.asp</E>. Enter the docket number (P-13877-000) in the docket number field to access the document. For assistance, contact FERC Online Support.</P>
        <SIG>
          <NAME>Kimberly D. Bose,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-296 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6717-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">FEDERAL RESERVE SYSTEM</AGENCY>
        <SUBJECT>Agency Information Collection Activities: Submission for OMB Review; Comment Request</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Board of Governors of the Federal Reserve System (Board).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of information collection to be submitted to OMB for review and approval under the Paperwork Reduction Act of 1995.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In accordance with the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35), the Board, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency (the “agencies”), may not conduct or sponsor, and the respondent is not required to respond to, an information collection unless it displays a currently valid Office of Management and Budget (OMB) control number.</P>

          <P>On September 17, 2010, the Board, under the auspices of the Federal Financial Institutions Examination Council (FFIEC) and on behalf of the agencies, published a notice in the<E T="04">Federal Register</E>(75 FR 57020) requesting public comment on the extension, with revision, of the Report of Assets and Liabilities of U.S. Branches and Agencies of Foreign Banks (FFIEC 002) and the Report of Assets and Liabilities of a Non-U.S. Branch that is Managed or Controlled by a U.S. Branch or Agency of a Foreign (Non-U.S.) Bank (FFIEC 002S), which are currently approved information collections. The comment period for this notice expired on November 16, 2010. One comment was received expressing support for the proposed revisions. The Board hereby gives notice that it plans to submit to OMB on behalf of the agencies a request for approval of the FFIEC 002 and the FFIEC 002S.</P>
        </SUM>
        <DATES>
          <PRTPAGE P="1614"/>
          <HD SOURCE="HED">DATES:</HD>
          <P>Comments must be submitted on or before February 10, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Interested parties are invited to submit written comments to the agency listed below. All comments will be shared among the agencies.</P>
          <P>You may submit comments, which should refer to “FFIEC002, 7100-0032” by any of the following methods:</P>
          <P>•<E T="03">Agency Web Site: http://www.federalreserve.gov.</E>Follow the instructions for submitting comments on the<E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm.</E>
          </P>
          <P>•<E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>•<E T="03">E-mail: regs.comments@federalreserve.gov.</E>Include docket number in the subject line of the message.</P>
          <P>•<E T="03">FAX:</E>202-452-3819 or 202-452-3102.</P>
          <P>•<E T="03">Mail:</E>Jennifer J. Johnson, Secretary, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.</P>

          <P>All public comments are available from the Board's Web site at<E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm</E>as submitted, unless modified for technical reasons. Accordingly, your comments will not be edited to remove any identifying or contact information. Public comments may also be viewed electronically or in paper in Room MP-500 of the Board's Martin Building (20th and C Streets, NW.) between 9 a.m. and 5 p.m. on weekdays.</P>
          <P>Additionally, commenters may send a copy of their comments to the OMB desk officer for the agencies by mail to the Office of Information and Regulatory Affairs, U.S. Office of Management and Budget, New Executive Office Building, Room 10235, 725 17th Street, NW., Washington, DC 20503, or by fax to (202) 395-6974.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Additional information or a copy of the collections may be requested from Cynthia M. Ayouch, Acting Federal Reserve Board Clearance Officer, (202) 452-3829, Division of Research and Statistics, Board of Governors of the Federal Reserve System, 20th and C Streets, NW., Washington, DC 20551. Telecommunications Device for the Deaf (TDD) users may call (202) 263-4869.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P SOURCE="NPAR">
          <E T="03">Proposal to request approval from OMB of the extension for three years, with revision, of the following report:</E>
        </P>
        <P>
          <E T="03">Title:</E>Report of Assets and Liabilities of U.S. Branches and Agencies of Foreign Banks; Report of Assets and Liabilities of a Non-U.S. Branch that is Managed or Controlled by a U.S. Branch or Agency of a Foreign (Non-U.S.) Bank.</P>
        <P>
          <E T="03">Form Numbers:</E>FFIEC 002; FFIEC 002S.</P>
        <P>
          <E T="03">OMB Number:</E>7100-0032.</P>
        <P>
          <E T="03">Frequency of Response:</E>Quarterly.</P>
        <P>
          <E T="03">Affected Public:</E>U.S. branches and agencies of foreign banks.</P>
        <P>
          <E T="03">Estimated annual reporting hours:</E>FFIEC 002—24,200 hours; FFIEC 002S—1,368 hours.</P>
        <P>
          <E T="03">Estimated average hours per response:</E>FFIEC 002—25.42 hours; FFIEC 002S—6.0 hours.</P>
        <P>
          <E T="03">Number of respondents:</E>FFIEC 002—238; FFIEC 002S—57.</P>
        <P>
          <E T="03">General Description of Report:</E>These information collections are mandatory: 12 U.S.C. 3105(c)(2), 1817(a)(1) and (3), and 3102(b). Except for select sensitive items, the FFIEC 002 is not given confidential treatment; the FFIEC 002S is given confidential treatment [5 U.S.C. 552(b)(4) and (8)].</P>
        <P>
          <E T="03">Abstract:</E>On a quarterly basis, all U.S. branches and agencies of foreign banks are required to file the FFIEC 002, which is a detailed report of condition with a variety of supporting schedules. This information is used to fulfill the supervisory and regulatory requirements of the International Banking Act of 1978. The data are also used to augment the bank credit, loan, and deposit information needed for monetary policy and other public policy purposes. The FFIEC 002S is a supplement to the FFIEC 002 that collects information on assets and liabilities of any non-U.S. branch that is managed or controlled by a U.S. branch or agency of the foreign bank. Managed or controlled means that a majority of the responsibility for business decisions, including but not limited to decisions with regard to lending or asset management or funding or liability management, or the responsibility for recordkeeping in respect of assets or liabilities for that foreign branch resides at the U.S. branch or agency. A separate FFIEC 002S must be completed for each managed or controlled non-U.S. branch. The FFIEC 002S must be filed quarterly along with the U.S. branch or agency's FFIEC 002. The data from both reports are used for: (1) Monitoring deposit and credit transactions of U.S. residents; (2) monitoring the impact of policy changes; (3) analyzing structural issues concerning foreign bank activity in U.S. markets; (4) understanding flows of banking funds and indebtedness of developing countries in connection with data collected by the International Monetary Fund and the Bank for International Settlements that are used in economic analysis; and (5) assisting in the supervision of U.S. offices of foreign banks. The Federal Reserve System collects and processes these reports on behalf of all three agencies.</P>
        <P>
          <E T="03">Current Actions:</E>The agencies propose to implement a number of revisions to the existing reporting requirements of the FFIEC 002, principally to help achieve consistency with the Consolidated Reports of Condition and Income (Call Report) (FFIEC 031 and FFIEC 041) filed by insured commercial banks and state-chartered savings banks. The proposed revisions to the FFIEC 002 summarized below have been approved for publication by the FFIEC. The agencies would implement the proposed changes for the March 31, 2011, reporting date.</P>
        <HD SOURCE="HD1">Discussion of Proposed Revisions to the FFIEC 002</HD>
        <HD SOURCE="HD2">A. Additional Detail on Trading Assets</HD>
        <P>U.S. branches and agencies of foreign banks (branches) currently report mortgage-backed securities (MBS) issued or guaranteed by U.S. Government agencies that are held for investment in Schedule RAL, item 1.c.(2)(a), all other MBS that are held for investment in Schedule RAL, item 1.c.(2)(b), and other asset-backed securities (other than MBS) held for investment in Schedule RAL, item 1.c.(3). However, branches currently report only a two-way split of trading assets between U.S. Treasury and Agency securities held for trading (Schedule RAL, item 1.f.(1)) and all other trading assets (Schedule RAL, item 1.f.(2)). The agencies propose to collect information on Schedule RAL, Assets and Liabilities, for mortgage-backed securities (MBS) held for trading, with a split between MBS issued or guaranteed by U.S. Government agencies (new Schedule RAL, item 1.f.(2)(a)) and all other MBS (new Schedule RAL, item 1.f.(2)(b)), and for other asset-backed securities (other than MBS) held for trading (new Schedule RAL, item 1.f.(3)). Current Schedule RAL, item 1.f.(2), Other trading assets, would be defined to exclude all asset-backed securities held for trading and would be renumbered as item 1.f.(4).</P>

        <P>The additional detail would allow the agencies to better monitor movements in trading securities over time, and provide for more meaningful analysis of the existing categories of trading assets. For example, from March 2003 to December 2006 U.S. Treasury and Agency securities held for trading by branches fell from $33.0 billion to $23.7 billion, and by December 2009 had declined to $19.3 billion. From March 2003 to<PRTPAGE P="1615"/>December 2006 other trading assets<SU>1</SU>
          <FTREF/>held by branches rose from $41.5 billion to $120.6 billion, and by December 2009 had declined to $52.0 billion.</P>
        <FTNT>
          <P>
            <SU>1</SU>As reported in Schedule RAL, item 1.f.(2), less the amount of trading derivatives with a positive fair value, as such amounts are separately disclosed on the FFIEC 002.</P>
        </FTNT>
        <HD SOURCE="HD2">B. Time Deposits of $100,000 or More</HD>

        <P>The reporting instructions for Schedule E, Deposit Liabilities and Credit Balances, memorandum item 1.a, Time deposits of $100,000 or more, indicate that branches should<E T="03">include</E>in this item all brokered deposits issued in amounts of $100,000 or more, regardless of whether they were participated out in shares of less than $100,000. However, in March 2007 the Call Report instructions for a comparable item were modified to<E T="03">exclude</E>all brokered deposits issued in amounts of $100,000 or more that have been participated out by the broker in shares of less than $100,000. The agencies propose to revise the reporting instructions for Schedule E, memorandum item 1.a, to exclude such brokered deposits. Thus, the instructions would be amended to state “Exclude from this item all time deposits issued to deposit brokers in the form of large ($100,000 or more) certificates of deposit that have been participated out by the broker in shares of less than $100,000.” This will make the instructions consistent across these reporting series and also simplify reporting for those foreign banks that own both domestically chartered banks (which file the FFIEC 031 or 041 Call Report) and U.S. agencies or branches (which file the FFIEC 002).</P>
        <P>Schedule E, memorandum item 1.c, Time certificates of deposit in denominations of $100,000 or more with remaining maturity of more than 12 months, is currently defined to include those time certificates of deposit issued in denominations of $100,000 or more, and to exclude open-account time deposits. The agencies propose to revise the caption to this item as “Time deposits of $100,000 or more with remaining maturity of more than 12 months included in Memorandum item 1.a, `Time deposits of $100,000 or more,' above” to include both time certificates of deposit and open-account time deposits. The agencies also propose to revise the reporting instructions for this item to report such deposits “with outstanding balances of $100,000 or more” rather than “issued in denominations of $100,000 or more” and to indicate that amounts reported in memorandum item 1.c are included in memorandum item 1.a. These changes would make the reporting of memorandum item 1.c more consistent with the reporting of memorandum item 1.a and with the reporting of comparable items collected on the bank Call Report.</P>
        <HD SOURCE="HD2">C. Financial Assets and Liabilities Measured at Fair Value</HD>

        <P>Effective for the September 30, 2008, report date, the banking agencies began collecting information on certain assets and liabilities measured at fair value on FFIEC 002 Schedule Q, Financial Assets and Liabilities Measured at Fair Value. Currently, this schedule is completed by branches with a significant level of trading activity or that use a fair value option. The information collected on Schedule Q is intended to be consistent with the fair value disclosures and other requirements in Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) Topic 820,<E T="03">Fair Value Measurements and Disclosures</E>[formerly FASB Statement No. 157,<E T="03">Fair Value Measurements</E>(FAS 157)]. Based on the agencies' ongoing review of industry reporting and disclosure practices since the inception of this standard, and the reporting of items at fair value on Schedule RAL, Assets and Liabilities, the agencies propose to expand the data collected on Schedule Q in two material respects.</P>
        <P>First, to improve the consistency of data collected on Schedule Q with the ASC Topic 820 disclosure requirements and industry disclosure practices, the agencies propose to expand the detail of the collected data. The agencies propose to expand the detail on Schedule Q to collect fair value information on all assets and liabilities reported at fair value on a recurring basis in a manner consistent with the asset and liability breakdowns on Schedule RAL. Thus, the agencies propose to change the title of Schedule Q to Assets and Liabilities Measured at Fair Value on a Recurring Basis and add items to collect fair value information on:</P>
        <P>• Available-for-sale securities (new item 1);</P>
        <P>• Federal funds sold and securities purchased under agreements to resell (new item 2);</P>
        <P>• Federal funds purchased and securities sold under agreements to repurchase (new item 9);</P>
        <P>• Other borrowed money (new item 11); and</P>
        <P>• Subordinated notes and debentures (new item 12).</P>
        <P>The agencies also propose to modify the existing collection of loan and lease data and trading asset and liability data to collect data separately for:</P>
        <P>• Loans and leases held for sale (new item 3);</P>
        <P>• Loans and leases held for investment (new item 4);</P>
        <P>• Trading derivative assets (new item 5.a);</P>
        <P>• Other trading assets (new item 5.b);</P>
        <P>• Trading derivative liabilities (new item 10.a); and</P>
        <P>• Other trading liabilities (new item 10.b).</P>
        <P>The agencies also propose to add totals to capture total assets (new item 7) and total liabilities (new item 14) for items reported on the schedule. In addition, the agencies propose to modify the existing items for “other financial assets and servicing assets” and “other financial liabilities and servicing liabilities” to collect information on “all other assets” (new item 6) and “all other liabilities” (new item 14) reported at fair value on a recurring basis, including nontrading derivatives. Components of “all other assets” and “all other liabilities” would be separately reported (in new memorandum items 1 and 2, respectively) if they are greater than $25,000 and exceed 25 percent of the total fair value of “all other assets” and “all other liabilities,” respectively. In conjunction with this change, the existing reporting for loan commitments accounted for under a fair value option would be revised to include these instruments, based on whether their fair values are positive or negative, in the items for “all other assets” and “all other liabilities” reported at fair value on a recurring basis, with separate disclosure of these commitments if significant. Furthermore, current item 2.a, Nontrading securities at fair value with changes in fair value reported in current earnings, and current item 4, Deposits, would be renumbered as items 5.b.(1) and 8, respectively.</P>

        <P>Second, the agencies propose to modify the reporting criteria for Schedule Q. The current instructions require all branches that have adopted ASC Topic 820 and (1) have elected to account for financial instruments or servicing assets and liabilities at fair value under a fair value option or (2) have trading assets of $2 million or more in any of the four preceding calendar quarters, to complete Schedule Q. The agencies propose to maintain this reporting requirement for branches that use a fair value option or that have significant trading activity. In addition, the agencies propose to extend the requirement to complete Schedule Q to all branches that reported $500 million or more in total assets as of the preceding December 31, regardless of whether they have elected to apply a<PRTPAGE P="1616"/>fair value option to financial or servicing assets and liabilities.</P>
        <P>The agencies believe that the proposed information is necessary to more accurately assess the impact of fair value accounting and fair value measurements for safety and soundness purposes. The collection of the information on Schedule Q, as proposed, will facilitate and enhance the banking agencies' ability to monitor the extent of fair value accounting by branches, including the elective use of fair value accounting and the nature of the inputs used in the valuation process, pursuant to the disclosure requirements of ASC Topic 820. The information collected on Schedule Q is consistent with the disclosures required by ASC Topic 820 and consistent with industry practice for reporting fair value measurements and should, therefore, not impose significant incremental burden on branches.</P>
        <HD SOURCE="HD1">Request for Comment</HD>
        <P>Comments are invited on:</P>
        <P>a. Whether the information collections are necessary for the proper performance of the agencies' functions, including whether the information has practical utility;</P>
        <P>b. The accuracy of the agencies' estimates of the burden of the information collections, including the validity of the methodology and assumptions used;</P>
        <P>c. Ways to enhance the quality, utility, and clarity of the information to be collected;</P>
        <P>d. Ways to minimize the burden of information collections on respondents, including through the use of automated collection techniques or other forms of information technology; and</P>
        <P>e. Estimates of capital or start up costs and costs of operation, maintenance, and purchase of services to provide information.</P>
        <P>Comments submitted in response to this notice will be shared among the agencies. All comments will become a matter of public record. Written comments should address the accuracy of the burden estimates and ways to minimize burden including the use of automated collection techniques or the use of other forms of information technology as well as other relevant aspects of the information collection request.</P>
        <SIG>
          <P>Board of Governors of the Federal Reserve System, January 5, 2011.</P>
          <NAME>Jennifer J. Johnson,</NAME>
          <TITLE>Secretary of the Board.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-270 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6210-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">FEDERAL RESERVE SYSTEM</AGENCY>
        <SUBJECT>Federal Open Market Committee; Domestic Policy Directive of December 14, 2010</SUBJECT>
        <P>In accordance with Section 271.25 of its rules regarding availability of information (12 CFR part 271), there is set forth below the domestic policy directive issued by the Federal Open Market Committee at its meeting held on December 14, 2010.<SU>1</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>1</SU>Copies of the Minutes of the Federal Open Market Committee at its meeting held on December 14, 2010, which includes the domestic policy directive issued at the meeting, are available upon request to the Board of Governors of the Federal Reserve System, Washington, DC 20551. The minutes are published in the Federal Reserve Bulletin and in the Board's Annual Report.</P>
        </FTNT>
        <P>The Federal Open Market Committee seeks monetary and financial conditions that will foster price stability and promote sustainable growth in output. To further its long-run objectives, the Committee seeks conditions in reserve markets consistent with federal funds trading in a range from 0 to<FR>1/4</FR>percent. The Committee directs the Desk to execute purchases of longer-term Treasury securities in order to increase the total face value of domestic securities held in the System Open Market Account to approximately $2.6 trillion by the end of June 2011. The Committee also directs the Desk to reinvest principal payments from agency debt and agency mortgage-backed securities in longer-term Treasury securities. The System Open Market Account Manager and the Secretary will keep the Committee informed of ongoing developments regarding the System's balance sheet that could affect the attainment over time of the Committee's objectives of maximum employment and price stability.</P>
        <SIG>
          <DATED>By order of the Federal Open Market Committee, January 5, 2011.</DATED>
          <NAME>William B. English,</NAME>
          <TITLE>Secretary, Federal Open Market Committee.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-348 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6210-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">FEDERAL RESERVE SYSTEM</AGENCY>
        <SUBJECT>Formations of, Acquisitions by, and Mergers of Bank Holding Companies</SUBJECT>

        <P>The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841<E T="03">et seq</E>.) (BHC Act), Regulation Y (12 CFR part 225), and all other applicable statutes and regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of, or the power to vote shares of a bank or bank holding company and all of the banks and nonbanking companies owned by the bank holding company, including the companies listed below.</P>
        <P>The applications listed below, as well as other related filings required by the Board, are available for immediate inspection at the Federal Reserve Bank indicated. The application also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing on the standards enumerated in the BHC Act (12 U.S.C. 1842(c)). If the proposal also involves the acquisition of a nonbanking company, the review also includes whether the acquisition of the nonbanking company complies with the standards in section 4 of the BHC Act (12 U.S.C. 1843). Unless otherwise noted, nonbanking activities will be conducted throughout the United States.</P>
        <P>Unless otherwise noted, comments regarding each of these applications must be received at the Reserve Bank indicated or the offices of the Board of Governors not later than February 7, 2011.</P>
        <P>A. Federal Reserve Bank of Dallas (E. Ann Worthy, Vice President)2200 North Pearl Street, Dallas, Texas 75201-2272:</P>
        <P>
          <E T="03">1. Sulphur Springs Bancshares, Inc., Sulphur Springs, Texas,</E>to acquire by merger 100 percent of First Mineola, Inc., and indirectly acquire The First National Bank of Mineola, both of Mineola, Texas.</P>
        <SIG>
          <DATED>Board of Governors of the Federal Reserve System, January 6, 2011.</DATED>
          <NAME>Robert deV. Frierson,</NAME>
          <TITLE>Deputy Secretary of the Board.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-341 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 6210-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <DEPDOC>[Document Identifier: OS-0990-New; 60-Day Notice]</DEPDOC>
        <SUBJECT>Agency Information Collection Request; 60-Day Public Comment Request</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Office of the Secretary, HHS.</P>

          <P>In compliance with the requirement of section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Office of the Secretary (OS), Department of Health and Human Services, is publishing the following summary of a proposed information collection request for public comment. Interested persons are invited to send comments regarding this burden estimate or any other aspect of this collection of information,<PRTPAGE P="1617"/>including any of the following subjects: (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.</P>

          <P>To obtain copies of the supporting statement and any related forms for the proposed paperwork collections referenced above, e-mail your request, including your address, phone number, OMB number, and OS document identifier, to<E T="03">Sherette.funncoleman@hhs.gov,</E>or call the Reports Clearance Office on (202) 690-6162. Written comments and recommendations for the proposed information collections must be directed to the OS Paperwork Clearance Officer at the above e-mail address within 60 days.</P>
          <P>
            <E T="03">Proposed Project:</E>Comparative Effectiveness Research Inventory—OMB No. 0990-New-Assistant Secretary for Planning and Evaluation (ASPE).</P>
          <P>
            <E T="03">Abstract:</E>The Office of the Assistance Secretary for Planning and Evaluation (ASPE) is requesting approval by OMB for the collection of information submitted by content users directly to a web-based inventory of comparative effectiveness research (CER). The CER Inventory will categorize and catalogue Federal and non-Federal CER outputs and activities across four main domains: Research, human &amp; scientific capital (e.g., training/education, methods development), data infrastructure, and dissemination &amp; translation. The CER inventory will serve as a valuable tool for researchers, providers, patients, policymakers, and other users.</P>
          <P>The CER inventory will draw upon primary data sources, including PubMed, HSRProj, ClinicalTrials.gov, and NIH RePORTER. Working with these four major sources and using the Federal Coordinating Council for CER's definition of CER and strategic framework, selection criteria and tools to select and extract the appropriate subsets of these datasets for inclusion in the CER inventory will be identified. In addition, content owners wishing to submit CER records to the CER inventory will be directed first to submit such records to one of these main primary source databases, as appropriate. This method will not only help to augment these existing databases, it will enable efficient and effective capture of CER information for the CER Inventory via CER search filters, etc., that have been developed for those respective source databases. If candidate CER records under consideration are not suitable for submission to one of these main databases, an alternative method that allows for direct submissions to the CER inventory will be made available to content users. Examples include reports and published articles or projects and programs that focus on areas of CER outside of primary research (e.g., training and education). The pilot inventory tool will provide a web form that may be used by content owners to submit CER records, subject to validation. This process for direct submission will draw from the experience with content owner submissions for such established databases as HSRProj and ClinicalTrials.gov.</P>
        </AGY>
        <GPOTABLE CDEF="s100,r35,12,12,12,12,12" COLS="7" OPTS="L2,i1">
          <TTITLE>Estimated Annualized Burden Table</TTITLE>
          <BOXHD>
            <CHED H="1">Form</CHED>
            <CHED H="1">Type of<LI>respondent</LI>
            </CHED>
            <CHED H="1">Number of<LI>respondents</LI>
            </CHED>
            <CHED H="1">Number of<LI>responses per respondent</LI>
            </CHED>
            <CHED H="1">Total<LI>responses</LI>
            </CHED>
            <CHED H="1">Average<LI>burden hours per response</LI>
            </CHED>
            <CHED H="1">Total burden hours</CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">CER Inventory Direct Submission Form for Reports or Other Publications</ENT>
            <ENT>Researchers/Research Assistants</ENT>
            <ENT>400</ENT>
            <ENT>1</ENT>
            <ENT>400</ENT>
            <ENT>25/60</ENT>
            <ENT>167</ENT>
          </ROW>
          <ROW RUL="n,s">
            <ENT I="01">CER Inventory Direct Submission Form for Projects</ENT>
            <ENT>Researchers/Research Assistants</ENT>
            <ENT>100</ENT>
            <ENT>1</ENT>
            <ENT>100</ENT>
            <ENT>28/60</ENT>
            <ENT>47</ENT>
          </ROW>
          <ROW>
            <ENT I="03">Total</ENT>
            <ENT/>
            <ENT/>
            <ENT/>
            <ENT/>
            <ENT/>
            <ENT>214</ENT>
          </ROW>
        </GPOTABLE>
        <SIG>
          <NAME>Seleda M. Perryman,</NAME>
          <TITLE>Office of the Secretary, Paperwork Reduction Act Reports Clearance Officer.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-310 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4150-05-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>Centers for Disease Control and Prevention</SUBAGY>
        <DEPDOC>[30 Day-11-0210]</DEPDOC>
        <SUBJECT>Agency Forms Undergoing Paperwork Reduction Act Review</SUBJECT>

        <P>The Centers for Disease Control and Prevention (CDC) publishes a list of information collection requests under review by the Office of Management and Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these requests, call the CDC Reports Clearance Officer at (404) 639-5960 or send an e-mail to<E T="03">omb@cdc.gov.</E>Send written comments to CDC Desk Officer, Office of Management and Budget, Washington, DC or by fax to (202) 395-5806. Written comments should be received within 30 days of this notice.</P>
        <HD SOURCE="HD1">Proposed Project</HD>
        <P>List of Ingredients Added to Tobacco in the Manufacture of Cigarette Products (OMB# 0920-0210 Exp. 04/30/2011)—Extension—Office on Smoking and Health, National Center for Chronic Disease Prevention and Health Promotion (NCCDPHP), Centers for Disease Control and Prevention, (CDC).</P>
        <HD SOURCE="HD1">Background and Brief Description</HD>
        <P>The Centers for Disease Control and Prevention (CDC), Office on Smoking and Health (OSH) has the primary responsibility for the Department of Health and Human Services (HHS) smoking and health program. HHS's overall goal is to reduce death and disability resulting from cigarette smoking and other forms of tobacco use through programs of information, education and research.</P>

        <P>Since 1986, as required by the Comprehensive Smoking Education Act of 1984 (CSEA, 15 U.S.C. 1336 or Pub. L. 98-474), CDC has collected information about the ingredients used in cigarette products. Respondents are commercial cigarette manufacturers, packagers, or importers (or their representatives), who are required by<PRTPAGE P="1618"/>the CSEA to submit ingredient reports to HHS on an annual basis.</P>
        <P>Respondents are not required to submit specific forms; however, they are required to submit a list of all ingredients used in their products. CDC requires the ingredient report to be submitted by chemical name and Chemical Abstract Service (CAS) Registration Number, consistent with accepted reporting practices for other companies currently required to report ingredients added to other consumer products. Typically, respondents submit a summary report to CDC with the ingredient information for multiple products, or a statement that there are no changes to their previously submitted ingredient report.</P>
        <P>Ingredient reports for new products are due at the time of first importation. Thereafter, ingredient reports are due annually on March 31. Information is submitted to OSH by mailing a written report on the respondent's letterhead, by CD, three-inch floppy disk, or thumb drive. Electronic mail submissions are not accepted.</P>
        <P>Upon receipt and verification of the annual ingredient report, OSH issues a Certificate of Compliance to the respondent. OSH also uses the information to report to the Congress (as deemed appropriate) discussing the health effects of these ingredients.</P>
        <P>In this Extension request, there are no changes to the estimated number of respondents, the estimated burden per response, or the information collection methods. There are no costs to respondents other than their time. The total estimated annualized burden hours are 930.</P>
        <GPOTABLE CDEF="s50,12C,12C,12C" COLS="4" OPTS="L2,i1">
          <TTITLE>Estimated Annualized Burden Hours</TTITLE>
          <BOXHD>
            <CHED H="1">Type of respondents</CHED>
            <CHED H="1">Number of<LI>respondents</LI>
            </CHED>
            <CHED H="1">Number of<LI>responses per</LI>
              <LI>respondent</LI>
            </CHED>
            <CHED H="1">Estimated<LI>burden hours</LI>
            </CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">Cigarette Manufacturers, Packagers, and Importers</ENT>
            <ENT>143</ENT>
            <ENT>1</ENT>
            <ENT>6.5</ENT>
          </ROW>
        </GPOTABLE>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Carol E. Walker,</NAME>
          <TITLE>Acting Reports Clearance Officer, Centers for Disease Control and Prevention.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-335 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4163-18-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>Centers for Disease Control and Prevention</SUBAGY>
        <DEPDOC>[60 Day-11-0672]</DEPDOC>
        <SUBJECT>Proposed Data Collections Submitted for Public Comment and Recommendations</SUBJECT>

        <P>In compliance with the requirement of Section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995 for opportunity for public comment on proposed data collection projects, the Centers for Disease Control and Prevention (CDC) will publish periodic summaries of proposed projects. To request more information on the proposed projects or to obtain a copy of the data collection plans and instruments, call 404-639-5960 or send comments to Carol E. Walker, CDC Acting Reports Clearance Officer, 1600 Clifton Road, MS D-74, Atlanta, GA 30333 or send an e-mail to<E T="03">omb@cdc.gov.</E>
        </P>
        <P>
          <E T="03">Comments are invited on:</E>(a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; 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. Written comments should be received within 60 days of this notice.</P>
        <HD SOURCE="HD1">Proposed Project</HD>
        <P>Indicators of the Performance of Local, State, Territorial, and Tribal Education Agencies in HIV Prevention, Coordinated School Health Program, and Asthma Management Activities for Adolescent and School Health Programs (OMB No. 0920-0672, exp. 6/30/2011)—Revision—Division of Adolescent and School Health, National Center for Chronic Disease Prevention and Health Promotion (NCCDPHP), Centers for Disease Control and Prevention (CDC).</P>
        <HD SOURCE="HD2">Background and Brief Description</HD>
        <P>The Division of Adolescent and School Health (DASH), CDC, supports HIV prevention activities, coordinated school health program (CSHP) activities, and asthma management activities conducted by local education agencies (LEA), state education agencies (SEA), territorial education agencies (TEA), and tribal governments (TG). DASH currently collects information about these activities under OMB control number 0920-0672 (exp. 6/30/2011). Because there is currently no other standardized annual reporting process for DASH-funded HIV prevention activities, CSHP activities, and asthma management activities, DASH seeks OMB approval to continue the information collection for three years (FY2010—FY2012 data). The previously approved questionnaires will be used to collect FY2010 data. Minor changes to the questionnaires will be implemented for the FY2011 and FY2012 data collections.</P>
        <P>Information collection consists of four Web-based questionnaires that correspond to specific funding sources within DASH. Two questionnaires pertain to HIV-prevention program activities among LEAs and SEAs/TEAs/TGs, the third questionnaire pertains to CSHP activities among SEAs, and the fourth questionnaire pertains to asthma management activities among LEAs. There are no changes to the estimated burden per response for any of the questionnaires.</P>
        <P>The two HIV questionnaires include questions about planning and improving projects; development and distribution of materials, professional development and individualized technical assistance on school policies; development and distribution of materials, professional development and individualized technical assistance on education curricula and instruction; collaboration with external partners; reducing disparities among populations of youth at disproportionate risk; and information about additional program activities.</P>

        <P>The CSHP/PANT questionnaire also asks the questions above, but focuses on physical activity, healthy eating, and tobacco-use prevention activities. It includes additional questions about joint activities of the State Education Agency and State Health Agency (SHA); activities of the CSHP state-wide coalition; and development and<PRTPAGE P="1619"/>distribution of materials, professional development and individualized technical assistance on health promotion programs and environmental approaches to Physical Activity, Nutrition and Tobacco (PANT).</P>
        <P>The asthma management questionnaire includes questions about planning and improving projects; joint activities of the Local Education Agency and Local Health Agency (LHA); policies; asthma-related education; health promotion and environmental approaches to asthma management; provision of health services; collaboration with external partners; reducing disparities among populations of youth at disproportionate risk; and information about additional program activities. The sections on policies, asthma-related education, health services and health promotion and environmental approaches to asthma management include questions that address the development and distribution of materials, professional development, and individualized technical assistance.</P>
        <P>Information gathered will: (1) Provide standardized information about how HIV prevention, CSHP, and asthma management funds are used by LEAs, SEAs, TEAs, and TGs; (2) assess the extent to which programmatic adjustments are indicated; (3) provide descriptive and process information about program activities; and (4) provide greater accountability for use of public funds.</P>
        <P>Participation in the information collection is required for programs that receive funding through DASH. Each Web-based questionnaire will be completed annually by the program coordinator for the activity. There are no costs to respondents other than their time.</P>
        <GPOTABLE CDEF="s50,r50,12,12,12,12" COLS="6" OPTS="L2,i1">
          <TTITLE>Estimated Annualized Burden Hours</TTITLE>
          <BOXHD>
            <CHED H="1">Type of respondents</CHED>
            <CHED H="1">Form name</CHED>
            <CHED H="1">Number of<LI>respondents</LI>
            </CHED>
            <CHED H="1">Number of<LI>responses per</LI>
              <LI>respondent</LI>
            </CHED>
            <CHED H="1">Avg. burden<LI>per response</LI>
              <LI>(in hrs)</LI>
            </CHED>
            <CHED H="1">Total burden<LI>(in hrs)</LI>
            </CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">Local Education Agency Officials</ENT>
            <ENT>Indicators for School Health Programs: HIV Prevention (LEA)</ENT>
            <ENT>16</ENT>
            <ENT>1</ENT>
            <ENT>7</ENT>
            <ENT>112</ENT>
          </ROW>
          <ROW>
            <ENT I="22"/>
            <ENT>Indicators for School Health Programs: Asthma Management (LEA)</ENT>
            <ENT>10</ENT>
            <ENT>1</ENT>
            <ENT>7</ENT>
            <ENT>70</ENT>
          </ROW>
          <ROW>
            <ENT I="01">State and Territorial Education Agency and Tribal Government Officials</ENT>
            <ENT>Indicators for School Health Programs: HIV Prevention (SEA)</ENT>
            <ENT>57</ENT>
            <ENT>1</ENT>
            <ENT>7</ENT>
            <ENT>399</ENT>
          </ROW>
          <ROW RUL="n,s">
            <ENT I="22"/>
            <ENT>Indicators for School Health Programs: Coordinated School Health Programs</ENT>
            <ENT>23</ENT>
            <ENT>1</ENT>
            <ENT>10</ENT>
            <ENT>230</ENT>
          </ROW>
          <ROW>
            <ENT I="03">Total</ENT>
            <ENT/>
            <ENT/>
            <ENT/>
            <ENT/>
            <ENT>811</ENT>
          </ROW>
        </GPOTABLE>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Carol E. Walker,</NAME>
          <TITLE>Acting Reports Clearance Officer, Centers for Disease Control and Prevention.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-328 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4163-18-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>Administration for Children and Families</SUBAGY>
        <DEPDOC>[OMB No. 0970-0159]</DEPDOC>
        <SUBJECT>Proposed Information Collection Activity; Comment Request</SUBJECT>
        <HD SOURCE="HD1">Proposed Projects</HD>
        <P>
          <E T="03">Title:</E>Statewide Automated Child Welfare Information System (SACWIS) Assessment Review Guide.</P>
        <P>
          <E T="03">Description:</E>The Department of Health and Human Services is authorized under section 474 of the Social Security Act to provide funding to state title IV-E agencies for information systems that support the provision of services to the nation's foster care and adoption populations. The Act authorizes funding for the planning, design, development, or installation of statewide automated child welfare systems (SACWIS). The data from these systems allows the Department to report accurate, meaningful and reliable information to Congress about the extent of problems facing these children and the effectiveness of assistance provided to this population.</P>
        <P>Currently, SACWIS enable State efforts to meet the following Federal reporting requirements: The Adoption and Foster Care Analysis and Reporting System (AFCARS) required by section 479(b)(2) of the Social Security Act; the National Child Abuse and Neglect Data System (NCANDS); Child Abuse Prevention and Treatment Act (CAPTA); and the Chafee Independent Living Program National Youth in Transition Database (NYTD). SACWIS systems also support States' efforts to provide the information to conduct the Child and Family Service Reviews. Currently, 40 States and the District of Columbia have developed, or are developing, a SACWIS with Federal financial participation.</P>
        <P>The SACWIS Assessment Reviews validate that all aspects of the project, as described in the approved Advance Planning Document, have been adequately completed, and conform to applicable regulations and policies. States use the SACWIS Assessment Review Guide (SARG) to document system components and functioning; each State's submission is unique and State-specific. These reviews are usually initiated by the State; however, ACF reserves the right to initiate SACWIS Assessment Reviews, at any time in the system life cycle. Submission of the SACWIS SARG and other supporting documentation by States, completed at the point that they have completed system development and the system is operational statewide, initiates a SACWIS Assessment Review. The additional supporting documentation submitted as part of the review process should be readily available to States as a result of their routine good project management practices. The SARG and supporting documentation may be submitted electronically.</P>

        <P>The information collected in the SACWIS Assessment Review Guide will allow State and Federal officials to determine if the State's SACWIS meets the requirements of title IV-E Federal Financial Participation (FFP) defined at 45 CFR 1355.50. Additionally, other States will be able to use the documentation provided as part of this<PRTPAGE P="1620"/>review process to inform their own system development efforts.</P>
        <P>No small businesses will be involved in this data collection effort.</P>
        <P>
          <E T="03">Respondents:</E>Title IV-E Agencies.</P>
        <GPOTABLE CDEF="s50,12C,12C,12C,12C" COLS="5" OPTS="L2,i1">
          <TTITLE>Annual Burden Estimates</TTITLE>
          <BOXHD>
            <CHED H="1">Instrument</CHED>
            <CHED H="1">Number of<LI>respondents</LI>
            </CHED>
            <CHED H="1">Number of<LI>responses per respondent</LI>
            </CHED>
            <CHED H="1">Average<LI>burden hours</LI>
              <LI>per response</LI>
            </CHED>
            <CHED H="1">Total burden hours</CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">SACWIS Assessment Review Guide (SARG)</ENT>
            <ENT>3</ENT>
            <ENT>1</ENT>
            <ENT>250</ENT>
            <ENT>750</ENT>
          </ROW>
        </GPOTABLE>
        <P>
          <E T="03">Estimated Total Annual Burden Hours:</E>750.</P>

        <P>In compliance with the requirements of Section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, the Administration for Children and Families is soliciting public comment on the specific aspects of the information collection described above. Copies of the proposed collection of information can be obtained and comments may be forwarded by writing to the Administration for Children and Families, Office of Administration, Office of Information Services, 370 L'Enfant Promenade, SW., Washington, DC 20447,<E T="03">Attn:</E>ACF Reports Clearance Officer.<E T="03">E-mail address: infocollection@acf.hhs.gov.</E>All requests should be identified by the title of the information collection.</P>
        <P>The Department specifically requests comments on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the proposed collection of information; (c) 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. Consideration will be given to comments and suggestions submitted within 60 days of this publication.</P>
        <SIG>
          <NAME>Robert Sargis,</NAME>
          <TITLE>Reports Clearance Officer.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-332 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4184-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>Food and Drug Administration</SUBAGY>
        <DEPDOC>[Docket No. FDA-2010-N-0637]</DEPDOC>
        <SUBJECT>Trials to Verify and Describe Clinical Benefit of Midodrine Hydrochloride; Establishment of Public Docket</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Food and Drug Administration, HHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Food and Drug Administration (FDA) is announcing the opening of a public docket to provide a forum to facilitate communication regarding the conduct of clinical trials needed to verify and describe the clinical benefit of midodrine hydrochloride (HCl) when used to treat symptomatic orthostatic hypotension.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Submit either electronic or written comments by July 11, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Submit electronic comments to<E T="03">http://www.regulations.gov</E>. Submit written comments to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. All comments should be identified with the docket number found in brackets in the heading of this document.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Wei Lu, Center for Drug Evaluation and Research, Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 51, rm. 6196,  Silver Spring, MD 20993-0002,<E T="03">e-mail: Wei.Lu@fda.hhs.gov</E>.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>FDA approved PROAMATINE (midodrine HCl) for marketing under its accelerated approval regulations, 21 CFR part 314, subpart H, on September 6, 1996, to treat patients with symptomatic orthostatic hypotension. Since that time, FDA has approved five generic versions of this product. Orthostatic hypotension is a condition in which patients are unable to maintain blood pressure in the upright position and become dizzy or faint upon standing. Subpart H allows approval of drugs to treat serious or life-threatening illnesses based on adequate and well-controlled clinical trials establishing that the drug has an effect on a surrogate endpoint that is reasonably likely to predict clinical benefit or based on a clinical endpoint other than survival or irreversible morbidity. Approval of PROAMATINE was based on trials demonstrating that PROAMATINE increased 1-minute standing systolic blood pressure, a surrogate marker considered likely to correspond to a clinical benefit, principally relief of symptoms of orthostatic hypotension and improved ability to perform life activities.</P>
        <P>The subpart H regulations specify that approvals based upon surrogate endpoints are “subject to the requirement that the applicant study the drug further to verify and describe its clinical benefit” in postmarketing studies. The postmarketing study requirement for midodrine HCl was described in the new drug application (NDA) submission seeking its approval and referenced in the Agency's 1996 approval letter. In the time since PROAMATINE was approved, the NDA holder has sponsored clinical trials and information regarding the drug's efficacy has been published, but data submitted to the Agency have not verified the drug's clinical benefit to FDA's satisfaction. Accordingly, on August 16, 2010, FDA issued a notice of opportunity for a hearing (NOOH) on a proposal to withdraw approval of the NDA for midodrine HCl.</P>

        <P>Although the NOOH process is proceeding on a separate track, FDA recognizes that existing and potential sponsors may wish to conduct the clinical trials needed to support continued marketing authorization of midodrine HCl. To assist sponsors in planning and designing such trials, we are placing in the docket a brief description of a recommended clinical trial design. We are also inviting interested parties to submit information to the docket such as any existing controlled studies that verify the clinical benefit of midodrine HCl when used to treat orthostatic hypotension. Physicians who treat orthostatic hypotension and patient organizations that would like to work with any<PRTPAGE P="1621"/>sponsors of new clinical trials are invited to submit correspondence to the docket identifying themselves. We anticipate that any sponsor planning to conduct new clinical studies may contact interested physicians and organizations to solicit information and suitable volunteer test subjects.</P>

        <P>The public docket is available for public review in the Division of Dockets Management (<E T="03">see</E>
          <E T="02">ADDRESSES</E>) between 9 a.m. and 4 p.m., Monday through Friday.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>David Dorsey,</NAME>
          <TITLE>Acting Deputy Commissioner for Policy, Planning and Budget.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-355 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4160-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>Proposed Collection; Comment Request; NIH Toolbox for Assessment of Neurological and Behavioral Function</SUBJECT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>In compliance with the requirement of Section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995, for opportunity for public comment on proposed data collection projects, the National Institute on Aging (NIA), the National Institutes of Health (NIH) will publish periodic summaries of proposed projects to be submitted to the Office of Management and Budget (OMB) for review and approval.</P>
          <P>
            <E T="03">Proposed Collection: Title:</E>NIH Toolbox for Assessment of Neurological and Behavioral Function.<E T="03">Type of Information Collection Request:</E>New.<E T="03">Need and Use of Information Collection:</E>The overall goal of the NIH Toolbox project is to develop unified, integrated methods and measures of four domains of neurological and behavioral functioning (cognitive, emotional, motor and sensory) for use in large longitudinal or epidemiological studies where functioning is monitored over time. The current phase (“Norming”), will involve a large sample of 12,900 for the purpose of establishing comparative norms. Existing recruitment databases will be randomly sampled and screened for household members' age, gender, race/ethnicity, education and primary language. The targeted population will be non-institutionalized U.S. residents, aged 3-85, with 70% English-speaking and 30% Spanish-speaking.<E T="03">Frequency of Response:</E>Once or twice (depending on subsample).<E T="03">Affected Public:</E>Individuals.<E T="03">Type of Respondents:</E>U.S. residents (persons aged 3-85 years). The annual reporting burden is as follows:<E T="03">Estimated Number of Respondents:</E>12,900;<E T="03">Estimated Number of Responses per Respondent:</E>1-2;<E T="03">Average Burden Hours per Response:</E>1.96; and<E T="03">Estimated Total Annual Burden Hours Requested:</E>29,700. The annualized cost to respondents is estimated at: $414,375. There are no Capital Costs, Operating Costs, and/or Maintenance Costs to report.</P>
        </SUM>
        <GPOTABLE CDEF="s50,12,12,12,12" COLS="5" OPTS="L2,tp0,i1">
          <TTITLE/>
          <BOXHD>
            <CHED H="1">Type of respondents</CHED>
            <CHED H="1">Estimated number of<LI>respondents</LI>
            </CHED>
            <CHED H="1">Estimated number of<LI>responses per respondent</LI>
            </CHED>
            <CHED H="1">Average<LI>burden hours per response</LI>
            </CHED>
            <CHED H="1">Estimated total annual burden hours<LI>requested</LI>
            </CHED>
          </BOXHD>
          <ROW EXPSTB="04" RUL="s">
            <ENT I="21">
              <E T="02">Adults</E>*</ENT>
          </ROW>
          <ROW EXPSTB="00">
            <ENT I="01">Adult study participants, single assessment</ENT>
            <ENT>3,150</ENT>
            <ENT>1</ENT>
            <ENT>3</ENT>
            <ENT>9,450</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Adult study participants, two assessments</ENT>
            <ENT>750</ENT>
            <ENT>2</ENT>
            <ENT>3</ENT>
            <ENT>4,500</ENT>
          </ROW>
          <ROW>
            <ENT I="01">Parent proxies for child participants, single assessment</ENT>
            <ENT>3,750</ENT>
            <ENT>1</ENT>
            <ENT>0.5</ENT>
            <ENT>1,875</ENT>
          </ROW>
          <ROW RUL="s">
            <ENT I="01">Parent proxies for child participants, two assessments</ENT>
            <ENT>750</ENT>
            <ENT>2</ENT>
            <ENT>0.5</ENT>
            <ENT>750</ENT>
          </ROW>
          <ROW EXPSTB="04" RUL="s">
            <ENT I="21">
              <E T="02">Children</E>
            </ENT>
          </ROW>
          <ROW EXPSTB="00">
            <ENT I="01">Single assessment</ENT>
            <ENT>3,750</ENT>
            <ENT>1</ENT>
            <ENT>2.5</ENT>
            <ENT>9,375</ENT>
          </ROW>
          <ROW RUL="n,s">
            <ENT I="01">Two assessments</ENT>
            <ENT>750</ENT>
            <ENT>2</ENT>
            <ENT>2.5</ENT>
            <ENT>3,750</ENT>
          </ROW>
          <ROW>
            <ENT I="03">Totals</ENT>
            <ENT>* 12,900</ENT>
            <ENT/>
            <ENT/>
            <ENT>29,700</ENT>
          </ROW>
          <TNOTE>* Some adults may participate both as a study participant and as a parent proxy if their child is also a study participant.</TNOTE>
        </GPOTABLE>
        <P>
          <E T="03">Request for Comments:</E>Written comments and/or suggestions from the public and affected agencies are invited on one or more of the following points: (1) Whether the proposed collection of information is necessary for the proper performance of the function of the agency, including whether the information will have practical utility; (2) The accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) Ways to enhance the quality, utility, and clarity of the information to be collected; and (4) Ways to minimize the burden of the collection of information on those who are to respond, including the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.</P>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>To request more information on the proposed project or to obtain a copy of the data collection plans and instruments, contact Eddie Billingslea, PhD, Division of Neuroscience, National Institute on Aging, NIH, DHHS, 7201 Wisconsin Avenue, Suite 350, Bethesda, Maryland 20892-9205 or call non-toll-free number 301-496-9350 or e-mail your request, including your address to:<E T="03">billingsleae@nia.nih.gov.</E>
          </P>
          <P>
            <E T="03">Comments Due Date:</E>Comments regarding this information collection are best assured of having their full effect if received within 60 days of the date of this publication.</P>
          <SIG>
            <DATED>Dated: January 4, 2011.</DATED>
            <NAME>Melissa Fraczkowski,</NAME>
            <TITLE>National Institute on Aging, Project Clearance Liaison, National Institutes of Health.</TITLE>
          </SIG>
        </FURINF>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-379 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1622"/>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>Submission for OMB Review; Comment Request; Online Skills Training for PCPs on Substance Abuse</SUBJECT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>Under the provisions of Section 3507(a)(1)(D) of the Paperwork Reduction Act of 1995, the National Institute on Drug Abuse, the National Institutes of Health has submitted to the Office of Management and Budget (OMB) a request to review and approve the information collection listed below. This proposed information collection was previously published in the<E T="04">Federal Register</E>in Vol. 75 No. 144, pages 44265-44266, on July 28, 2010 and allowed 60 days for public comment. One public comment was received on the instruments outlined in the 60-day notice. A response to this request was sent to the interested party. The purpose of this notice is to allow an additional 30 days for public comment.</P>
          <P>5 CFR 1320.5 (General requirements) Reporting and Recordkeeping Requirements: Final Rule requires that the agency inform the potential persons who are to respond to the collection of information that such persons are not required to respond to the collection of information unless it displays a currently valid OMB control number.</P>
          <P>
            <E T="03">Proposed Collection:</E>
          </P>
          <P>
            <E T="03">Title:</E>Online Skills Training for PCPs on Substance Abuse.</P>
          <P>
            <E T="03">Type of Information Collection Request:</E>New.</P>
          <P>
            <E T="03">Need and Use of Information Collection:</E>This research will evaluate the effectiveness of the Online Skills Training for PCPs on Substance Abuse, via the Web site SBIRTTraining.com, to positively impact the knowledge, attitudes, intended behaviors and clinical skills of primary care physicians in the U.S. who treat substance abuse patients. The Online Skills Training for PCPs on Substance Abuse is a new program developed with funding from the National Institute on Drug Abuse. The primary goal is to assess the impact of the training program on knowledge, attitude, intended behavior, and clinical skills. A secondary goal is to assess learner satisfaction with the program. If the program is a success, there will be a new, proven resource available to primary care physicians to improve their ability to assess and treat substance use disorders. In order to evaluate the effectiveness of the program, information will be collected from primary care physicians before exposure to the Web based materials (pre-test), after exposure to the Web based materials (post-test), and 4-6 weeks after the program has been completed (follow-up).</P>
          <P>
            <E T="03">Frequency of Response:</E>On occasion.</P>
          <P>
            <E T="03">Affected Public:</E>Primary care physicians who treat patients who have substance abuse.</P>
          <P>
            <E T="03">Type of Respondents:</E>Physicians.</P>
          <P>The annual reporting burden is as follows:</P>
          <P>
            <E T="03">Estimated Number of Respondents:</E>80.</P>
          <P>
            <E T="03">Estimated Number of Responses per Respondent:</E>3.</P>
          <P>
            <E T="03">Average Burden Hours per Response:</E>0.75.</P>
          <P>
            <E T="03">Estimated Total Annual Burden Hours Requested:</E>180.</P>
          <P>
            <E T="03">The annualized cost to respondents is estimated at:</E>$13,500. There are no Capital Costs, Operating Costs, and/or Maintenance Costs to report.</P>
        </SUM>
        <GPOTABLE CDEF="s50,12C,12C,12C,12C" COLS="5" OPTS="L2,tp0,i1">
          <TTITLE/>
          <BOXHD>
            <CHED H="1">Type of respondents</CHED>
            <CHED H="1">Estimated number of<LI>respondents</LI>
            </CHED>
            <CHED H="1">Estimated number of<LI>responses per respondent</LI>
            </CHED>
            <CHED H="1">Average<LI>burden hours per response</LI>
            </CHED>
            <CHED H="1">Estimated<LI>annual burden hours</LI>
              <LI>requested</LI>
            </CHED>
          </BOXHD>
          <ROW>
            <ENT I="01">Primary care physicians</ENT>
            <ENT>80</ENT>
            <ENT>3</ENT>
            <ENT>0.75</ENT>
            <ENT>180</ENT>
          </ROW>
        </GPOTABLE>
        <P>
          <E T="03">Request for Comments:</E>Written comments and/or suggestions from the public and affected agencies are invited on one or more of the following points: (1) Whether the proposed collection of information is necessary for the proper performance of the function of the agency, including whether the information will have practical utility; (2) The accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) Ways to enhance the quality, utility, and clarity of the information to be collected; and (4) Ways to minimize the burden of the collection of information on those who are to respond, including the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.</P>
        <P>
          <E T="03">Direct Comments to OMB:</E>Written comments and/or suggestions regarding the item(s) contained in this notice, especially regarding the estimated public burden and associated response time, should be directed to the: Office of Management and Budget, Office of Regulatory Affairs, OIRA<E T="03">submission@omb.eop.gov</E>or by fax to 202-395-6974, Attention: Desk Officer for NIH. To request more information on the proposed project or to obtain a copy of the data collection plans and instruments, contact: Quandra Scudder, Project Officer, NIH/NIDA/CCTN, Room 3105, MSC 9557, 6001 Executive Boulevard, Bethesda, MD 20892-9557 or e-mail your request, including your address to<E T="03">scudderq@nida.nih.gov.</E>
        </P>
        <P>
          <E T="03">Comments Due Date:</E>Comments regarding this information collection are best assured of having their full effect if received within 30 days of the date of this publication.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Mary Affeldt,</NAME>
          <TITLE>Executive Officer, (OM Director) NIDA.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-381 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>Center for Scientific Review; Notice of Closed Meetings</SUBJECT>
        <P>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.</P>
        
        <EXTRACT>
          <P>
            <E T="03">Name of Committee:</E>Center for Scientific Review Special Emphasis Panel; Member Conflict: Cell Biology.</P>
          <P>
            <E T="03">Date:</E>January 25, 2011.</P>
          <P>
            <E T="03">Time:</E>3 p.m. to 5 p.m.<PRTPAGE P="1623"/>
          </P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892, (Telephone Conference Call).</P>
          <P>
            <E T="03">Contact Person:</E>Jonathan Arias, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5170, MSC 7840, Bethesda, MD 20892, 301-435-2406,<E T="03">ariasj@csr.nih.gov.</E>
          </P>
          
          <P>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.</P>
          
          <P>
            <E T="03">Name of Committee:</E>Center for Scientific Review Special Emphasis Panel; Osteogenesis and Chondrogenesis Review.</P>
          <P>
            <E T="03">Date:</E>January 31, 2011.</P>
          <P>
            <E T="03">Time:</E>1:30 p.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892, (Telephone Conference Call).</P>
          <P>
            <E T="03">Contact Person:</E>Rajiv Kumar, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4122, MSC 7802, Bethesda, MD 20892, 301-435-1212,<E T="03">kumarra@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Biological Chemistry and Macromolecular Biophysics Integrated Review Group; Macromolecular Structure and Function B Study Section.</P>
          <P>
            <E T="03">Date:</E>February 3-4, 2011.</P>
          <P>
            <E T="03">Time:</E>8:30 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Residence Inn by Marriott, 800 Fairview Avenue North, Seattle, WA 98109.</P>
          <P>
            <E T="03">Contact Person:</E>Arnold Revzin, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4146, MSC 7824, Bethesda, MD 20892, (301) 435-1153,<E T="03">revzina@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Healthcare Delivery and Methodologies Integrated Review Group; Health Disparities and Equity Promotion Study Section.</P>
          <P>
            <E T="03">Date:</E>February 8-9, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Renaissance M Street Hotel, 1143 New Hampshire Avenue, NW., Washington, DC 20037.</P>
          <P>
            <E T="03">Contact Person:</E>Delia Olufokunbi Sam, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3158, MSC 7770, Bethesda, MD 20892, 301-435-0684,<E T="03">olufokunbisamd@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Risk, Prevention and Health Behavior Integrated Review Group; Social Psychology, Personality and Interpersonal Processes Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Renaissance Mayflower Hotel, 1127 Connecticut Avenue, NW., Washington, DC 20036.</P>
          <P>
            <E T="03">Contact Person:</E>Michael Micklin, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3136, MSC 7759, Bethesda, MD 20892, (301) 435-1258,<E T="03">micklinm@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Endocrinology, Metabolism, Nutrition and Reproductive Sciences Integrated Review Group Cellular, Molecular and Integrative Reproduction Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.</P>
          <P>
            <E T="03">Contact Person:</E>Gary Hunnicutt, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6164, MSC 7892, Bethesda, MD 20892, 301-435-0229,<E T="03">gary.hunnicutt@nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Biobehavioral and Behavioral Processes Integrated Review Group; Biobehavioral Mechanisms of Emotion, Stress and Health Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Sir Francis Drake Hotel, 450 Powell Street, San Francisco, CA 94102.</P>
          <P>
            <E T="03">Contact Person:</E>Maribeth Champoux, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3170, MSC 7848, Bethesda, MD 20892, (301) 594-3163,<E T="03">champoum@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Biobehavioral and Behavioral Processes Integrated Review Group; Child Psychopathology and Developmental Disabilities Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5:30 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Sir Francis Drake Hotel, 450 Powell Street, San Francisco, CA 94102.</P>
          <P>
            <E T="03">Contact Person:</E>Jane A Doussard-Roosevelt, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3184, MSC 7848, Bethesda, MD 20892, (301) 435-4445,<E T="03">doussarj@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Genes, Genomes, and Genetics Integrated Review Group; Therapeutic Approaches to Genetic Diseases.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892, (Virtual Meeting).</P>
          <P>
            <E T="03">Contact Person:</E>Michael K Schmidt, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 2214, MSC 7890, Bethesda, MD 20892, (301) 435-1147,<E T="03">mschmidt@mail.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Infectious Diseases and Microbiology Integrated Review Group; Drug Discovery and Mechanisms of Antimicrobial Resistance Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hotel Monaco, 501 Geary Street, San Francisco, CA 94102.</P>
          <P>
            <E T="03">Contact Person:</E>Guangyong Ji, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3188, MSC 7808, Bethesda, MD 20892, 301-435-1146,<E T="03">jig@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Cell Biology Integrated Review Group; Intercellular Interactions Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Mandarin Oriental, 1330 Maryland Avenue, SW., Washington, DC 20024.</P>
          <P>
            <E T="03">Contact Person:</E>Noni Byrnes, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5130, MSC 7840, Bethesda, MD 20892, (301) 435-1023,<E T="03">byrnesn@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Infectious Diseases and Microbiology Integrated Review Group; Virology—A Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hilton Alexandria Old Town, 1767 King Street, Alexandria, VA 22314.</P>
          <P>
            <E T="03">Contact Person:</E>Joanna M Pyper, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3198, MSC 7808, Bethesda, MD 20892, (301) 435-1151,<E T="03">pyperj@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Biological Chemistry and Macromolecular Biophysics Integrated Review Group; Macromolecular Structure and Function C Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hotel Helix, 1430 Rhode Island Avenue, NW., Washington, DC 20005.</P>
          <P>
            <E T="03">Contact Person:</E>William A. Greenberg, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4168, MSC 7806, Bethesda, MD 20892, (301) 435-1726,<E T="03">greenbergwa@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Cardiovascular and Respiratory Sciences Integrated Review Group; Cardiovascular Differentiation and Development Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 7 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Ritz Carlton Hotel, 1150 22nd Street, NW., Washington, DC 20037.</P>
          <P>
            <E T="03">Contact Person:</E>Maqsood A Wani, PhD, DVM, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4136, MSC 7814, Bethesda, MD 20892, 301-435-2270,<E T="03">wanimaqs@csr.nih.gov.</E>
          </P>
          
          <PRTPAGE P="1624"/>
          <P>
            <E T="03">Name of Committee:</E>Center for Scientific Review Special Emphasis Panel: Nursing and Related Clinical Sciences Overflow.</P>
          <P>
            <E T="03">Date:</E>February 10, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Renaissance M Street Hotel, 1143 New Hampshire Avenue, NW., Washington, DC 20037.</P>
          <P>
            <E T="03">Contact Person:</E>Priscah Mujuru, DRPH, RN, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3139, MSC 7770, Bethesda, MD 20892, 301-594-6594,<E T="03">mujurup@mail.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Genes, Genomes, and Genetics Integrated Review Group; Prokaryotic Cell and Molecular Biology Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hilton San Francisco Fisherman's Wharf, 2620 Jones Street, San Francisco, CA 94133.</P>
          <P>
            <E T="03">Contact Person:</E>Diane L Stassi, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3202, MSC 7808, Bethesda, MD 20892, 301-435-2514,<E T="03">stassid@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Oncology 1—Basic Translational Integrated Review Group; Cancer Molecular Pathobiology Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Sheraton Delfina Santa Monica Hotel, 530 West Pico Boulevard, Santa Monica, CA 90405.</P>
          <P>
            <E T="03">Contact Person:</E>Manzoor Zarger, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6208, MSC 7804, Bethesda, MD 20892, (301) 435-2477,<E T="03">zargerma@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Oncology 2—Translational Clinical Integrated Review Group; Chemo/Dietary Prevention Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Crowne Plaza Hotel Washington DC—Silver Spring, 8777 Georgia Avenue, Silver Spring, MD 20910.</P>
          <P>
            <E T="03">Contact Person:</E>Sally A Mulhern, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6198, MSC 7804, Bethesda, MD 20892, (301) 408-9724,<E T="03">mulherns@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Brain Disorders and Clinical Neuroscience Integrated Review Group: Clinical Neuroimmunology and Brain Tumors Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>The Westin St. Francis, 335 Powell Street, San Francisco, CA 94102.</P>
          <P>
            <E T="03">Contact Person:</E>Jay Joshi, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5196, MSC 7846, Bethesda, MD 20892, (301) 408-9135,<E T="03">joshij@csr.nih.gov.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>Brain Disorders and Clinical Neuroscience Integrated Review Group; Clinical Neuroplasticity and Neurotransmitters Study Section.</P>
          <P>
            <E T="03">Date:</E>February 10-11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>The Westin St. Francis, 335 Powell Street, San Francisco, CA 94102.</P>
          <P>
            <E T="03">Contact Person:</E>Suzan Nadi, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5217B, MSC 7846, Bethesda, MD 20892, 301-435-1259,<E T="03">nadis@csr.nih.gov.</E>
          </P>
          
          <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393-93.396, 93.837-93.844, 93.846-93.878, 93.892, 93.893, National Institutes of Health, HHS)</FP>
        </EXTRACT>
        
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Jennifer S. Spaeth,</NAME>
          <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-385 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>National Institute of Diabetes and Digestive and Kidney Diseases; Notice of Closed Meetings</SUBJECT>
        <P>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.</P>
        <P>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.</P>
        
        <EXTRACT>
          <P>
            <E T="03">Name of Committee:</E>National Institute of Diabetes and Digestive and Kidney Diseases Special Emphasis Panel; R13 Conference Application.</P>
          <P>
            <E T="03">Date:</E>January 26, 2011.</P>
          <P>
            <E T="03">Time:</E>2 p.m. to 4 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>National Institutes of Health, Two Democracy Plaza, 6707 Democracy Boulevard, Bethesda, MD 20892, (Telephone Conference Call).</P>
          <P>
            <E T="03">Contact Person:</E>D.G. Patel, PhD, Scientific Review Officer, Review Branch, DEA, NIDDK, National Institutes of Health, Room 756, 6707 Democracy Boulevard, Bethesda, MD 20892-5452, (301) 594-7682,<E T="03">pateldg@niddk.nih.gov</E>.</P>
          <P>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.</P>
          
          <P>
            <E T="03">Name of Committee:</E>National Institute of Diabetes and Digestive and Kidney Diseases Special Emphasis Panel; KUH Fellowship Review.</P>
          <P>
            <E T="03">Date:</E>January 31, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hilton Washington/Rockville, 1750 Rockville Pike, Rockville, MD 20852.</P>
          <P>
            <E T="03">Contact Person:</E>Xiaodu Guo, MD, PhD, Scientific Review Officer, Review Branch, DEA, NIDDK, National Institutes of Health, Room 761, 6707 Democracy Boulevard, Bethesda, MD 20892-5452, (301) 594-4719,<E T="03">guox@extra.niddk.nih.gov</E>.</P>
          <P>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.</P>
          
          <P>
            <E T="03">Name of Committee:</E>National Institute of Diabetes and Digestive and Kidney Diseases Special Emphasis Panel; NIDDK DEM Fellowships.</P>
          <P>
            <E T="03">Date:</E>February 16-17, 2011.</P>
          <P>
            <E T="03">Time:</E>5 p.m. to 5 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hilton Crystal City, 2399 Jefferson Davis Hwy, Arlington, VA 22202.</P>
          <P>
            <E T="03">Contact Person:</E>Michael W. Edwards, PhD, Scientific Review Officer, Review Branch, DEA, NIDDK, National Institutes of Health, Room 750, 6707 Democracy Boulevard, Bethesda, MD 20892-5452, (301) 594-8886,<E T="03">edwardsm@extra.niddk.nih.gov</E>.</P>
          
          <P>
            <E T="03">Name of Committee:</E>National Institute of Diabetes and Digestive and Kidney Diseases Special Emphasis Panel; Mouse Metabolic Phenotyping Centers Consortium (U24).</P>
          <P>
            <E T="03">Date:</E>February 28-March 1, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hyatt Regency Bethesda, One Bethesda Metro Center (7400 Wisconsin Ave), Bethesda, MD 20814.</P>
          <P>
            <E T="03">Contact Person:</E>Najma Begum, PhD, Scientific Review Officer, Review Branch, DEA, NIDDK, National Institutes of Health, Room 749, 6707 Democracy Boulevard, Bethesda, MD 20892-5452, (301) 594-8894,<E T="03">begumn@niddk.nih.gov</E>.</P>
          
          <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.847, Diabetes, Endocrinology and Metabolic Research; 93.848, Digestive Diseases and Nutrition Research; 93.849, Kidney Diseases, Urology and Hematology Research, National Institutes of Health, HHS)</FP>
        </EXTRACT>
        <SIG>
          <PRTPAGE P="1625"/>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Jennifer S. Spaeth,</NAME>
          <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-387 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>National Institute of Mental Health; Amended Notice of Meeting</SUBJECT>

        <P>Notice is hereby given of a change in the telephone Access Code for the meeting of the Interagency Autism Coordinating Committee (IACC) Subcommittee on Safety on January 12, 2011, 11 a.m. to 1 p.m. This meeting is a conference call only. The notice was published in the<E T="04">Federal Register</E>on December 29, 2010, 75 FR 82034.</P>
        <P>The Conference Call Access Code was missing one number and should be: Dial 888-456-0356, Access Code: 1427016. The Conference Call meeting is open to the public. The meeting will be held at the same time.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Jennifer S. Spaeth,</NAME>
          <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-384 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>National Institute on Aging; Notice of Closed Meetings</SUBJECT>
        <P>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.</P>
        <P>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.</P>
        
        <EXTRACT>
          <P>
            <E T="03">Name of Committee:</E>National Institute on Aging Special Emphasis Panel; Drug Development for Alzheimer's Disease 2011/05.</P>
          <P>
            <E T="03">Date:</E>February 3, 2011.</P>
          <P>
            <E T="03">Time:</E>11 a.m. to 3 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>National Institute on Aging, Gateway Building, 7201 Wisconsin Avenue, Suite 2C212, Bethesda, MD 20892, (Telephone Conference Call).</P>
          <P>
            <E T="03">Contact Person:</E>Alexander Parsadanian, PhD, Scientific Review Officer, National Institute on Aging, Gateway Building 2C/212, 7201 Wisconsin Avenue, Bethesda, MD 20892, 301-496-9666,<E T="03">PARSADANIANA@NIA.NIH.GOV.</E>
          </P>
          
          <P>
            <E T="03">Name of Committee:</E>National Institute on Aging Special Emphasis Panel; GEMSSTAR.</P>
          <P>
            <E T="03">Date:</E>February 11, 2011.</P>
          <P>
            <E T="03">Time:</E>8 a.m. to 8 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Embassy Suites at the Chevy Chase Pavilion, 4300 Military Road, NW., Washington, DC 20015.</P>
          <P>
            <E T="03">Contact Person:</E>Rebecca J. Ferrell, PhD, Scientific Review Officer, National Institute on Aging, Gateway Building RM. 2C212, 7201 Wisconsin Avenue, Bethesda, MD 20892, 301-402-7703,<E T="03">ferrellrj@mail.nih.gov.</E>
          </P>
          
          <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.866, Aging Research, National Institutes of Health, HHS)</FP>
        </EXTRACT>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Jennifer S. Spaeth,</NAME>
          <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-383 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
        <SUBAGY>National Institutes of Health</SUBAGY>
        <SUBJECT>National Cancer Institute; Notice of Closed Meeting</SUBJECT>
        <P>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.</P>
        <P>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.</P>
        
        <EXTRACT>
          <P>
            <E T="03">Name of Committee:</E>National Cancer Institute Initial Review Group; Subcommittee I—Career Development, Career Development.</P>
          <P>
            <E T="03">Date:</E>February 22-23, 2011.</P>
          <P>
            <E T="03">Time:</E>February 22, 2011, 8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate to review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hilton Alexandria Old Town, 1767 King Street, Alexandria, VA 22314.</P>
          <P>
            <E T="03">Time:</E>February 23, 2011, 8 a.m. to 6 p.m.</P>
          <P>
            <E T="03">Agenda:</E>To review and evaluate to review and evaluate grant applications.</P>
          <P>
            <E T="03">Place:</E>Hilton Alexandria Old Town, 1767 King Street, Alexandria, VA 22314.</P>
          <P>
            <E T="03">Contact Person:</E>Sergei Radaev, PhD, Scientific Review Officer, Resources And Training Review Branch, Division Of Extramural Activities, National Cancer Institute, NIH, 6116 Executive Blvd., RM 8113, Bethesda, MD 20892, 301-435-5655,<E T="03">SRADAEV@MAIL.NIH.GOV.</E>
          </P>
          
          <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.392, Cancer Construction; 93.393, Cancer Cause and Prevention Research; 93.394, Cancer Detection and Diagnosis Research; 93.395, Cancer Treatment Research; 93.396, Cancer Biology Research; 93.397, Cancer Centers Support; 93.398, Cancer Research Manpower; 93.399, Cancer Control, National Institutes of Health, HHS)</FP>
        </EXTRACT>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Jennifer S. Spaeth,</NAME>
          <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-382 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4140-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Federal Emergency Management Agency</SUBAGY>
        <DEPDOC>[Internal Agency Docket No. FEMA-1936-DR; Docket ID FEMA-2011-0001]</DEPDOC>
        <SUBJECT>New Mexico; Amendment No. 1 to Notice of a Major Disaster Declaration</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Emergency Management Agency, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice amends the notice of a major disaster declaration for the State of New Mexico (FEMA-1936-DR), dated September 13, 2010, and related determinations.</P>
        </SUM>
        <EFFDATE>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>January 4, 2011.</P>
        </EFFDATE>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Peggy Miller, Office of Response and Recovery, Federal Emergency Management Agency, 500 C Street, SW., Washington, DC 20472, (202) 646-3886.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The notice of a major disaster declaration for the State of New Mexico is hereby amended to include the following areas among those areas determined to have been adversely affected by the event declared a major disaster by the President in his declaration of September 13, 2010.</P>
        
        <EXTRACT>
          <P>The Navajo Nation and the Pueblo of Acoma for Public Assistance.</P>
          

          <FP>The following Catalog of Federal Domestic Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 97.030, Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;<PRTPAGE P="1626"/>97.033, Disaster Legal Services; 97.034, Disaster Unemployment Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048, Disaster Housing Assistance to Individuals and Households In Presidentially Declared Disaster Areas; 97.049, Presidentially Declared Disaster Assistance—Disaster Housing Operations for Individuals and Households; 97.050 Presidentially Declared Disaster Assistance to Individuals and Households—Other Needs; 97.036, Disaster Grants—Public Assistance (Presidentially Declared Disasters); 97.039, Hazard Mitigation Grant.</FP>
        </EXTRACT>
        <SIG>
          <NAME>W. Craig Fugate,</NAME>
          <TITLE>Administrator, Federal Emergency Management Agency.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-386 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9111-23-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>Federal Emergency Management Agency</SUBAGY>
        <DEPDOC>[Docket ID: FEMA-2007-0008]</DEPDOC>
        <SUBJECT>National Advisory Council Meeting</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Emergency Management Agency, DHS.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of Federal Advisory Committee meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice announces the date, time, location, and agenda for the next meeting of the National Advisory Council (NAC). At the meeting, the subcommittees will report on their work since the August 4-5, 2010 meeting. This meeting will be open to the public.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Meeting Dates:</E>Wednesday, January 26, 2011, from approximately 10 a.m. EST to 5:45 p.m. EST and Thursday, January 27, 2011, 8:30 a.m. EST to 2 p.m. EST. A public comment period will take place on the afternoon of January 27, 2011, between approximately 12:45 p.m. EST and 1:15 p.m. EST.</P>
          <P>
            <E T="03">Comment Date:</E>Persons wishing to make an oral presentation, or who are unable to attend or speak at the meeting, may submit written comments. Written comments or requests to make oral presentations must be received by January 14, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>The meeting will be held at the Hilton Garden Inn, 815 14th Street NW., Washington, DC 20005. Written comments and requests to make oral presentations at the meeting should be provided to the address listed in the<E T="02">FOR FURTHER INFORMATION CONTACT</E>section and must be received by January 14, 2011. All submissions received must include the Docket ID FEMA-2007-0008 and may be submitted by any one of the following methods:</P>
          <P>
            <E T="03">Federal Rulemaking Portal: http://www.regulations.gov.</E>Follow the instructions for submitting comments on the Web site.</P>
          <P>
            <E T="03">E-mail: FEMA-RULES@dhs.gov.</E>Include Docket ID FEMA-2007-0008 in the subject line of the message.</P>
          <P>
            <E T="03">Facsimile:</E>(703) 483-2999.</P>
          <P>
            <E T="03">Mail:</E>Office of Chief Counsel, Federal Emergency Management Agency (Room 835), 500 C Street SW., Washington, DC 20472-3100.</P>
          <P>
            <E T="03">Hand Delivery/Courier:</E>Office of Chief Counsel, Federal Emergency Management Agency (Room 835), 500 C Street SW., Washington, DC 20472-3100.</P>
          <P>
            <E T="03">Instructions:</E>All submissions received must include the Docket ID FEMA-2007-0008. Comments received also will be posted without alteration at<E T="03">http://www.regulations.gov,</E>including any personal information provided.</P>
          <P>
            <E T="03">Docket:</E>For access to the docket to read documents or comments received by the National Advisory Council, go to<E T="03">http://www.regulations.gov.</E>
          </P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>The National Advisory Council Office, Federal Emergency Management Agency (Room 832), 500 C Street SW., Washington, DC 20472-3100, telephone (202) 646-3746, fax (202) 646-3930, and email<E T="03">mailto: FEMA-NAC@dhs.gov.</E>The NAC Web site is located at:<E T="03">http://www.fema.gov/about/nac/.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>Notice of this meeting is required under the Federal Advisory Committee Act (FACA), Public Law 92-463, as amended (5 U.S.C. App. 1,<E T="03">et seq.</E>). The National Advisory Council (NAC) will meet for the purpose of reviewing the progress and/or potential recommendations of the following NAC subcommittees: Preparedness and Protection, Response and Recovery, Public Engagement and Mission Support, and Federal Insurance and Mitigation. The Council may receive updates on response, recovery, preparedness, and on the Regional Advisory Councils.</P>
        <P>
          <E T="03">Public Attendance:</E>The meeting is open to the public. Please note that the meeting may adjourn early if all business is finished. Persons with disabilities who require special assistance should advise the NAC Office of their anticipated needs as early as possible. Members of the public who wish to make comments on Thursday, January 27, 2011 between 12:45 p.m. EST and 1:15 p.m. EST are requested to register in advance, and if the meeting is running ahead of schedule the public comment period may take place as early as 11 a.m. EST; therefore, all speakers must be present and seated by 10:45 a.m. EST. In order to allow as many people as possible to speak, speakers are requested to limit their remarks to 3 minutes. For those wishing to submit written comments, please follow the procedure noted above. In certain weather circumstances, a teleconference line for members of the public to call in may be set up. Please contact the NAC Office to request the public listen-only call in information using the contact information provided in the<E T="02">FOR FURTHER INFORMATION CONTACT</E>section.</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>W. Craig Fugate,</NAME>
          <TITLE>Administrator, Federal Emergency Management Agency.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-391 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9111-48-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF HOMELAND SECURITY</AGENCY>
        <SUBAGY>U.S. Customs and Border Protection</SUBAGY>
        <SUBJECT>Customs Brokers User Fee Payment for 2011</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Customs and Border Protection, Department of Homeland Security.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>General notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This document provides notice to customs brokers that the annual fee of $138 that is assessed for each permit held by a broker, whether it may be an individual, partnership, association, or corporation, is due by March 18, 2011. Customs and Border Protection announces this date of payment for 2011 in accordance with the Tax Reform Act of 1986.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Payment of the 2011 Customs Broker User Fee is due March 18, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Russell Morris, Broker Compliance Branch, Trade Policy and Programs, (202) 863-6543.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Background</HD>
        <P>CBP Dec. 07-01 amended section 111.96 of title 19 of the Code of Federal Regulations (19 CFR 111.96(c)) pursuant to the amendment of section 13031 of the Consolidated Omnibus Budget Reconciliation Act (COBRA) of 1985 (19 U.S.C. 58c) by section 892 of the American Jobs Creation Act of 2004, to establish that effective April 1, 2007, an annual user fee of $138 is to be assessed for each customs broker permit and national permit held by an individual, partnership, association, or corporation.</P>

        <P>The Customs and Border Protection (CBP) regulations provide that this fee is payable for each calendar year in each<PRTPAGE P="1627"/>broker district where the broker was issued a permit to do business by the due date which is published in the Federal Register annually. See 19 CFR 24.22(h) and (i)(9). Broker districts are defined in the General Notice entitled, “Geographical Boundaries of Customs Brokerage, Cartage and Lighterage Districts” published in the<E T="04">Federal Register</E>on September 27, 1995 (60 FR 49971).</P>

        <P>Section 1893 of the Tax Reform Act of 1986 (Pub. L. 99-514) provides that notices of the date on which the payment is due for each broker permit shall be published by the Secretary of the Treasury in the<E T="04">Federal Register</E>by no later than 60 days before such due date. Please note that section 403 of the Homeland Security Act of 2002, 6 U.S.C. 101<E T="03">et seq.,</E>(Pub. L. 107-296) and Treasury Department Order No. 100-16 (see Appendix to 19 CFR Part 0) delegated general authority vested in the Secretary of the Treasury over customs revenue functions (with certain specified exceptions) to the Secretary of Homeland Security.</P>
        <P>This document notifies customs brokers that for calendar year 2011, the due date for payment of the user fee is March 18, 2011. It is anticipated that for subsequent years, the annual user fee for customs brokers will be due on or about the twentieth of January of each year.</P>
        <SIG>
          <DATED>Dated: December 29, 2010.</DATED>
          <NAME>Daniel Baldwin,</NAME>
          <TITLE>Assistant Commissioner, Office of International Trade.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-312 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 9111-14-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT</AGENCY>
        <DEPDOC>[Docket No. FR-5480-N-03]</DEPDOC>
        <SUBJECT>Notice of Submission of Proposed Information Collection to OMB Exigent Health and Safety Deficiency Correction Certification</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Office of the Chief Information Officer, HUD.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The proposed information collection requirement described below has been submitted to the Office of Management and Budget (OMB) for review, as required by the Paperwork Reduction Act. The Department is soliciting public comments on the subject proposal.</P>
          <P>HUD's Uniform Physical Condition Standards (UPCS) regulation (24 CFR part 5, subpart G) provides that HUD housing must be decent, safe, sanitary, and in good repair. Public housing agencies (PHAs) must maintain housing in a manner that meets prescribed physical condition standards to be considered decent, safe, sanitary, and in good repair. The UPCS regulation also provides that all area and components of the housing must be free of health and safety hazards. HUD conducts physical inspections of the HUD-funded housing to determine if the UPCS standards are being met. Pursuant to the UPCS inspection protocol, at the end of the inspection (or at the end of each day of a multi-day inspection) the inspector provides the property representative with a copy of the “Notification of Exigent and Fire Safety Hazards Observed” form. Each exigent health and safety (EHS) deficiency that the inspector observed that day is listed on the form. The property representative signs the form acknowledging receipt. PHAs are to correct EHS deficiencies (i.e., emergency work orders) within 24 hours. PHAs are to notify HUD, using the electronic format, within three business days of the date of inspection, which is the date the PHA was provided notice of these deficiencies, that the deficiencies were corrected within the prescribed time frames.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Comments Due Date:</E>February 10, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name and/or OMB approval Number (2577-0241) and should be sent to: HUD Desk Officer, Office of Management and Budget, New Executive Office Building, Washington, DC 20503; fax: 202-395-5806.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Colette Pollard, Reports Management Officer, QDAM, Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410; e-mail Colette Pollard at<E T="03">Colette.Pollard@hud.gov;</E>or telephone (202) 402-3400. This is not a toll-free number. Copies of available documents submitted to OMB may be obtained from Ms. Pollard.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>This notice informs the public that the Department of Housing and Urban Development has submitted to OMB a request for approval of the Information collection described below. This notice is soliciting comments from members of the public and affecting agencies concerning the proposed collection of information to: (1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information; (3) Enhance the quality, utility, and clarity of the information to be collected; and (4) Minimize the burden of the collection of information on those who are to respond; including through the use of appropriate automated collection techniques or other forms of information technology, e.g., permitting electronic submission of responses.</P>
        <P>This notice also lists the following information:</P>
        <P>
          <E T="03">Title of Proposal:</E>Exigent Health and Safety Deficiency Correction Certification.</P>
        <P>
          <E T="03">OMB Approval Number:</E>2577-0241.</P>
        <P>
          <E T="03">Form Numbers:</E>None.</P>
        <P>
          <E T="03">Description of the Need for the Information and its Proposed Use:</E>HUD's Uniform Physical Condition Standards (UPCS) regulation (24 CFR part 5, subpart G) provides that HUD housing must be decent, safe, sanitary, and in good repair. Public housing agencies (PHAs) must maintain housing in a manner that meets prescribed physical condition standards to be considered decent, safe, sanitary, and in good repair. The UPCS regulation also provides that all area and components of the housing must be free of health and safety hazards. HUD conducts physical inspections of the HUD-funded housing to determine if the UPCS standards are being met. Pursuant to the UPCS inspection protocol, at the end of the inspection (or at the end of each day of a multi-day inspection) the inspector provides the property representative with a copy of the “Notification of Exigent and Fire Safety Hazards Observed” form. Each exigent health and safety (EHS) deficiency that the inspector observed that day is listed on the form. The property representative signs the form acknowledging receipt. PHAs are to correct EHS deficiencies (<E T="03">i.e.,</E>emergency work orders) within 24 hours. PHAs are to notify HUD, using the electronic format, within three business days of the date of inspection, which is the date the PHA was provided notice of these deficiencies, that the deficiencies were corrected within the prescribed time frames.</P>
        <P>
          <E T="03">Frequency of Submission:</E>Annually.</P>
        <P>
          <E T="03">Estimation of the total number of hours needed to prepare the information collection including number of respondents:</E>1,236 respondents annually with one response per respondent. Average time per response is .44 hours and the total burden hours are 333.57.</P>
        <P>
          <E T="03">Total Estimated Burden Hours:</E>333.57.<PRTPAGE P="1628"/>
        </P>
        <P>
          <E T="03">Status:</E>Extension of a currently approved collection.</P>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>Section 3507 of the Paperwork Reduction Act of 1995, 44 U.S.C. 35, as amended.</P>
        </AUTH>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Colette Pollard,</NAME>
          <TITLE>Departmental Reports Management Officer, Office of the Chief Information Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-396 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4210-67-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF THE INTERIOR</AGENCY>
        <SUBAGY>Fish and Wildlife Service</SUBAGY>
        <DEPDOC>[FWS-R9-EA-2010-N280; 97600-9792-0000 5D]</DEPDOC>
        <SUBJECT>Sport Fishing and Boating Partnership Council</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Fish and Wildlife Service, Interior.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of teleconference.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>We, the Fish and Wildlife Service (Service), announce a public teleconference of the Sport Fishing and Boating Partnership Council (Council).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATE(S):</HD>

          <P>We will hold the teleconference on Thursday, January 27, 2011, 2-4 p.m. (Eastern time). If you wish to listen to or participate in the teleconference proceedings, or submit written material for the Council to consider during the teleconference, notify Douglas Hobbs by Monday, January 24, 2011. See instructions under<E T="02">SUPPLEMENTARY INFORMATION</E>.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Douglas Hobbs, Council Coordinator, 4401 N. Fairfax Dr., Mailstop 3103-AEA, Arlington, VA 22203; (703) 358-2336 (phone); (703) 358-2548 (fax); or<E T="03">doug_hobbs@fws.gov</E>(e-mail).</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>In accordance with the requirements of the Federal Advisory Committee Act, 5 U.S.C. App., we give notice that the Council will hold a teleconference (<E T="03">see</E>
          <E T="02">DATES</E>).</P>

        <P>The Council was formed in January 1993 to advise the Secretary of the Interior, through the Director of the U.S. Fish and Wildlife Service, on nationally significant recreational fishing, boating, and aquatic resource conservation issues. The Council represents the interests of the public and private sectors of the sport fishing, boating, and conservation communities and is organized to enhance partnerships among industry, constituency groups, and government. The 18-member Council, appointed by the Secretary of the Interior, includes the Service Director and the president of the Association of Fish and Wildlife Agencies, who both serve in ex officio capacities. Other Council members are directors from State agencies responsible for managing recreational fish and wildlife resources and individuals who represent the interests of saltwater and freshwater recreational fishing, recreational boating, the recreational fishing and boating industries, recreational fisheries resource conservation, Native American tribes, aquatic resource outreach and education, and tourism. Background information on the Council is available at<E T="03">http://www.fws.gov/sfbpc.</E>
        </P>

        <P>The Council will convene to: (1) Approve recommendations to the Director of the Fish and Wildlife Service for funding Fiscal Year 2011 Boating Infrastructure Grant proposals; and (2) to consider other Council business. We will post the final agenda on the Internet at<E T="03">http://www.fws.gov/sfbpc.</E>
        </P>
        <P>
          <E T="03">Procedures for Public Input:</E>Interested members of the public may listen to or present oral information, or submit a relevant written statement for the Council to consider during the public meeting. Questions from the public will not be considered during this period. Speakers who wish to expand upon their oral statements or those who had wished to speak but could not be accommodated on the agenda are invited to submit written statements to the Council. Individuals or groups can listen to or make an oral presentation at the public Council teleconference. Oral presentations will be limited to 2 minutes per speaker, with no more than a total of 30 minutes for all speakers. In order to listen to or participate in this teleconference, you must register by close of business on January 24, 2011. Please submit your name, e-mail address, and phone number to Douglas Hobbs, Council Coordinator (<E T="03">see</E>
          <E T="02">FOR FURTHER INFORMATION CONTACT</E>).</P>

        <P>Written statements must be received by January 24, 2011, so that the information may be made available to the Council for their consideration prior to this meeting. Written statements must be supplied to the Council Coordinator in both of the following formats: One hard copy with original signature, and one electronic copy via e-mail (acceptable file format: Adobe Acrobat PDF, WordPerfect, MS Word, MS PowerPoint, or Rich Text files in IBM-PC/Windows 98/2000/XP format). Please submit your statement to Douglas Hobbs, Council Coordinator (<E T="03">see</E>
          <E T="02">FOR FURTHER INFORMATION CONTACT</E>).</P>

        <P>The Council Coordinator will maintain the teleconference's summary minutes, which will be available for public inspection at the location under<E T="02">FOR FURTHER INFORMATION CONTACT</E>during regular business hours within 30 days after the teleconference. You may purchase personal copies for the cost of duplication.</P>
        <SIG>
          <DATED>Dated: December 27, 2010.</DATED>
          <NAME>Paul R. Schmidt,</NAME>
          <TITLE>Acting Director.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-338 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4310-55-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF THE INTERIOR</AGENCY>
        <SUBAGY>Bureau of Land Management</SUBAGY>
        <DEPDOC>[LLAK-963000-L1410000-FQ0000; AA-3084]</DEPDOC>
        <SUBJECT>Public Land Order No. 7756; Revocation of a Secretarial Order Dated October 8, 1947; Alaska</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Bureau of Land Management, Interior.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Public Land Order.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This order revokes a Secretarial Order in its entirety as it affects approximately 266 acres of public land withdrawn on behalf of the Federal Aviation Administration for Air Navigation Site No. 237 on Shuyak Island, Alaska. The land is no longer needed for air navigation purposes. The land is within the Alaska Maritime National Wildlife Refuge.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>January 11, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Robert L. Lloyd, BLM Alaska State Office, 222 W. Seventh Avenue, #13, Anchorage, Alaska 99513, 907-271-4682.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Federal Aviation Administration has determined that the withdrawal is no longer needed for air navigation purposes. The land is within the Alaska Maritime National Wildlife Refuge pursuant to Section 303(1)(v) of Public Law 96-487 and will continue to be managed by the U.S. Fish and Wildlife Service. The land is also subject to the terms and conditions of Public Land Order No. 5184 (37 FR 5588 (1972)) and Public Land Order No. 5186 (37 FR 5589 and 5590 (1972)), both as amended, and any other withdrawal, application, or segregation of record.</P>
        <HD SOURCE="HD1">Order</HD>

        <P>By virtue of the authority vested in the Secretary of the Interior by Section 204 of the Federal Land Policy and Management Act of 1976, 43 U.S.C. 1714, it is ordered as follows:<PRTPAGE P="1629"/>
        </P>
        <P>The Secretarial Order dated October 8, 1947 (12 FR 6769 (1947)), which withdrew approximately 266 acres of public land on behalf of the Federal Aviation Administration, formerly the Civil Aeronautics Administration, for Air Navigation Site No. 237, is hereby revoked in its entirety.</P>
        <SIG>
          <DATED>Dated: December 21, 2010.</DATED>
          <NAME>Wilma A. Lewis,</NAME>
          <TITLE>Assistant Secretary—Land and Minerals Management.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-317 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4310-JA-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF THE INTERIOR</AGENCY>
        <SUBAGY>Bureau of Land Management</SUBAGY>
        <DEPDOC>[MTM 91636]</DEPDOC>
        <SUBJECT>Public Land Order No. 7757; Withdrawal of National Forest System Land for the Big Ice Cave; Montana</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Bureau of Land Management, Interior.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Public Land Order.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This order withdraws 170 acres of National Forest System land from location and entry under the United States mining laws for a period of 20 years on behalf of the United States Forest Service to protect the Big Ice Cave, its subterranean water supply, and Federal improvements. The land has been and will remain open to such forms of disposition as may by law be made of National Forest System land and to mineral leasing.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>January 11, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Scott Bixler, U.S. Forest Service, Region 1, P.O. Box 7669, Missoula, Montana 59807, 406-329-3655, or Sandra Ward, Bureau of Land Management, Montana State Office, 5001 Southgate Drive, Billings, Montana 59101, 406-896-5052.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Forest Service will manage the land to protect the Big Ice Cave, its subterranean water supply, and Federal improvements. The Big Ice Cave is a unique geologic and hydrologic formation with important cultural and recreational values.</P>
        <HD SOURCE="HD1">Order</HD>
        <P>By virtue of the authority vested in the Secretary of the Interior by Section 204 of the Federal Land Policy and Management Act of 1976, 43 U.S.C. 1714, it is ordered as follows:</P>
        <P>1. Subject to valid existing rights, the following-described National Forest System land is hereby withdrawn from location and entry under the United States mining laws, but not from leasing under the mineral leasing laws, to protect the Big Ice Cave, its subterranean water supply, and Federal improvements:</P>
        <EXTRACT>
          <HD SOURCE="HD1">Custer National Forest</HD>
          <HD SOURCE="HD1">Principal Meridian, Montana</HD>
          <FP SOURCE="FP-2">T. 8 S., R. 27 E.,</FP>
          <FP SOURCE="FP1-2">Sec. 3, SE<FR>1/4</FR>;</FP>
          <FP SOURCE="FP1-2">Sec. 10, N<FR>1/2</FR>N<FR>1/2</FR>NW<FR>1/4</FR>NE<FR>1/4</FR>.</FP>
          
          <P>The area described contains 170 acres in Carbon County.</P>
        </EXTRACT>
        
        <P>2. The withdrawal made by this order does not alter the applicability of those public land laws governing the use of National Forest System land under lease, license, or permit, or governing the disposal of the mineral or vegetative resources other than under the mining laws.</P>
        <P>3. This withdrawal will expire 20 years from the effective date of this order, unless, as a result of a review conducted before the expiration date pursuant to Section 204(f) of the Federal Land Policy and Management Act of 1976, 43 U.S.C. 1714(f), the Secretary determines that the withdrawal shall be extended.</P>
        <SIG>
          <DATED>Dated: December 17, 2010.</DATED>
          <NAME>Wilma A. Lewis,</NAME>
          <TITLE>Assistant Secretary—Land and Minerals Management.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-319 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4310-11-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF THE INTERIOR</AGENCY>
        <SUBAGY>Bureau of Land Management</SUBAGY>
        <DEPDOC>[WYW 71725]</DEPDOC>
        <SUBJECT>Public Land Order No. 7758; Revocation of Secretarial Order Dated March 7, 1932; Wyoming</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Bureau of Land Management, Interior.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Public land order.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This order revokes a Secretarial Order in its entirety as it affects the remaining 27,825 acres of National Forest System lands withdrawn for the Bureau of Reclamation's Willow and Fremont Lakes Reservoir Sites, Sublette Project. The lands are no longer needed for reclamation purposes.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>January 11, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Janelle Wrigley, BLM Wyoming State Office, 5353 North Yellowstone Road, Cheyenne, Wyoming 82003, 307-775-6257.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Sublette Project was never constructed and the withdrawal is no longer needed. The lands will not be opened to the public land or mining laws until completion of an analysis to determine if any of the lands warrant special designation. The March 7, 1932 Order originally withdrew approximately 29,600 acres but has since been partially revoked. A copy of the original withdrawal order containing a legal description of the lands involved is available from the Bureau of Land Management Wyoming State Office at the address above.</P>
        <HD SOURCE="HD1">Order</HD>
        <P>By virtue of the authority vested in the Secretary of the Interior by Section 204 of the Federal Land Policy and Management Act of 1976, 43 U.S.C. 1714, it is ordered as follows:</P>
        <P>The Secretarial Order dated March 7, 1932, which originally withdrew approximately 29,600 acres National Forest System lands in Sublette County, Wyoming, for the Bureau of Reclamation's Willow and Fremont Lakes Sites, Sublette Project, is hereby revoked in its entirety as to any remaining withdrawn lands.</P>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>43 CFR 2370; 43 CFR 2310.3-3.</P>
        </AUTH>
        <SIG>
          <DATED>Dated: December 21, 2010.</DATED>
          <NAME>Wilma A. Lewis,</NAME>
          <TITLE>Assistant Secretary—Land and Minerals Management.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-318 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4310-MN-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBJECT>Office on Violence Against Women Meeting</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Office on Violence Against Women, United States Department of Justice.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice sets forth the schedule and proposed agenda of the forthcoming public meeting of the National Advisory Committee on Violence Against Women (hereinafter “NAC”).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The meeting will take place on Friday, January 28, 2011 from 8:30 a.m. to 5 p.m.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>

          <P>The meeting will take place at the Department of Justice, 950 Pennsylvania Ave, NW., Conference Center, 7th Floor, Washington, DC 20530. The public is asked to pre-register by January 21, 2011 for the meeting due to security considerations (<E T="03">see</E>below for information on pre-registration).</P>
        </ADD>
        <FURINF>
          <PRTPAGE P="1630"/>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Catherine Poston, Attorney Advisor, Office on Violence Against Women, United States Department of Justice, 145 N Street, NE., Suite 10W 121, Washington, DC 20530; by telephone at: (202) 514-5430; e-mail:<E T="03">Catherine.poston@usdoj.gov;</E>or fax: (202) 305-2589. You may also view information about the NAC on the Office on Violence Against Women Web site at:<E T="03">http://www.ovw.usdoj.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Notice of this meeting is required under section 10(a)(2) of the Federal Advisory Committee Act. The National Advisory Committee on Violence Against Women (NAC) was re-chartered on March 3, 2010 by the Attorney General. The purpose of this Federal advisory committee is to provide advice and recommendations to the Department of Justice and the Department of Health and Human Services on how to improve the Nation's response to violence against women, with a specific focus on successful interventions with children and teens who witness and/or are victimized by domestic violence, dating violence, and sexual assault. The NAC will bring together experts, advocates, researchers, and criminal justice professionals for the exchange of innovative ideas and the development of practical solutions to help the Federal government address and prevent these serious problems. This Federal advisory committee will develop recommendations for successful interventions with children and teens who witness and/or are victimized by domestic violence, dating violence, and sexual assault. The NAC members will also examine the relationship between children and teens who are witnesses to or victims of such violence and the overall public safety of communities across the country.</P>
        <P>This is the first meeting of the NAC and will include an introduction of Federal advisory committee members, presentations by Department of Justice staff on Federal efforts to address these problems, and a discussion of the goals for the NAC. The Director of the Office on Violence Against Women, the Honorable Susan B. Carbon, serves as the Designated Federal Official of the NAC.</P>
        <P>The NAC is also welcoming public oral comment at this meeting and has reserved an estimated 30 minutes for this purpose. Time will be reserved for public comment on January 28, 2011 from 12:05 p.m. to 12:20 p.m. and from 4:30 p.m. to 4:45 p.m. See the section below for information on reserving time for public comment.</P>
        <P>
          <E T="03">Access:</E>This meeting will be open to the pubic but registration on a space available basis and for security reasons is required. All members of the public who wish to attend must register at least six (6) days in advance of the meeting by contacting Catherine Poston, Attorney Advisor, Office on Violence Against Women, United States Department of Justice, 145 N Street, NE., Suite 10W 121, Washington, DC 20530; by telephone at: (202) 514-5430; e-mail:<E T="03">Catherine.poston@usdoj.gov;</E>or fax: (202) 305-2589. All attendees will be required to sign in at the Department of Justice security entrance and at the meeting registration desk. Please bring photo identification and allow extra time prior to the start of the meeting.</P>
        <P>The meeting site is accessible to individuals with disabilities. Individuals who require special accommodation in order to attend the meeting should notify Catherine Poston no later than January 21, 2011.</P>
        <P>
          <E T="03">Written Comments:</E>Interested parties are invited to submit written comments by January 21, 2011 to Catherine Poston, Attorney Advisor, Office on Violence Against Women, United States Department of Justice, 145 N Street, NE., Suite 10W 121, Washington, DC 20530; by telephone at: (202) 514-5430; e-mail:<E T="03">Catherine.poston@usdoj.gov;</E>or fax: (202) 305-2589.</P>
        <P>
          <E T="03">Public Comment:</E>Persons interested in participating during the public comment periods of the meeting are requested to reserve time on the agenda by contacting Catherine Poston, Attorney Advisor, Office on Violence Against Women, United States Department of Justice, 145 N Street, NE., Suite 10W 121, Washington, DC 20530; by telephone at: (202) 514-5430; e-mail:<E T="03">Catherine.poston@usdoj.gov</E>; or fax: (202) 305-2589. Requests must include the participant's name, organization represented, if appropriate, and a brief description of the subject of the comments. Each participant will be permitted approximately 3 to 5 minutes to present comments, depending on the number of individuals reserving time on the agenda. Participants are also encouraged to submit written copies of their comments. Comments that are submitted to Catherine Poston, Attorney Advisor, Office on Violence Against Women, United States Department of Justice, 145 N Street, NE., Suite 10W 121, Washington, DC 20530; by telephone at: (202) 514-5430; e-mail:<E T="03">Catherine.poston@usdoj.gov</E>; or fax: (202) 305-2589 will be circulated to NAC members prior to the meeting. Given the expected number of individuals interested in presenting comments at the meeting, reservations should be made as soon as possible. Persons unable to obtain reservations to speak during the meeting are encouraged to submit written comments, which will be accepted at the meeting location or may be mailed to the NAC, to the attention of Catherine Poston, Attorney Advisor, Office on Violence Against Women, United States Department of Justice, 145 N Street, NE., Suite 10W 121, Washington, DC 20530; by telephone at: (202) 514-5430; e-mail:<E T="03">Catherine.poston@usdoj.gov;</E>or fax: (202) 305-2589.</P>
        <SIG>
          <DATED>Dated: January 5, 2010.</DATED>
          <NAME>Susan B. Carbon,</NAME>
          <TITLE>Director, Office on Violence Against Women.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-365 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4410-FX-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBAGY>Office of the Attorney General</SUBAGY>
        <DEPDOC>[Docket No. OAG 134; AG Order No. 3241-2011]</DEPDOC>
        <RIN>RIN 1105-AB36</RIN>
        <SUBJECT>Supplemental Guidelines for Sex Offender Registration and Notification</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Department of Justice.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Final guidelines.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>The Sex Offender Registration and Notification Act (SORNA), establishes minimum national standards for sex offender registration and notification. The Attorney General issued the<E T="03">National Guidelines for Sex Offender Registration and Notification</E>(“SORNA Guidelines” or “Guidelines”) on July 2, 2008, to provide guidance and assistance to jurisdictions in implementing the SORNA standards in their sex offender registration and notification programs. These supplemental guidelines augment or modify certain features of the SORNA Guidelines in order to make a change required by the KIDS Act and to address other issues arising in jurisdictions' implementation of the SORNA requirements. The matters addressed include certain aspects of public Web site posting of sex offender information, interjurisdictional tracking and information sharing regarding sex offenders, the review process concerning jurisdictions' SORNA implementation, the classes of sex offenders to be registered by jurisdictions retroactively, and the treatment of Indian tribes newly recognized by the Federal government subsequent to the enactment of SORNA.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>
            <E T="03">Effective Date:</E>January 11, 2011.</P>
        </DATES>
        <FURINF>
          <PRTPAGE P="1631"/>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Linda M. Baldwin, Director, Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking; Office of Justice Programs, United States Department of Justice, Washington, DC, 202 305-2463.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">Overview</HD>

        <P>The Sex Offender Registration and Notification Act, which is title I of the Adam Walsh Child Protection and Safety Act of 2006, Public Law 109-248, was enacted on July 27, 2006. SORNA (42 U.S.C. 16901<E T="03">et seq.</E>) establishes minimum national standards for sex offender registration and notification in the jurisdictions to which it applies. “Jurisdictions” in the relevant sense are the 50 states, the District of Columbia, the five principal U.S. territories, and Indian tribes that satisfy certain criteria. 42 U.S.C. 16911(10). SORNA directs the Attorney General to issue guidelines and regulations to interpret and implement SORNA.<E T="03">See id.</E>16912(b).</P>
        <P>To this end, the Attorney General issued the<E T="03">National Guidelines for Sex Offender Registration and Notification,</E>73 FR 38030, on July 2, 2008. The SORNA standards are administered by the Office of Sex Offender Sentencing, Monitoring, Apprehending, Registering, and Tracking (“SMART Office”), which assists all jurisdictions in their SORNA implementation efforts and determines whether jurisdictions have successfully completed these efforts.<E T="03">See</E>42 U.S.C. 16945; 73 FR at 38044, 38047-48.</P>

        <P>Since the publication of the SORNA Guidelines, issues have arisen in SORNA implementation that require that some aspects of the Guidelines be augmented or modified. Consequently, the Department of Justice proposed and solicited public comment on supplemental guidelines addressing these issues, which were published in the<E T="04">Federal Register</E>on May 14, 2010, at 75 FR 27362. The public comment period closed on July 13, 2010.</P>
        <P>Following consideration of the public comments received, the Department of Justice is now finalizing the supplemental guidelines, which do the following:</P>
        <P>(1) Allow jurisdictions, in their discretion, to exempt information concerning sex offenders required to register on the basis of juvenile delinquency adjudications from public Web site posting.</P>
        <P>(2) Require jurisdictions to exempt sex offenders' e-mail addresses and other Internet identifiers from public Web site posting, pursuant to the KIDS Act, 42 U.S.C. 16915a.</P>
        <P>(3) Require jurisdictions to have sex offenders report international travel 21 days in advance of such travel and to submit information concerning such travel to the appropriate Federal agencies and databases.</P>
        <P>(4) Clarify the means to be utilized to ensure consistent interjurisdictional information sharing and tracking of sex offenders.</P>
        <P>(5) Expand required registration information to include the forms signed by sex offenders acknowledging that they were advised of their registration obligations.</P>
        <P>(6) Provide additional information concerning the review process for determining that jurisdictions have substantially implemented the SORNA requirements in their programs and continue to comply with these requirements.</P>
        <P>(7) Afford jurisdictions greater latitude regarding the registration of sex offenders who have fully exited the justice system but later reenter through a new (non-sex-offense) criminal conviction by providing that jurisdictions may limit such registration to cases in which the new conviction is for a felony.</P>
        <P>(8) Provide, for Indian tribes that are newly recognized by the Federal government following the enactment of SORNA, authorization and time frames for such tribes to elect whether to become SORNA registration jurisdictions and to implement SORNA.</P>
        <HD SOURCE="HD1">Summary of Comments on the Proposed Supplemental Guidelines</HD>
        <P>About 280 separate comments were received from a wide variety of agencies, organizations, and individuals. Many of the comments were favorable to the supplemental guidelines, either generally or with respect to particular measures therein. The grounds of support included the value of the changes in the supplemental guidelines in facilitating jurisdictions' implementation of SORNA or enhancing the efficacy of sex offender registration and notification.</P>

        <P>Some commenters criticized the supplemental guidelines as potentially resulting in greater disparity among jurisdictions in sex offender registration or notification standards by increasing jurisdictions' discretion in certain areas. SORNA, however, does not aim at complete uniformity among jurisdictions, but rather establishes a national baseline of sex offender registration and notification standards and generally leaves jurisdictions free to adopt different approaches and provisions beyond the required minimum.<E T="03">See</E>73 FR at 38032-35. The provisions in the supplemental guidelines that broaden jurisdictions' discretion affect limited areas, specifically, whether jurisdictions will publicly disclose information concerning sex offenders required to register on the basis of juvenile delinquency adjudications, and whether jurisdictions will require registration by sex offenders who have left the justice system but later reenter the system through subsequent non-felony, non-sex-offense convictions. By relaxing a couple of requirements that have been impediments to SORNA implementation in some jurisdictions, these changes further the nationwide implementation of the remainder of the SORNA requirements and hence are likely to promote greater overall uniformity among jurisdictions in sex offender registration and notification standards. Considering the foregoing, the public comments that criticized certain features of the supplemental guidelines as resulting in an undesirable loss of uniformity do not persuasively establish that there will be such an effect that outweighs the benefits of these changes.</P>

        <P>Some commenters criticized changes made in these supplemental guidelines as an inappropriate or impermissible exercise of legislative power by the Attorney General, and urged that such changes could properly be made only by Congress. However, SORNA expressly affords the Attorney General authority to expand the range of required registration information and to create exceptions to the required disclosure of registration information.<E T="03">See</E>42 U.S.C. 16914(a)(7), (b)(8), 16918(b)(4), (c)(4), 16921(b). SORNA further charges the Attorney General with responsibility for issuing guidelines and regulations to interpret and implement SORNA and for determining whether jurisdictions have substantially implemented SORNA in their programs.<E T="03">See</E>42 U.S.C. 16912(b), 16925. These authorities adequately support the measures adopted in these supplemental guidelines.</P>

        <P>Some of the comments received concerned matters outside the scope of these supplemental guidelines. Those comments, and the Department's responses thereto, include the following: (i) Some comments generally criticized SORNA, state sex offender registration and notification laws, or state laws imposing measures that SORNA does not require, such as residency restrictions on sex offenders, and explicitly or implicitly urged that such laws should be repealed or amended. The Attorney General has no authority to repeal or amend Federal or<PRTPAGE P="1632"/>State laws by issuing guidelines. (ii) Some comments criticized measures in the preexisting SORNA Guidelines that the proposed supplemental guidelines did not attempt to address. The final supplemental guidelines have not been changed on the basis of such comments because they did not concern matters within the scope of these supplemental guidelines. Moreover, these comments did not provide persuasive reasons for changing other requirements under SORNA or its implementing guidelines. (iii) Some comments raised questions regarding SORNA implementation by jurisdictions that did not specifically concern the measures adopted in these supplemental guidelines. Questions of this type should be addressed directly to the SMART Office. The SMART Office is available at all times to answer jurisdictions' questions regarding SORNA implementation and to assist them in such implementation.</P>
        <P>Some commenters, on varying grounds, were critical of particular changes made by these supplemental guidelines or urged that the changes do not go far enough in qualifying or supplementing SORNA's requirements. The main substantive comments and criticisms are most conveniently discussed on a topic-by-topic basis:</P>
        <HD SOURCE="HD2">Juvenile Delinquents</HD>
        <P>Many favorable comments were received concerning Part I.A of these supplemental guidelines, which provides that it is within jurisdictions' discretion whether they will publicly disclose information concerning juvenile delinquent sex offenders. Some commenters, however, urged that the Attorney General should go further in limiting public disclosure of such information, or that the Attorney General should also restrict or eliminate SORNA's registration requirements for juvenile delinquent sex offenders. The grounds urged for further changes included that, absent such changes, juvenile delinquent sex offenders would be improperly equated to adult sex offenders, stigmatized, unjustifiably subjected to lifetime registration, and not effectively rehabilitated in conformity with the objectives of juvenile justice systems.</P>

        <P>In assessing these comments, it must be understood that, following the issuance of these supplemental guidelines, there is no remaining requirement under SORNA that jurisdictions publicly disclose information about sex offenders whose predicate sex offense “convictions” are juvenile delinquency adjudications. There are two provisions in SORNA that require public disclosure of certain information concerning sex offenders. One of these provisions is 42 U.S.C. 16918, which generally requires that jurisdictions make sex offender information available on publicly accessible Internet sites. The other is 42 U.S.C. 16921(b), which requires targeted disclosures of sex offender information, some aspects of which could be characterized as involving public disclosure. Specifically, the required disclosures under the latter provision include disclosure to certain school, public housing, social service, and volunteer entities, and to other organizations, companies, or individuals who request notification. As a practical matter, the public disclosures required under § 16921(b) may effectively merge with the Internet disclosure required under § 16918(b), because the SORNA Guidelines explain that jurisdictions may satisfy the public disclosure aspects of § 16921(b) by including functions on their public sex offender Web sites that enable members of the public to request automatic notification when sex offenders commence residence, employment, or school attendance in specified areas.<E T="03">See</E>73 FR at 38061.</P>
        <P>Under both public disclosure provisions in SORNA, the Attorney General has express statutory authority to limit the required disclosure of information. See 42 U.S.C. 16918(c)(4) (“[a] jurisdiction may exempt from disclosure * * *  any other information exempted from disclosure by the Attorney General”); id. § 16921(b) (registry information to be provided to specified entities “other than information exempted from disclosure by the Attorney General”). Moreover, under both of these provisions, the Attorney General has exercised his authority in these supplemental guidelines to provide that jurisdictions need not publicly disclose information concerning persons required to register on the basis of juvenile delinquency adjudications.</P>

        <P>Given this change, the effect of the remaining registration requirements under SORNA for certain juvenile delinquent sex offenders is, in essence, to enable registration authorities to track such offenders following their release and to make information about them available to law enforcement agencies.<E T="03">See</E>73 FR at 38060; Part I.A of these supplemental guidelines. There is no remaining requirement under SORNA that jurisdictions engage in any form of public disclosure or notification regarding juvenile delinquent sex offenders. Jurisdictions are free to do so, but need not do so to any greater extent than they may wish.</P>
        <P>The comments that proposed some further restriction or elimination of SORNA's registration requirements in relation to juveniles often appeared to reflect misunderstanding of the foregoing points or other misunderstandings regarding SORNA's provisions relating to juveniles. One possible misunderstanding concerns the Attorney General's legal authorities under SORNA. As noted above, the Attorney General has express statutory authority to create exceptions to the required public disclosure of registration information under SORNA. In contrast, SORNA affords the Attorney General no open-ended authority to restrict or eliminate registration (as opposed to information disclosure) requirements under SORNA. Hence, these comments misconceived the legal situation to the extent they assumed the Attorney General could simply eliminate registration requirements under SORNA in relation to juveniles or other classes of offenders, parallel to his authority to create exceptions to SORNA's information disclosure requirements.</P>
        <P>Regarding other apparent misunderstandings that appeared in the comments, the following points may help to provide a clear picture of SORNA's registration requirements and their effects on juveniles:</P>

        <P>First, SORNA's treatment of juvenile sex offenders is very different from its treatment of adult sex offenders. Registration is required on the basis of a juvenile delinquency adjudication only if the juvenile is at least 14 years old at the time of the offense and the adjudication is for an offense comparable to or more severe than aggravated sexual abuse as defined in Federal law or an attempt or conspiracy to commit such a crime. See 42 U.S.C. 16911(8). The SORNA Guidelines explain that it suffices for substantial implementation of SORNA if jurisdictions register individuals in this class who have been adjudicated delinquent for the most serious types of sexually assaultive crimes, which generally limits the required coverage to juveniles adjudicated delinquent for committing nonconsensual sex offenses involving penetration or related attempts or conspiracies.<E T="03">See</E>73 FR at 38030, 38040-41, 38050. There is no requirement that jurisdictions register juveniles adjudicated delinquent for lesser sexual assaults or for nonviolent sexual conduct whose criminality depends on the age of the victim.<E T="03">See id.</E>Moreover, SORNA does not require lifetime registration without qualification even for juveniles adjudicated delinquent for the most<PRTPAGE P="1633"/>serious sexually assaultive crimes, but allows registration to be terminated after 25 years for those maintaining a clean record.<E T="03">See</E>42 U.S.C. 16915(b)(2)(B), (3)(B); 73 FR at 38068-69.</P>

        <P>Second, SORNA does not bar taking account of differences between juveniles and adults in the manner in which registration is carried out. For example, SORNA requires in-person appearances to report certain important changes in registration information and for periodic verification,<E T="03">see</E>42 U.S.C. 16913(c), 16916, but this does not mean that juveniles must be required to appear at locations that will result in their being exposed to adult sex offenders or in public exposure of their status as sex offenders. Rather, jurisdictions have discretion as to how meetings between sex offenders and persons responsible for their registration will be carried out and may adopt different approaches for different classes of registrants.<E T="03">See</E>73 FR at 38065, 38067.</P>
        <P>Third, following the adoption of these supplemental guidelines, there is no requirement that jurisdictions engage in any form of public disclosure or notification for juvenile delinquents subject to SORNA's requirements. Rather, as discussed above, the effect of the remaining registration requirements under SORNA is essentially to enable registration authorities to track such delinquents following their release and to make information about them available to law enforcement.</P>
        <HD SOURCE="HD2">Internet Identifiers</HD>
        <P>Part I.B of these supplemental guidelines creates a mandatory exemption of sex offenders' e-mail addresses and other Internet identifiers from public Web site posting, a measure required by 42 U.S.C. 16915a(c). Some commenters urged that there should be further restriction of the disclosure of such information. Specifically, some argued that jurisdictions should also be restrained from disclosing sex offenders' Internet identifiers by means other than public Web site posting, and that entities other than registration jurisdictions should be prohibited or prevented from disclosing such information.</P>
        <P>As noted, the measure concerning Internet identifiers included in these supplemental guidelines is required by 42 U.S.C. 16915a(c), which directs the Attorney General to utilize the authority provided in 42 U.S.C. 16918(b)(4) to exempt Internet identifier information from disclosure. Section 16918 is the statute that directs registration jurisdictions to establish Internet sites that disclose information on registered sex offenders to the public, and subsection (b)(4) in that section authorizes the Attorney General to create mandatory exemptions of information from such disclosure. There is no corresponding authorization in SORNA to prohibit jurisdictions from disseminating registration information by means other than public Web site posting, or to prohibit entities other than registration jurisdictions from disclosing information about sex offenders.</P>
        <P>Looking beyond the question of legal authority, the comments received did not provide persuasive reasons for adopting new Federal restrictions on the disclosure of information about sex offenders' Internet identifiers, supplementary to the limitation required by 42 U.S.C. 16915a(c) and other existing legal restrictions. As a practical matter, there are legitimate reasons for disclosure of such information by means other than public Web site posting and by entities other than registration jurisdictions, such as disclosure by jurisdictions or private individuals or entities of information about sex offenders' Internet identifiers to law enforcement agencies investigating sex crimes involving solicitation of the victims through the Internet.</P>
        <P>Some of the comments received included complaints or criticisms relating to 42 U.S.C. 16915b, which directs the Attorney General to establish a system enabling social networking Web sites to compare the Internet identifiers of their users to information in the National Sex Offender Registry. Section 16915b was separately enacted by the KIDS Act, Public Law 110-400. It is not part of SORNA. Any measures that may be needed in the implementation of § 16915b would not belong in these supplemental guidelines, which are concerned with the implementation of SORNA.</P>
        <HD SOURCE="HD2">International Travel</HD>
        <P>Part II.A of these supplemental guidelines exercises “[t]he authority under 42 U.S.C. 16914(a)(7) to expand the range of required registration information * * * to provide that registrants must be required to inform their residence jurisdictions of intended travel outside of the United States at least 21 days in advance of such travel.”</P>
        <P>Some commenters objected to this requirement on the ground that it would prevent sex offenders from engaging in legitimate international travel, because it may be necessary for sex offenders to travel abroad for business, familial, or other reasons without being able to anticipate the need three weeks in advance. However, these supplemental guidelines recognize that there may be circumstances in which requiring 21 days advance notice would be unnecessary or inappropriate, and expressly allow jurisdictions to adopt policies accommodating such situations subject to approval by the SMART Office.</P>
        <P>Some commenters claimed that there is no authority for the Attorney General to adopt notice requirements concerning sex offenders leaving the United States, or concerning domestic travel by sex offenders, because 42 U.S.C. 16928 only directs the Attorney General to establish a system for informing relevant jurisdictions about persons entering the United States who are required to register under SORNA. These commenters apparently did not understand the legal basis for the Attorney General's adoption of additional requirements relating to reporting of travel or intended travel by sex offenders. Such requirements are adequately supported by 42 U.S.C. 16914(a)(7), which provides general authority for the Attorney General to expand the information sex offenders are required to provide for inclusion in sex offender registries. The reporting requirement relating to intended international travel adopted in these supplemental guidelines is expressly premised on § 16914(a)(7), as are pre-existing reporting requirements adopted in the SORNA Guidelines relating to international and domestic travel that go beyond those expressly stated in SORNA itself, see 73 FR at 38056.</P>
        <P>Some comments expressed concern or frustration that jurisdictions have been presented with a moving target in their SORNA implementation efforts, a concern apparently felt with particular force in relation to the new reporting requirement regarding international travel. Relatively little time remains until the end of the compliance periods allowed under 42 U.S.C. 16924, which can create a difficult situation for jurisdictions attempting to carry out new requirements.</P>

        <P>These comments are well taken. Congress in SORNA has authorized the Attorney General to augment or modify SORNA's express requirements in certain areas, including authority to expand the range of required registration information and authority to create discretionary or mandatory exceptions to disclosure of such information. See 42 U.S.C. 16914(a)(7), (b)(8), 16918(b)(4), (c)(4), 16921(b). These authorities could be exercised by the Attorney General at any time during the periods afforded for SORNA implementation under 42 U.S.C. 16924 or thereafter. Given the inclusion in<PRTPAGE P="1634"/>SORNA of these express authorities to augment or modify certain SORNA requirements, SORNA is reasonably read so as not to require that jurisdictions be regarded as falling short of substantial implementation based on new requirements without time afforded to correct the deficiency. Accordingly, the SMART Office will take account of the novelty of requirements and the time that has been available to carry them out in determining whether jurisdictions have substantially implemented SORNA, and will afford jurisdictions a reasonable amount of time to implement new requirements, which may extend beyond the implementation deadlines otherwise applicable under SORNA.<E T="03">Cf. Chicago &amp; Alton R.R. Co.</E>v.<E T="03">Tranbarger,</E>238 U.S. 67, 73-74 (1915) (statute may be construed to allow a reasonable amount of time to take an action where the normal statutory time limit for taking such actions cannot sensibly be applied).</P>

        <P>The comments received included a concern that the new requirement relating to international travel reporting will unduly burden jurisdictions. This concern appears to reflect an exaggerated impression of the nature of the requirement and its impact on jurisdictions. Under pre-existing requirements of SORNA and the SORNA Guidelines, jurisdictions are required to obtain a range of information from sex offenders and to make that information available to other registration jurisdictions and appropriate Federal agencies, including information regarding domestic and international travel by sex offenders.<E T="03">See</E>42 U.S.C. 16913(c), 16919(b), 16921; 73 FR at 38055-56, 38065-67. The requirement under these supplemental guidelines to obtain information concerning international travel by sex offenders more consistently does not differ fundamentally in character from these pre-existing requirements and the mechanisms utilized in carrying out the pre-existing requirements can be extended and adapted to encompass this additional information. To the extent the concern about a resulting burden on jurisdictions reflects the novelty of this requirement and the apprehension that inadequate time will be afforded to implement it, the information in the preceding paragraph about how implementation of new requirements will be treated is responsive to the concern.</P>

        <P>While the comments received did not provide persuasive reasons to abrogate or restrict the international travel reporting requirements as set forth in Part II.A of the proposed supplemental guidelines, in one respect the provisions regarding this requirement are modified in the final supplemental guidelines. The proposed supplemental guidelines noted that, as the international tracking system continues to develop, the SMART Office may issue additional directions to jurisdictions to notify certain agencies concerning international travel by sex offenders. Additional direction may also be needed concerning the specific information sex offenders should be required to provide in notifying their residence jurisdictions about intended international travel. This is so because obtaining the bare information that a registrant will be going somewhere outside of the United States at some time three weeks or more in the future may not be sufficient to achieve the objectives of the international tracking system—objectives that include reliably tracking sex offenders as they leave and return to the United States, and notifying as appropriate U.S. or foreign authorities in foreign countries to which sex offenders travel.<E T="03">See</E>73 FR at 38066-67. More specific information may be needed to realize these objectives, such as information concerning expected itinerary, departure and return dates, and means and purpose of travel.</P>
        <P>The final supplemental guidelines accordingly state that the SMART Office may issue additional directions concerning the information to be required in international travel notifications by sex offenders. To the extent that the SMART Office's exercise of the authority to flesh out the international tracking system results in new, more specific requirements relating to international travel reporting, the novelty of these requirements will be taken into account, as with other new requirements under SORNA as discussed above. The amount of time that has been available to carry out such requirements will be considered by the SMART Office in assessing substantial implementation and jurisdictions will be afforded a reasonable amount of time to carry them out.</P>
        <HD SOURCE="HD2">Domestic Interjurisdictional Tracking</HD>
        <P>Part II.B of the supplemental guidelines, relating to use of the SORNA Exchange Portal in domestic interjurisdictional sex offender tracking, was commented on favorably as improving and facilitating such tracking. There were also some general questions in the comments relating to use of the SORNA Exchange Portal and interjurisdictional notifications. As noted above, the SMART Office is available at all times to answer questions from jurisdictions regarding SORNA implementation and such questions should be addressed directly to the SMART Office.</P>
        <P>The second paragraph in Part II.B explains that regular use of the SORNA Exchange Portal is essential to effective interjurisdictional information sharing and sex offender tracking. In relation to these objectives, the wording of the final sentence in this paragraph in the proposed supplemental guidelines was unduly narrow, referring to use of the Portal to access messages from other jurisdictions but not to use of the Portal for other information sharing purposes required under SORNA. The sentence accordingly has been modified in the final supplemental guidelines to reference more generally use of the Portal in information sharing in conformity with guidance issued by the SMART Office.</P>
        <HD SOURCE="HD2">Acknowledgment Forms</HD>
        <P>Part II.C of these supplemental guidelines expands the range of required registration information to include the acknowledgment forms used to inform sex offenders of their registration obligations. Favorable comment was received on this change as facilitating the prosecution of sex offenders who violate those obligations.</P>
        <P>Other commenters were critical of this change on the ground that acknowledgment forms should be utilized to inform sex offenders of their registration obligations, rather than to prosecute them if they violate those obligations. However, there is no inconsistency in using the acknowledgment forms for both purposes. The forms both advise sex offenders of the registration requirements to which they are subject and can help to show that they were aware of those requirements in prosecutions for violations.</P>

        <P>Some commenters complained that the acknowledgment forms do not provide sufficient information, for example, because they only advise sex offenders of their registration obligations under state law and do not advise them of their registration obligations under SORNA. However, the SORNA standards require that sex offenders be informed of their duties under SORNA and that sex offenders be required to sign a form stating that the duty to register has been explained and understood. See 42 U.S.C. 16917(a); 73 FR at 38063. In jurisdictions that have implemented SORNA in their registration programs, the jurisdictions' registration laws and policies will encompass the SORNA requirements and sex offenders will be informed<PRTPAGE P="1635"/>concerning these requirements. In any event, regardless of what limitations there may be in the information currently provided in particular jurisdictions' acknowledgment forms, that does not weigh against requiring the inclusion of these forms in sex offenders' registration information. The forms do provide sex offenders with information concerning their registration obligations and may be useful in the prosecution of violations of those obligations by helping to establish that sex offenders were aware of the requirement to register.</P>
        <HD SOURCE="HD2">Ongoing Implementation Assurance</HD>

        <P>Some comments objected to the requirements of Part III of the supplemental guidelines, relating to “ongoing implementation assurance,” on the ground that they would unduly burden jurisdictions and would inappropriately require the state administering agencies for the Byrne Justice Assistance Grant program to certify the state's SORNA implementation status, though these agencies are not generally responsible for sex offender registration matters. These comments reflect misunderstandings of this part of the supplemental guidelines. The supplemental guidelines state that Byrne grantees will need to establish that their systems continue to meet the SORNA standards in connection with the annual grant application process because such continuing compliance is a condition of full Byrne Grant eligibility in each program year.<E T="03">See</E>42 U.S.C. 16925. This does not mean that the state agencies responsible for Byrne Grant matters must verify the status of SORNA implementation. Rather, states (and other jurisdictions that apply for Byrne Grants) may obtain information concerning ongoing implementation from their agencies that generally deal with the SMART Office on SORNA implementation matters and include the information with their Byrne Grant applications.</P>

        <P>The requirement appearing in Part III of the supplemental guidelines is not new in principle. SORNA was preceded by the original Federal law setting national standards for sex offender registration and notification, the Jacob Wetterling Crimes Against Children and Sexually Violent Offender Registration Act. The Attorney General's guidelines under the Wetterling Act similarly required an annual determination of continuing compliance with the national standards.<E T="03">See, e.g.,</E>64 FR 572, 587 (1999) (“After the reviewing authority has determined that a state is in compliance with the [Wetterling] Act, the state will be required as part of the Byrne Formula Grant application process in subsequent program years to certify that the state remains in compliance with the Act.”). Given the connection to eligibility for full Byrne Grant funding under both Acts, annual determinations of continuing compliance are as necessary under SORNA as they were under the predecessor law, and in neither case should this requirement be unduly burdensome for jurisdictions.</P>
        <HD SOURCE="HD2">Retroactive Classes</HD>
        <P>Many commenters approved of the change in Part IV of these supplemental guidelines. Part IV provides that it suffices for substantial implementation of SORNA, with respect to sex offenders reentering the justice system through subsequent (non-sex offense) criminal convictions, if registration of such offenders by jurisdictions is limited to cases in which the subsequent conviction is for a felony. However, some commenters proposed that the requirement to register sex offenders whose convictions predate SORNA or SORNA's implementation in particular jurisdictions should be further restricted or eliminated. The grounds urged for such further limitation included the following:</P>

        <P>Some commenters argued that requiring sex offenders who reenter the justice system through subsequent (non-sex offense) criminal convictions to register discriminates against sex offenders because non-sex offenders who reenter the justice system through subsequent (non-sex offense) criminal convictions are not subject to such a requirement. However, differences in the treatment of different classes of offenders are not intrinsically unfair and such differences are not unconstitutionally discriminatory where there is a rational basis for the distinction. See<E T="03">Chapman</E>v.<E T="03">United States,</E>500 U.S. 453, 465 (1991). Sex offender registration by its nature involves imposing certain requirements on sex offenders that are not applied to non-sex offenders. This is so regardless of whether registration requirements are imposed on sex offenders whose convictions occur after SORNA's enactment or its implementation or on sex offenders whose convictions occurred at earlier times.</P>
        <P>Some commenters claimed that the remaining retroactivity requirements under SORNA would, absent further changes, have anomalous and unwarranted effects on juvenile delinquent sex offenders. For example, some comments asserted that juveniles adjudicated delinquent for sex offenses committed when they were below the age of 14 will have to be registered if they have subsequent adult convictions for (non-sex offense) felonies, and some claimed that public notification will be required concerning persons qualifying as sex offenders on the basis of juvenile delinquency adjudications if they have subsequent adult convictions for (non-sex offense) felonies. These comments reflect misunderstandings of SORNA and its implementing guidelines. SORNA and the guidelines never require registration on the basis of juvenile delinquency adjudications except for adjudications for offenses comparable to aggravated sexual abuse (or related attempt or conspiracy) committed when the juvenile was at least 14 years old. Persons with juvenile adjudications not satisfying these criteria are not “sex offenders” as defined in SORNA and are not subject to SORNA's requirements at all. See 42 U.S.C. 16911(1), (8). Likewise, following the adoption of these supplemental guidelines, public disclosure or notification is never required under SORNA regarding persons whose predicate sex offense convictions are juvenile delinquency adjudications.</P>
        <P>Some comments pointed in this connection to the decision in<E T="03">United States</E>v.<E T="03">Juvenile Male,</E>590 F.3d 924 (9th Cir. 2010), which held that SORNA cannot constitutionally be applied to a sex offender on the basis of a Federal juvenile delinquency adjudication predating SORNA's enactment. However,<E T="03">Juvenile Male</E>is not binding precedent for Federal courts outside of the Ninth Circuit and not binding precedent for state courts anywhere. Considered on its own terms, the decision has no bearing on SORNA's application to sex offenders with adult convictions. The Department of Justice has sought review of the<E T="03">Juvenile Male</E>decision by the U.S. Supreme Court and, as a result, further proceedings in the case are pending before the U.S. Supreme Court and the Montana Supreme Court.<E T="03">See United States</E>v.<E T="03">Juvenile Male,</E>130 S.Ct. 2518 (2010). Considering the foregoing, there is no basis at this time for making changes in the implementing guidelines or rules for SORNA on the basis of the<E T="03">Juvenile Male</E>decision.</P>

        <P>Some commenters expressed the concern that the remaining retroactivity requirements under SORNA will unduly burden jurisdictions. However, under the SORNA Guidelines, it suffices for substantial implementation of SORNA if a jurisdiction registers sex offenders who remain in the justice system as prisoners, supervisees, or registrants, or who reenter the justice system through<PRTPAGE P="1636"/>a subsequent criminal conviction. The Guidelines note that such offenders are within the cognizance of the jurisdiction, and the jurisdiction will often have independent reasons to review their criminal histories for penal, correctional, or registration/notification purposes. See 73 FR at 38046. This point applies with greater force now that the covered class of “reentrants” who must be registered is limited to those with subsequent felony convictions, as provided in these supplemental guidelines.</P>

        <P>Various other features of SORNA and the SORNA Guidelines limit any resulting burden on jurisdictions. Jurisdictions are not required to register sex offenders in the retroactive classes whose SORNA registration periods have already run, and jurisdictions may credit such sex offenders with the time that has elapsed from their release (or from sentencing in case of a nonincarcerative sentence) in determining what, if any, remaining registration time is required, even if they have never actually been registered.<E T="03">See</E>73 FR at 38035-36, 38046-47. Jurisdictions may rely on their normal methods and standards for obtaining and reviewing criminal history information, and on the information available in the records obtained by such means, in ascertaining SORNA registration requirements for sex offenders in the retroactive classes. This point applies both in determining whether such sex offenders need to be registered at all and in determining the sex offender's “tier” for SORNA purposes.<E T="03">See</E>73 FR at 38043, 38064. In relation to sex offenders in the retroactive classes, there is no requirement that jurisdictions make special efforts to obtain records or information that would not turn up through the normal type of criminal history searches they conduct.</P>
        <P>In light of these considerations, the comments received do not persuasively establish that the public safety benefits of registering in conformity with SORNA sex offenders who remain in the justice system as prisoners, supervisees, or registrants, or who reenter through subsequent felony convictions, are outweighed by a resulting burden on jurisdictions.</P>
        <HD SOURCE="HD2">Newly Recognized Tribes</HD>
        <P>A number of favorable comments were received about affording newly recognized Indian tribes the option of becoming SORNA registration jurisdictions, as provided in Part V of these supplemental guidelines.</P>
        <P>Tribal commenters urged that additional matters under SORNA affecting the tribes should be addressed, including particularly the possibility of involuntary delegation of tribal registration functions to the states pursuant to 42 U.S.C. 16927(a)(2)(C), which permits such delegation if the Attorney General determines that a tribal jurisdiction has not substantially implemented SORNA and is not likely to become capable of doing so within a reasonable amount of time. The comments urged that such involuntary delegations should occur only as an absolute last resort and through a transparent process. Comments submitted on behalf of state jurisdictions also expressed concern about the resulting burden on states if they were required to assume responsibility for tribal registration functions based on the failure of a tribe or tribes to substantially implement SORNA.</P>
        <P>The Department of Justice and the SMART Office fully agree that involuntary delegation of tribal registration functions to the states should occur only as a last resort, if at all. The SORNA Guidelines state: “The Department of Justice hopes and expects * * * that the occurrence of such an involuntary delegation will never be necessary, given the strong interest of the tribes in effective registration and notification for sex offenders subject to their jurisdictions, and the priority that the SMART Office gives to working with all tribes and other jurisdictions to facilitate the implementation of SORNA's requirements in relation to tribal areas.” 73 FR at 38039. This matter is not addressed in these supplemental guidelines because the Department did not solicit public comment about it in the proposed supplemental guidelines and further input from the affected jurisdictions would be desirable prior to any articulation of more detailed standards or procedures for such delegations.</P>
        <P>Some additional tribal issues were raised in the comments, including the need for cooperative activities between the tribes that are not SORNA registration jurisdictions and the states in order to effect the registration of sex offenders within the jurisdiction of such tribes, and concern that law enforcement agencies in such tribes will not be adequately notified or informed concerning sex offenders in their territories. These issues were previously raised by tribal commenters in the public comments on the SORNA Guidelines and they are addressed at some length in those Guidelines. See 73 FR at 38039, 38049, 38060. The measures relating to these matters outlined in the Guidelines are integral elements of SORNA's implementation in relation to tribal areas and the SMART Office will continue to work with all tribes and state jurisdictions to ensure that they are effectively carried out.</P>
        <P>The Department of Justice and the SMART Office seek and welcome the counsel and views of Indian tribal governments and communities at all times and will continue to consult with them on SORNA implementation matters affecting the tribes in conformity with Executive Order 13175.</P>
        <HD SOURCE="HD1">Supplemental Guidelines for Sex Offender Registration and Notification</HD>
        <HD SOURCE="HD2">Contents</HD>
        <CONTENTS>
          <FP SOURCE="FP-2">I. Public Notification</FP>
        </CONTENTS>
        <EXTRACT>
          <FP SOURCE="FP1-2">A. Juvenile Delinquents</FP>
          <FP SOURCE="FP1-2">B. Internet Identifiers</FP>
          <FP SOURCE="FP-2">II. Interjurisdictional Tracking and Information Sharing</FP>
          <FP SOURCE="FP1-2">A. International Travel</FP>
          <FP SOURCE="FP1-2">B. Domestic Interjurisdictional Tracking</FP>
          <FP SOURCE="FP1-2">C. Acknowledgment Forms</FP>
        </EXTRACT>
        <CONTENTS>
          <FP SOURCE="FP-2">III. Ongoing Implementation Assurance</FP>
          <FP SOURCE="FP-2">IV. Retroactive Classes</FP>
          <FP SOURCE="FP-2">V. Newly Recognized Tribes</FP>
        </CONTENTS>
        <HD SOURCE="HD1">I. Public Notification</HD>
        <HD SOURCE="HD2">A. Juvenile Delinquents</HD>

        <P>SORNA includes as covered “sex offender[s]” juveniles at least 14 years old who are adjudicated delinquent for particularly serious sex offenses.<E T="03">See</E>42 U.S.C. 16911(1), (8). While the SORNA Guidelines endeavored to facilitate jurisdictions' compliance with this aspect of SORNA,<E T="03">see</E>73 FR at 38030, 38040-41, 38050, resistance by some jurisdictions to public disclosure of information about sex offenders in this class has continued to be one of the largest impediments to SORNA implementation.</P>
        <P>Hence, the Attorney General is exercising his authority under 42 U.S.C. 16918(c)(4) to create additional discretionary exemptions from public Web site disclosure to allow jurisdictions to exempt from public Web site disclosure information concerning sex offenders required to register on the basis of juvenile delinquency adjudications. This change creates a new discretionary, not mandatory, exemption from public Web site disclosure. It does not limit the discretion of jurisdictions to include information concerning sex offenders required to register on the basis of juvenile delinquency adjudications on their public Web sites if they so wish.</P>

        <P>The change regarding public Web site disclosure does not authorize treating sex offenders required to register on the basis of juvenile delinquency adjudications differently from sex<PRTPAGE P="1637"/>offenders with adult convictions in other respects. Whether a case involves a juvenile delinquency adjudication in the category covered by SORNA or an adult conviction, SORNA's registration requirements remain applicable,<E T="03">see</E>42 U.S.C. 16913-16, as do the requirements to transmit or make available registration information to the national (non-public) databases of sex offender information, to law enforcement and supervision agencies, and to registration authorities in other jurisdictions,<E T="03">see</E>73 FR at 38060.</P>

        <P>Jurisdictions are not required to provide registration information concerning sex offenders required to register on the basis of juvenile delinquency adjudications to the entities described in the SORNA Guidelines at 73 FR 38061,<E T="03">i.e.,</E>certain school, public housing, social service, and volunteer entities, and other organizations, companies, or individuals who request notification. This reflects an exercise of the Attorney General's authority to create exceptions to required information disclosure under 42 U.S.C. 16921(b). Accordingly, if a jurisdiction decides not to include information on a juvenile delinquent sex offender on its public Web site, as is allowed by these supplemental guidelines, information on the sex offender does not have to be disclosed to these entities.</P>
        <HD SOURCE="HD2">B. Internet Identifiers</HD>

        <P>The KIDS Act, which was enacted in 2008, directed the Attorney General to utilize pre-existing legal authorities under SORNA to adopt certain measures relating to sex offenders' “Internet identifiers,” defined to mean e-mail addresses and other designations used for self-identification or routing in Internet communication or posting. The KIDS Act requires the Attorney General to (i) include appropriate Internet identifier information in the registration information sex offenders are required to provide, (ii) specify the time and manner for keeping that information current, (iii) exempt such information from public Web site posting, and (iv) ensure that procedures are in place to notify sex offenders of resulting obligations.<E T="03">See</E>42 U.S.C. 16915a.</P>

        <P>The SORNA Guidelines incorporate requirements (i)-(ii) and (iv), as described above.<E T="03">See</E>73 FR at 38055 (Internet identifiers to be included in registration information), 38066 (reporting of changes in Internet identifiers), 38063-65 (notifying sex offenders of SORNA requirements). However, while the Guidelines discouraged the inclusion of sex offenders' Internet identifiers on the public Web sites, they did not adopt a mandatory exclusion of this information from public Web site posting, which the KIDS Act now requires.<E T="03">See</E>42 U.S.C. 16915a(c); 73 FR at 38059-60.</P>
        <P>The authority under 42 U.S.C. 16918(b)(4) to create additional mandatory exemptions from public Web site disclosure is accordingly exercised to exempt sex offenders' Internet identifiers from public Web site posting. This means that jurisdictions cannot, consistent with SORNA, include sex offenders' Internet identifiers (such as e-mail addresses) in the sex offenders' public Web site postings or otherwise list or post sex offenders' Internet identifiers on the public sex offender Web sites.</P>

        <P>This change does not limit jurisdictions' retention and use of sex offenders' Internet identifier information for purposes other than public disclosure, including submission of the information to the national (non-public) databases of sex offender information, sharing of the information with law enforcement and supervision agencies, and sharing of the information with registration authorities in other jurisdictions.<E T="03">See</E>73 FR at 38060. The change also does not limit the discretion of jurisdictions to include on their public Web sites functions by which members of the public can ascertain whether a specified e-mail address or other Internet identifier is reported as that of a registered sex offender,<E T="03">see id.</E>at 38059-60, or to disclose Internet identifier information to any one by means other than public Web site posting.</P>

        <P>The exemption of sex offenders' Internet identifiers from public Web site disclosure does not override or limit the requirement that sex offenders' names, including any aliases, be included in their public Web site postings.<E T="03">See</E>73 FR at 38059. A sex offender's use of his name or an alias to identify himself or for other purposes in Internet communications or postings does not exempt the name or alias from public Web site disclosure.</P>
        <HD SOURCE="HD1">II. Interjurisdictional Tracking and Information Sharing</HD>
        <HD SOURCE="HD2">A. International Travel</HD>

        <P>Certain features of SORNA and the SORNA Guidelines require the Department of Justice, in conjunction with other Federal agencies, to develop reliable means for identifying and tracking sex offenders who enter or leave the United States.<E T="03">See</E>42 U.S.C. 16928; 73 FR at 38066-67. To that end, the Guidelines provide that sex offenders must be required to inform their residence jurisdictions if they intend to commence residence, employment, or school attendance outside of the United States, and that jurisdictions that are so informed must notify the U.S. Marshals Service and update the sex offender's registration information in the national databases.<E T="03">See</E>73 FR at 38067. (Regarding the general requirement to provide registration information for inclusion in the National Sex Offender Registry and other appropriate databases at the national level,<E T="03">see</E>42 U.S.C. 16921(b)(1); 73 FR at 38060.) In addition, the Guidelines provide that sex offenders must be required to inform their residence jurisdictions about lodging at places away from their residences for seven days or more, regardless of whether that results from domestic or international travel. See 73 FR at 38056, 38066.</P>
        <P>Since the issuance of the Guidelines, the SMART Office has continued to work with other agencies of the Department of Justice, the Department of Homeland Security, the Department of State, and the Department of Defense on the development of a system for consistently identifying and tracking sex offenders who engage in international travel. Although, as noted, the current Guidelines require reporting of international travel information in certain circumstances, the existing requirements are not sufficient to provide the information needed for tracking such travel consistently.</P>

        <P>The authority under 42 U.S.C. 16914(a)(7) to expand the range of required registration information is accordingly exercised to provide that registrants must be required to inform their residence jurisdictions of intended travel outside of the United States at least 21 days in advance of such travel. Pursuant to 42 U.S.C. 16921(b), jurisdictions so informed must provide the international travel information to the U.S. Marshals Service, and must transmit or make available that information to national databases, law enforcement and supervision agencies, and other jurisdictions as provided in the Guidelines.<E T="03">See</E>73 FR at 38060. Jurisdictions need not disclose international travel information to the entities described in the SORNA Guidelines at 73 FR 38061—<E T="03">i.e.,</E>certain school, public housing, social service, and volunteer entities, and other organizations, companies, or individuals who request notification.<E T="03">See</E>42 U.S.C. 16921(b). As the international tracking system continues to develop, the SMART Office may issue additional directions to jurisdictions to provide notification concerning<PRTPAGE P="1638"/>international travel by sex offenders, such as notice to Interpol, or notice to Department of Defense agencies concerning sex offenders who may live on U.S. military bases abroad. Likewise, the SMART Office may issue additional directions to jurisdictions concerning the information to be required in sex offenders' reports of intended international travel, such as information concerning expected itinerary, departure and return dates, and means and purpose of travel.</P>
        <P>While notice of international travel will generally be required as described above, it is recognized that requiring 21 days advance notice may occasionally be unnecessary or inappropriate. For example, a sex offender may need to travel abroad unexpectedly because of a family or work emergency. Or separate advance notice of intended international trips may be unworkable and pointlessly burdensome for a sex offender who lives in a northern border state and commutes to Canada for work on a daily basis. Jurisdictions that wish to accommodate such situations should include information about their policies or practices in this area in their submissions to the SMART Office and the SMART Office will determine whether they adequately serve SORNA's international tracking objectives.</P>
        <HD SOURCE="HD2">B. Domestic Interjurisdictional Tracking</HD>

        <P>SORNA and the SORNA Guidelines require interjurisdictional sharing of registration information in various contexts and SORNA directs the Attorney General, in consultation with the jurisdictions, to develop and support software facilitating the immediate exchange of information among jurisdictions.<E T="03">See</E>42 U.S.C. 16913(c), 16919(b), 16921(b)(3), 16923; 73 FR at 38047, 38062-68. The SMART Office accordingly has created and maintains the SORNA Exchange Portal, which enables the immediate exchange of information about registered sex offenders among the jurisdictions.</P>
        <P>Regular use of this tool is essential to ensuring that information is reliably shared among jurisdictions and that interjurisdictional tracking of sex offenders occurs consistently and effectively as SORNA contemplates. For example, if a jurisdiction sends notice that a sex offender has reported an intention to change his residence to another jurisdiction, but the destination jurisdiction fails to access the notice promptly, the sex offender's failure to appear or register in the destination jurisdiction may go unnoticed or detection of the violation may be delayed. Accordingly, as a necessary part of SORNA implementation, jurisdictions must use the SORNA Exchange Portal in their information sharing regarding sex offenders in conformity with any guidance issued by the SMART Office on use of the Portal.</P>
        <P>Technological improvements may facilitate the creation of new tools that may eventually replace the existing SORNA Exchange Portal. If that occurs, the SMART Office may issue directions to jurisdictions concerning the use of these new tools that jurisdictions will need to follow to be approved as substantially implementing SORNA.</P>
        <HD SOURCE="HD2">C. Acknowledgment Forms</HD>

        <P>SORNA provides that sex offenders are to be informed of their registration obligations and required to sign acknowledgments that this information has been provided upon their initial registration.<E T="03">See</E>42 U.S.C. 16917. Even before the enactment of SORNA, similar requirements were included in the predecessor national standards for sex offender registration and notification of the Jacob Wetterling Crimes Against Children and Sexually Violent Offender Registration Act (42 U.S.C. 14071(b)(1)(A), prior to its repeal by SORNA).</P>

        <P>SORNA requires jurisdictions to provide criminal penalties for sex offenders who fail to comply with SORNA's requirements,<E T="03">see</E>42 U.S.C. 16913(e), and Federal criminal liability is authorized for sex offenders who knowingly fail to register or update a registration as required by SORNA under circumstances supporting Federal jurisdiction, see 18 U.S.C. 2250. Successful prosecution of sex offenders for registration violations under these provisions may require proof that they were aware of a requirement to register.</P>
        <P>The acknowledgment forms signed by sex offenders regarding their registration obligations are likely to be the most consistently available and definitive proof of such knowledge. Including these forms in registration information will make them readily available in the jurisdictions in which sex offenders are initially registered, and will make them available to other jurisdictions pursuant to the provisions of SORNA and the Guidelines for transmission of registration information to other jurisdictions. See 42 U.S.C. 16921(b)(3); 73 FR at 38060.</P>

        <P>The authority under 42 U.S.C. 16914(b)(8) to expand the range of required registration information is accordingly exercised to require that sex offenders' signed acknowledgment forms be included in their registration information. The existing Guidelines already provide that acknowledgment forms covering the SORNA requirements are to be obtained from registrants as part of the SORNA implementation process and thereafter.<E T="03">See</E>73 FR at 38063-65. As with other forms of documentary registration information, the inclusion of these forms in registration information can be effected by scanning the forms and including the resulting electronic documents in the registry databases or by including links or information that provides access to other databases in which the signed acknowledgments are available in electronic form.<E T="03">See</E>73 FR at 38055.</P>
        <HD SOURCE="HD1">III. Ongoing Implementation Assurance</HD>

        <P>The SORNA Guidelines explain that the SMART Office will determine whether jurisdictions have substantially implemented the SORNA requirements in their programs and that jurisdictions are to provide submissions to the SMART Office to facilitate this determination.<E T="03">See</E>42 U.S.C. 16924-25; 73 FR at 38047-48.</P>

        <P>SORNA itself and the Guidelines assume throughout that jurisdictions must implement SORNA in practice, not just on paper, and the Guidelines provide many directions and suggestions for putting the SORNA standards into effect.<E T="03">See, e.g.,</E>42 U.S.C. 16911(9), 16912(a), 16913(c), 16914(b), 16917, 16918, 16921(b), 16922; 73 FR at 38059-61, 38063-70. The Department of Justice and the SMART Office are making available to jurisdictions a wide range of practical aids to SORNA implementation, including software and communication systems to facilitate the exchange of sex offender information among jurisdictions and other technology and documentary tools.<E T="03">See</E>42 U.S.C. 16923; 73 FR at 38031-32, 38047.</P>

        <P>Hence, implementation of SORNA is not just a matter of adopting laws or rules that facially direct the performance of the measures required by SORNA. It entails actually carrying out those measures and, as noted, various forms of guidance and assistance have been provided to that end. Accordingly, in reviewing jurisdictions' requests for approval as having substantially implemented SORNA, the SMART Office will not be limited to facial examination of registration laws and policies, but rather will undertake such inquiry as is needed to ensure that jurisdictions are substantially implementing SORNA's requirements in practice. Jurisdictions can facilitate approval of their systems by including in their submissions to the SMART Office information concerning practical implementation measures and mechanisms, in addition to relevant<PRTPAGE P="1639"/>laws and rules, such as policy and procedure manuals, description of infrastructure and technology resources, and information about personnel and budgetary measures relating to the operation of the jurisdiction's registration and notification system. The SMART Office may require jurisdictions to provide additional information, beyond that proffered in their submissions, as needed for a determination.</P>
        <P>Jurisdictions that have substantially implemented SORNA have a continuing obligation to maintain their system's consistency with current SORNA standards. Those that are grantees under the Byrne Justice Assistance Grant program will be required in connection with the annual grant application process to establish that their systems continue to meet SORNA standards. This will entail providing information as directed by the SMART Office, in addition to the information otherwise included in Byrne Grant applications, so that the SMART Office can verify continuing implementation. Jurisdictions that do not apply for Byrne Grants will also be required to demonstrate periodically that their systems continue to meet SORNA standards as directed by the SMART Office, and to provide such information as the SMART Office may require to make this determination.</P>
        <P>If a jurisdiction's Byrne Justice Assistance Grant funding is reduced because of non-implementation of SORNA, it may regain eligibility for full funding in later program years by substantially implementing SORNA in such later years. The SMART Office will continue to work with all jurisdictions to ensure substantial implementation of SORNA and verify that they continue to meet the requirements of SORNA on an ongoing basis.</P>
        <HD SOURCE="HD1">IV. Retroactive Classes</HD>

        <P>SORNA's requirements apply to all sex offenders, regardless of when they were convicted.<E T="03">See</E>28 CFR 72.3. However, the SORNA Guidelines state that it will be deemed sufficient for substantial implementation if jurisdictions register sex offenders with pre-SORNA or pre-SORNA-implementation sex offense convictions who remain in the system as prisoners, supervisees, or registrants, or who reenter the system through a subsequent criminal conviction.<E T="03">See</E>73 FR at 38035-36, 38043, 38046-47, 38063-64. This feature of the Guidelines reflects an assumption that it may not be possible for jurisdictions to identify and register all sex offenders who fall within the SORNA registration categories, particularly where they have left the justice system and merged into the general population long ago, but that it will be feasible for jurisdictions to do so in relation to sex offenders who remain in the justice system or reenter it through a subsequent criminal conviction.<E T="03">See</E>73 FR at 38046.</P>
        <P>Experience supports a qualification of this assumption in relation to sex offenders who have fully exited the justice system but later reenter it through a subsequent criminal conviction for a non-sex offense that is relatively minor in character. (Where the subsequent conviction is for a sex offense it independently requires registration under SORNA.) In many jurisdictions the volume of misdemeanor prosecutions is large and most such cases may need to be disposed of in a manner that leaves little time or opportunity for examining the defendant's criminal history and ascertaining whether it contains some past sex offense conviction that would entail a present registration requirement under SORNA. In contrast, where the subsequent offense is a serious crime, ordinary practice is likely to involve closer scrutiny of the defendant's past criminal conduct, and ascertaining whether it includes a prior conviction requiring registration under SORNA should not entail an onerous new burden on jurisdictions.</P>
        <P>These supplemental guidelines accordingly are modifying the requirements for substantial implementation of SORNA in relation to sex offenders who have fully exited the justice system, i.e., those who are no longer prisoners, supervisees, or registrants. It will be sufficient if a jurisdiction registers such offenders who reenter the system through a subsequent criminal conviction in cases in which the subsequent criminal conviction is for a felony, i.e., for an offense for which the statutory maximum penalty exceeds a year of imprisonment. This allowance is limited to cases in which the subsequent conviction is for a non-sex offense. As noted above, a later conviction for a sex offense independently requires registration under SORNA, regardless of whether it is a felony or a misdemeanor.</P>
        <P>This allowance only establishes the minimum required for substantial implementation of SORNA in this context. Jurisdictions remain free to look more broadly and to establish systems to identify and register sex offenders who reenter the justice system through misdemeanor convictions, or even those who do not reenter the system through later criminal convictions but fall within the registration categories of SORNA or the jurisdiction's registration law.</P>
        <HD SOURCE="HD1">V. Newly Recognized Tribes</HD>

        <P>SORNA affords eligible federally-recognized Indian tribes a one-year period, running from the date of SORNA's enactment on July 27, 2006, to elect whether to become SORNA registration jurisdictions or to delegate their registration functions to the states within which they are located.<E T="03">See</E>42 U.S.C. 16927(a)(1), (2)(B); 73 FR at 38049-50. In principle there is no reason why an Indian tribe that initially receives recognition by the Federal government following the enactment of SORNA should be treated differently for SORNA purposes from other federally recognized tribes. But if such a tribe is initially recognized more than a year after the enactment of SORNA, then the limitation period of § 16927 will have passed before the tribe became the kind of entity (a federally recognized tribe) that may be eligible to become a SORNA registration jurisdiction.</P>

        <P>Where the normal starting point of a statutory time limit for taking an action cannot sensibly be applied to a certain entity, statutes have been construed in some circumstances to allow the entity a reasonable amount of time to take the action.<E T="03">See Chicago &amp; Alton R.R. Co.</E>v.<E T="03">Tranbarger,</E>238 U.S. 67, 73-74 (1915).</P>

        <P>This principle will be applied to 42 U.S.C. 16927 to allow Indian tribes that receive Federal recognition following the enactment of SORNA a reasonable amount of time to elect whether to become SORNA registration jurisdictions as provided in that section, and to allow such tribes a reasonable amount of time for substantial implementation of SORNA if they elect to be SORNA registration jurisdictions. In assessing what constitutes a reasonable amount of time for these purposes, the Department of Justice will look to the amount of time SORNA generally affords for tribal elections and for jurisdictions' implementation of the SORNA requirements. Hence, a tribe receiving Federal recognition after SORNA's enactment that otherwise qualifies to make the election under § 16927(a) will be afforded a period of one year to make the election, running from the date of the tribe's recognition or the date of publication of these supplemental guidelines, whichever is later. Likewise, such a tribe will be afforded a period of three years for SORNA implementation, running from the same starting point, subject to up to two possible one-year extensions.<E T="03">See</E>42 U.S.C. 16924.</P>
        <SIG>
          <PRTPAGE P="1640"/>
          <DATED>Dated: January 7, 2011.</DATED>
          <NAME>Eric H. Holder, Jr.,</NAME>
          <TITLE>Attorney General.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-505 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4410-18-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBAGY>Bureau of Alcohol, Tobacco, Firearms, and Explosives</SUBAGY>
        <DEPDOC>[OMB Number 1140-0098]</DEPDOC>
        <SUBJECT>Agency Information Collection Activities: Proposed Collection; Comments Requested</SUBJECT>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>30-Day Notice of Information Collection Under Review: Prevent All Cigarette Trafficking (PACT) Act Registration Form.</P>
        </ACT>

        <P>The Department of Justice (DOJ), Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) 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. The proposed information collection is published to obtain comments from the public and affected agencies. This proposed information collection was previously published in the<E T="04">Federal Register</E>Volume 75, Number 210, page 67119 on November 1, 2010, allowing for a 60-day comment period.</P>
        <P>The purpose of this notice is to allow for an additional 30 days for public comment until February 10, 2011. This process is conducted in accordance with 5 CFR 1320.10.</P>

        <P>Written comments and/or suggestions regarding the items contained in this notice, especially the estimated public burden and associated response time, should be directed to the Office of Management and Budget. To ensure that comments on the information collection are received, OMB recommends that written comments be faxed to the Office of Information and Regulatory Affairs, OMB,<E T="03">Attn:</E>DOJ Desk Officer,<E T="03">Fax:</E>202-395-7285, or e-mailed to<E T="03">oira_submission@omb.eop.gov.</E>All comments should be identified with the OMB control number [1140-XXXX]. Also include the DOJ docket number found in brackets in the heading of this document.</P>
        <P>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:</P>
        
        <FP SOURCE="FP-1">—Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;</FP>
        <FP SOURCE="FP-1">—Evaluate the accuracy of the agencies estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;</FP>
        <FP SOURCE="FP-1">—Enhance the quality, utility, and clarity of the information to be collected; and</FP>

        <FP SOURCE="FP-1">—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,<E T="03">e.g.,</E>permitting electronic submission of responses.</FP>
        <HD SOURCE="HD1">Overview of This Information Collection</HD>
        <P>(1)<E T="03">Type of Information Collection:</E>Extension of a currently approved collection.</P>
        <P>(2)<E T="03">Title of the Form/Collection:</E>Prevent All Cigarette Trafficking (PACT) Act Registration Form.</P>
        <P>(3)<E T="03">Agency form number, if any, and the applicable component of the Department of Justice sponsoring the collection:</E>Form Number: ATF F 5070.1. Bureau of Alcohol, Tobacco, Firearms and Explosives.</P>
        <P>(4)<E T="03">Affected public who will be asked or required to respond, as well as a brief abstract: Primary:</E>Business or For-Profit.<E T="03">Other:</E>None.<E T="03">Abstract:</E>The purpose of this information collection is to register delivery sellers of cigarettes and/or smokeless tobacco products with the Attorney General in order to continue to sell and/or advertise these tobacco products. Respondents will register the information on ATF F 5070.1.</P>
        <P>(5)<E T="03">An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond:</E>There will be an estimated 3,000 respondents, who will take 1 hour to complete the form.</P>
        <P>(6)<E T="03">An estimate of the total burden (in hours) associated with the collection:</E>There are an estimated 3,000 total burden hours associated with this collection.</P>
        <P>If additional information is required contact: Lynn Murray, Department Clearance Officer, United States Department of Justice, Policy and Planning Staff, Justice Management Division, Two Constitution Square, Room 2E-502, 145 N Street, NE., Washington, DC 20530.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Lynn Murray,</NAME>
          <TITLE>Department Clearance Officer, PRA, United States Department of Justice.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-388 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4810-FY-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBAGY>Office of Justice Programs</SUBAGY>
        <DEPDOC>[OJP (BJA) Docket No. 1542]</DEPDOC>
        <SUBJECT>Establishment of the Office of Justice Programs' Science Advisory Board</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Office of Justice Programs (OJP), Justice.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of establishment of federal advisory committee.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The OJP Science Advisory Board is being established in accordance with the provisions of the Federal Advisory Committee Act (FACA), as amended, 5 U.S.C., App. 2. The OJP Science Advisory Board will provide OJP, a component of the Department of Justice, with valuable advice in the areas of social science and statistics for the purpose of enhancing the overall impact and performance of its programs and activities in criminal and juvenile justice. The Board will provide input into developing long-range plans, advise on program development, and provide guidance to ensure adherence to the highest levels of scientific rigor, as appropriate. The Board will provide an important base of contact with the criminal justice academic and practitioner communities, and is necessary and in the public interest. The Board's Charter is subject to renewal and will expire two years from its filing. The OJP Science Advisory Board is continuing in nature, to remain functional until the Attorney General determines that all necessary duties have been performed.</P>
        </SUM>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Marlene Beckman, Designated Federal Officer (DFO), Office of the Assistant Attorney General, Office of Justice Programs, 810 7th Street Northwest, Washington, DC 20531; Phone: (202) 616-3562 [<E T="04">Note:</E>this is not a toll-free number]; E-mail:<E T="03">marlene.beckman@usdoj.gov.</E>
          </P>
          <SIG>
            <DATED>Dated: January 5, 2011.</DATED>
            <NAME>Marlene Beckman,</NAME>
            <TITLE>Counsel and SAB DFO, Office of the Assistant Attorney General, Office of Justice Programs.</TITLE>
          </SIG>
        </FURINF>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-290 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4410-18-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1641"/>
        <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBAGY>Office of Justice Programs</SUBAGY>
        <DEPDOC>[OJP (OJP) Docket No. 1543]</DEPDOC>
        <SUBJECT>Meeting of the Office of Justice Programs' Science Advisory Board</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Office of Justice Programs (OJP), Justice.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of meeting.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This is an announcement of the first meeting of OJP's Science Advisory Board (“Board”). The Board is chartered to provide OJP, a component of the Department of Justice, with valuable advice in the areas of social science and statistics for the purpose of enhancing the overall impact and performance of its programs and activities in criminal and juvenile justice. The Board will provide input into developing long-range plans, advise on program development, and provide guidance to ensure adherence to the highest levels of scientific rigor, as appropriate. The Board will provide an important base of contact with the criminal justice academic and practitioner communities.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The meeting will take place on Friday, January 28, 2011, from 10 a.m. to 4 p.m. ET.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>The meeting will take place at OJP's offices at 810 7th Street, NW., Washington, DC.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Marlene Beckman, Designated Federal Officer (DFO), Office of the Assistant Attorney General, Office of Justice Programs, 810 7th Street Northwest, Washington, DC 20531; Phone: (202) 616-3562 [<E T="04">Note:</E>this is not a toll-free number]; E-mail:<E T="03">marlene.beckman@usdoj.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>This inaugural meeting is being convened to brief the Board members about OJP's mission and goals, and discuss how their advice in the areas of social science and statistics can enhance the overall impact and performance of OJP's activities and programs in criminal and juvenile justice. The final agenda is subject to adjustment, but it is anticipated that there will be a morning and afternoon session, with a break for lunch. The morning session will likely include welcoming remarks and introductions, a review of the Board's Charter and By-Laws, a review of ethics rules applicable to the Board's activities, and briefings from OJP bureaus and program offices. The afternoon session will likely include a briefing on OJP's Evidence Integration Initiative and a discussion of the Board's role and priorities.</P>
        <P>This meeting is open to the public. Members of the public who wish to attend this meeting must register with Marlene Beckman at the above address at least seven (7) days in advance of the meeting. Registrations will be accepted on a space available basis. Access to the meeting will not be allowed without registration. Please bring photo identification and allow extra time prior to the meeting. Persons interested in communicating with the Board should submit their written comments to the DFO, as the time available will not allow the public to directly address the Board at the meeting. Anyone requiring special accommodations should notify Ms. Beckman at least seven (7) days in advance of the meeting.</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Marlene Beckman,</NAME>
          <TITLE>Counsel and SAB DFO, Office of the Assistant Attorney General, Office of Justice Programs.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-287 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4410-18-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
        <SUBAGY>Office of Justice Programs</SUBAGY>
        <SUBAGY>Office for Victims of Crime</SUBAGY>
        <DEPDOC>[OMB Number 1121-0114]</DEPDOC>
        <SUBJECT>Agency Information Collection Activities: Proposed Collection; Comments Requested</SUBJECT>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>30-Day Notice of Information Collection Under Review; Extension of a Currently Approved Collection; Victims of Crime Act, Victim Compensation Grant Program, State Performance Report.</P>
        </ACT>

        <P>The Department of Justice (DOJ), Office of Justice Programs (OJP), Office for Victims of Crime (OVC), 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. The proposed information collection is published to obtain comments from the public and affected agencies. This proposed information collection was previously published in the<E T="04">Federal Register</E>Volume 75, Number 210 page 67116 on November 1, 2010, allowing for a 60 day comment period.</P>
        <P>The purpose of this notice is to allow for an additional 30 days for public comment until February 10, 2011. This process is conducted in accordance with 5 CFR 1320.10. Written comments and/or suggestions regarding the items contained in this notice, especially the estimated public burden and associated response time, should be directed to The Office of Management and Budget, Office of Information and Regulatory Affairs, Attention Department of Justice Desk Officer, Washington, DC 20503. Additionally, comments may be submitted to OMB via facsimile to (202) 395-5806. 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:</P>
        <P>—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;</P>
        <P>—Evaluate the accuracy of the agencies estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;</P>
        <P>—Enhance the quality, utility, and clarity of the information to be collected; and</P>

        <P>—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,<E T="03">e.g.,</E>permitting electronic submission of responses.</P>
        <HD SOURCE="HD1">Overview of This Information Collection</HD>
        <P>(1)<E T="03">Type of Information Collection:</E>Extension of a currently approved collection.</P>
        <P>(2)<E T="03">Title of the Form/Collection:</E>Victims of Crime Act, Victim Compensation Grant Program, State Performance Report.</P>
        <P>(3)<E T="03">Agency form number, if any, and the applicable component of the Department sponsoring the collection:</E>Form Number: 1121-0114. Office for Victims of Crime, Office of Justice Programs, Department of Justice.</P>
        <P>(4)<E T="03">Affected public who will be asked or required to respond, as well as a brief abstract: Primary:</E>State Government. The form is used by State Government to submit Annual Performance Report data about claims for victim compensation.</P>
        <P>(5)<E T="03">An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond:</E>It is estimated that 53 respondents will complete the form within 2 hours.<PRTPAGE P="1642"/>
        </P>
        <P>(6)<E T="03">An estimate of the total public burden (in hours) associated with the collection:</E>There are an estimated 106 total annual burden hours associated with this collection.</P>
        <P>If additional information is required contact: Lynn Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street, NE., Suite 2E-502, Washington, DC 20530.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Lynn Murray,</NAME>
          <TITLE>Department Clearance Officer, PRA, U.S. Department of Justice.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-389 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4410-18-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF LABOR</AGENCY>
        <SUBAGY>Mine Safety and Health Administration</SUBAGY>
        <SUBJECT>State's Mine Health and Safety Grants</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Mine Safety and Health Administration, Labor.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of posting of the Solicitation for Grant Applications for the Fiscal Year 2011 State grant program.</P>
        </ACT>
        <P>
          <E T="03">Announcement Type:</E>New.</P>
        <P>
          <E T="03">Funding Opportunity Number:</E>MSHA2011-1.</P>
        <P>
          <E T="03">Catalog of Federal Domestic Assistance (CFDA) Number:</E>17.600.</P>
        
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>The United States Department of Labor, Mine Safety and Health Administration (MSHA), has posted its solicitation for grant applications (SGA) for the States grant program on<E T="03">http://www.grants.gov.</E>The SGA contains all of the necessary information needed to apply for grant funding.</P>
          <P>Applicants for these grants are States or State-designated entities. The purpose of these grants is to improve and secure safe and healthy workplaces for U.S. miners. The final amount of each individual grant will be determined by the formula in Section 503(h) of the Federal Mine Safety and Health Act of 1977 (30 U.S.C. 953(h)) and MSHA's final Fiscal Year 2011 appropriation. Application should be submitted at this time. The closing date for applications will be July 1, 2011.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>All applications must be received by Midnight Eastern Daylight Savings Time on July 1, 2011.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Robert Glatter at<E T="03">glatter.robert@dol.gov,</E>at 202-693-9570 (voice), or 202-693-9571 (facsimile) or Darrell Cooper at<E T="03">cooper.darrell@dol.gov,</E>202-693-9831. These are not toll-free numbers.</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>30 U.S.C. 953.</P>
          </AUTH>
          <SIG>
            <DATED>Dated: December 17, 2010.</DATED>
            <NAME>Joseph A. Main,</NAME>
            <TITLE>Assistant Secretary of Labor for Mine Safety and Health.</TITLE>
          </SIG>
        </FURINF>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-268 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4510-43-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">LEGAL SERVICES CORPORATION</AGENCY>
        <SUBJECT>Notice of Availability of Calendar Year 2011 Competitive Grant Funds</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Legal Services Corporation.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Solicitation for Proposals for the Provision of Civil Legal Services in Louisiana for service area LA-1.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Legal Services Corporation (LSC) is the national organization charged with administering Federal funds provided for civil legal services to low-income people. LSC hereby announces the availability of competitive grant funds for the provision of a full range of civil legal services to eligible clients in Louisiana for service area LA-1. Grants will be awarded on or around June 2011. The estimated annualized grant amount for service area LA-1 in Louisiana is: $1,629,216. Service area LA-1 comprises the following parishes/counties in Louisiana: Ascension Parish, Assumption Parish, East Baton Rouge Parish, East Feliciana Parish, Iberville Parish, Lafourche Parish, Pointe Coupee Parish, St. James Parish, St. John the Baptist Parish, Terrebonne Parish, West Baton Rouge Parish, and West Feliciana Parish.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>See<E T="02">SUPPLEMENTARY INFORMATION</E>section for grants competition dates.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Legal Services Corporation—Competitive Grants, 3333 K Street, NW., Third Floor, Washington, DC 20007-3522.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Reginald Haley, Office of Program Performance, 202.295.1545.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>The Request for Proposals (RFP) is available at<E T="03">http://www.grants.lsc.gov.</E>Once at the Web site, click on FY 2011 Request for Proposals Narrative Instruction to access the RFP and other information pertaining to the LSC competitive grants process. Refer to the RFP for instructions on preparing the grant proposal; the regulations and guidelines governing LSC funding; the definition of a full range of legal services; and grant proposal submission requirements.</P>
        <P>Applicants must file a Notice of Intent to Compete (NIC; RFP Form-H) to participate in the competitive grants process. The deadline for filing the NIC is February 7, 2011, 5 p.m. E.D.T. The deadline for filing grant proposals is March 14, 2011, 5 p.m. E.D.T. The dates shown in this notice for filing the NIC and the grant proposals supersede the dates in the RFP. All other instructions, regulations, guidelines, definitions, and grant proposal submission requirements remain in effect unless otherwise noted.</P>
        <P>The following persons, groups, and entities are qualified Applicants who may submit a NIC and a grant proposal to participate in the competitive grants process: (1) Current recipients of LSC grants; (2) non-profit organizations that have as a purpose the provision of legal assistance to eligible clients; (3) private attorneys, groups of attorneys or law firms; (4) state or local governments; and (5) sub-state regional planning and coordination agencies that are composed of sub-state areas and whose governing boards are controlled by locally elected officials.</P>

        <P>LSC will not fax the RFP to interested parties. Interested parties are asked to visit<E T="03">http://www.grants.lsc.gov</E>regularly for updates and correction notices pertaining to the LSC competitive grants process.</P>
        <SIG>
          <DATED>Dated: January 5, 2011.</DATED>
          <NAME>Janet LaBella,</NAME>
          <TITLE>Director, Office of Program Performance, Legal Services Corporation.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-278 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 7050-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">NATIONAL ARCHIVES AND RECORDS ADMINISTRATION</AGENCY>
        <SUBJECT>Records Schedules; Availability and Request for Comments</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>National Archives and Records Administration (NARA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of Availability of proposed records schedules; request for comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>The National Archives and Records Administration (NARA) publishes notice at least once monthly of certain Federal agency requests for records disposition authority (records schedules). Once approved by NARA, records schedules provide mandatory instructions on what happens to records when no longer needed for current Government business. They authorize the preservation of records of continuing value in the National Archives of the United States and the destruction, after a specified period, of records lacking administrative, legal, research, or other value. Notice is published for records schedules in which agencies propose to destroy records not previously authorized for<PRTPAGE P="1643"/>disposal or reduce the retention period of records already authorized for disposal. NARA invites public comments on such records schedules, as required by 44 U.S.C. 3303a(a).</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Requests for copies must be received in writing on or before February 10, 2011. Once the appraisal of the records is completed, NARA will send a copy of the schedule. NARA staff usually prepare appraisal memorandums that contain additional information concerning the records covered by a proposed schedule. These, too, may be requested and will be provided once the appraisal is completed. Requesters will be given 30 days to submit comments.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may request a copy of any records schedule identified in this notice by contacting the Life Cycle Management Division (NWML) using one of the following means:</P>
          <P>
            <E T="03">Mail:</E>NARA (NWML), 8601 Adelphi Road, College Park, MD 20740-6001.</P>
          <P>
            <E T="03">E-mail: request.schedule@nara.gov.</E>
          </P>
          <P>
            <E T="03">FAX:</E>301-837-3698</P>
          <P>Requesters must cite the control number, which appears in parentheses after the name of the agency which submitted the schedule, and must provide a mailing address. Those who desire appraisal reports should so indicate in their request.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Laurence Brewer, Director, Life Cycle Management Division (NWML), National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. Telephone: 301-837-1539. E-mail:<E T="03">records.mgt@nara.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Each year Federal agencies create billions of records on paper, film, magnetic tape, and other media. To control this accumulation, agency records managers prepare schedules proposing retention periods for records and submit these schedules for NARA's approval, using the Standard Form (SF) 115, Request for Records Disposition Authority. These schedules provide for the timely transfer into the National Archives of historically valuable records and authorize the disposal of all other records after the agency no longer needs them to conduct its business. Some schedules are comprehensive and cover all the records of an agency or one of its major subdivisions. Most schedules, however, cover records of only one office or program or a few series of records. Many of these update previously approved schedules, and some include records proposed as permanent.</P>

        <P>The schedules listed in this notice are media neutral unless specified otherwise. An item in a schedule is media neutral when the disposition instructions may be applied to records regardless of the medium in which the records are created and maintained. Items included in schedules submitted to NARA on or after December 17, 2007, are media neutral unless the item is limited to a specific medium. (<E T="03">See</E>36 CFR 1225.12(e).)</P>
        <P>No Federal records are authorized for destruction without the approval of the Archivist of the United States. This approval is granted only after a thorough consideration of their administrative use by the agency of origin, the rights of the Government and of private persons directly affected by the Government's activities, and whether or not they have historical or other value.</P>
        <P>Besides identifying the Federal agencies and any subdivisions requesting disposition authority, this public notice lists the organizational unit(s) accumulating the records or indicates agency-wide applicability in the case of schedules that cover records that may be accumulated throughout an agency. This notice provides the control number assigned to each schedule, the total number of schedule items, and the number of temporary items (the records proposed for destruction). It also includes a brief description of the temporary records. The records schedule itself contains a full description of the records at the file unit level as well as their disposition. If NARA staff has prepared an appraisal memorandum for the schedule, it too includes information about the records. Further information about the disposition process is available on request.</P>
        <P>
          <E T="03">Schedules Pending:</E>
        </P>
        <P>1. Department of Agriculture, Food and Nutrition Service (N1-462-10-1, 1 item, 1 temporary item). Case files for implementing and managing records hold, freezes, and destruction moratoriums.</P>
        <P>2. Department of Commerce, National Institute of Standards and Technology (N1-167-09-4, 4 items, 4 temporary items). Records of the National Voluntary Laboratory Accreditation Program, including laboratory applications, assessment reports, testing results, correspondence, assessor records, and copies of assessor contracts.</P>
        <P>3. Department of Commerce, National Oceanic and Atmospheric Administration (N1-370-11-1, 3 items, 3 temporary items). Asset forfeiture records maintained by the National Marine Fisheries Service, including forfeited property case files and an asset forfeiture database used in collection of penalties, fines, and proceeds of forfeited property.</P>
        <P>4. Department of Homeland Security, U.S. Customs and Border Protection (N1-568-09-6, 2 items, 2 temporary items). Master files and associated case files of an electronic information system containing asset tracking information regarding firearms, scopes, batons, body armor, and related law enforcement equipment.</P>
        <P>5. Department of the Interior, Bureau of Indian Affairs (N1-75-07-14, 4 items, 1 temporary item). Non-archival standard scanned images in an electronic information system used to enroll Alaska Native tribal and corporation members to obtain certification. Proposed for permanent retention are master files and archival standard images.</P>
        <P>6. Department of the Interior, Office of the Secretary (N1-48-11-2, 1 item, 1 temporary item). Master files for an electronic system used to generate agency self-assessment and workforce demographic reports for the Equal Employment Opportunity Commission.</P>
        <P>7. Department of the Interior, Office of Surface Mining and Reclamation Enforcement (N1-471-10-1, 2 items, 1 temporary item). Reference copies of master files of an electronic information system used to track permits and violations of surface coal mining. Proposed for permanent retention are record copies of the master files.</P>
        <P>8. Department of the Interior, U.S. Geological Survey (DAA-57-2011-1, 5 items, 5 temporary items). Passport and visa records, including passport applications, registers, and reports; copies of issued visas; communications between U.S. Geological Survey and the Department of State; and master files of an electronic information system used to manage passport information.</P>
        <P>9. Department of Justice, Justice Management Division (N1-060-10-1, 3 items, 3 temporary items). Records relating to allocation and obligation of asset forfeiture funds. Records include agreements, invoices, reports, and other supporting documentation for the obligating and paying out of funds.</P>
        <P>10. Department of State, Bureau of International Information Programs (N1-59-11-2, 1 item, 1 temporary item). Records relating to web management training files.</P>

        <P>11. Department of Veterans Affairs, Office of the General Counsel (N1-15-11-1, 5 items, 5 temporary items). Records relating to the accreditation of and fee agreements with veterans service organizations representing<PRTPAGE P="1644"/>veterans seeking benefits as a result of military service.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Michael J. Kurtz,</NAME>
          <TITLE>Assistant Archivist for Records Services—Washington, DC.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-496 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 7515-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">NATIONAL SCIENCE FOUNDATION</AGENCY>
        <SUBJECT>Sunshine Act Meeting Notice</SUBJECT>
        <HD SOURCE="HD1">National Science Board</HD>
        <P>The National Science Board's Task Force on Merit Review, 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 in regard to the scheduling of a meeting held by teleconference for the transaction of National Science Board business and other matters specified, as follows:</P>
        <PREAMHD>
          <HD SOURCE="HED">DATE AND TIME:</HD>
          <P>January 19, 2011, 11 a.m. to 12 p.m. EST.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">SUBJECT MATTER:</HD>
          <P>Chairman's remarks and a discussion of Section 526 of the FY10 America Competes Reauthorization Act (Broader Impacts Review Criterion).</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">STATUS:</HD>
          <P>Open.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">LOCATION:</HD>

          <P>This meeting will be held by teleconference at the National Science Board Office, National Science Foundation, 4201 Wilson Blvd., Arlington, VA 22230. A room will be available for the public to listen-in to this meeting held by teleconference. All visitors must contact the Board Office at least 24 hours prior to the meeting held by teleconference to arrange for a visitor's badge and to obtain the room number. Call 703-292-7000 or send an e-mail message to<E T="03">nationalsciencebrd@nsf.gov</E>with your name and organizational affiliation to request the room number and your badge, which will be ready for pick-up at the visitor's desk the day of the meeting. All visitors must report to the NSF visitor desk located in the lobby at the 9th and N. Stuart Streets entrance to receive your visitor's badge on the day of the teleconference.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">UPDATES &amp; POINT OF CONTACT:</HD>
          <P>Please refer to the National Science Board Web site<E T="03">http://www.nsf.gov/nsb</E>for additional information and schedule updates (time, place, subject matter or status of meeting) may be found at<E T="03">http://www.nsf.gov/nsb/notices/</E>. Point of contact for this meeting is: Kim Silverman, National Science Board Office, 4201 Wilson Blvd., Arlington, VA 22230. Telephone: (703) 292-7000.</P>
        </PREAMHD>
        <SIG>
          <NAME>Daniel A. Lauretano,</NAME>
          <TITLE>Counsel to the National Science Board.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-434 Filed 1-7-11; 11:15 am]</FRDOC>
      <BILCOD>BILLING CODE 7555-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">NUCLEAR REGULATORY COMMISSION</AGENCY>
        <DEPDOC>[NRC-2011-0005]</DEPDOC>
        <SUBJECT>Biweekly Notice; Applications and Amendments to Facility Operating Licenses Involving No Significant Hazards Considerations</SUBJECT>
        <HD SOURCE="HD1">I. Background</HD>
        <P>Pursuant to section 189a.(2) of the Atomic Energy Act of 1954, as amended (the Act), the U.S. Nuclear Regulatory Commission (the Commission or NRC) is publishing this regular biweekly notice. The Act requires the Commission publish notice of any amendments issued, or proposed to be issued and grants the Commission the authority to issue and make immediately effective any amendment to an operating license upon a determination by the Commission that such amendment involves no significant hazards consideration, notwithstanding the pendency before the Commission of a request for a hearing from any person.</P>
        <P>This biweekly notice includes all notices of amendments issued, or proposed to be issued from December 16 to December 29, 2010. The last biweekly notice was published on December 28, 2010 (75 FR 81667).</P>
        <HD SOURCE="HD1">Notice of Consideration of Issuance of Amendments to Facility Operating Licenses, Proposed No Significant Hazards Consideration Determination, and Opportunity for a Hearing</HD>
        <P>The Commission has made a proposed determination that the following amendment requests involve no significant hazards consideration. Under the Commission's regulations in Title 10 of the Code of Federal Regulations (10 CFR) 50.92, this means that operation of the facility in accordance with the proposed amendment would not (1) Involve a significant increase in the probability or consequences of an accident previously evaluated; or (2) create the possibility of a new or different kind of accident from any accident previously evaluated; or (3) involve a significant reduction in a margin of safety. The basis for this proposed determination for each amendment request is shown below.</P>
        <P>The Commission is seeking public comments on this proposed determination. Any comments received within 30 days after the date of publication of this notice will be considered in making any final determination.</P>

        <P>Normally, the Commission will not issue the amendment until the expiration of 60 days after the date of publication of this notice. The Commission may issue the license amendment before expiration of the 60-day period provided that its final determination is that the amendment involves no significant hazards consideration. In addition, the Commission may issue the amendment prior to the expiration of the 30-day comment period should circumstances change during the 30-day comment period such that failure to act in a timely way would result, for example in derating or shutdown of the facility. Should the Commission take action prior to the expiration of either the comment period or the notice period, it will publish in the<E T="04">Federal Register</E>a notice of issuance. Should the Commission make a final No Significant Hazards Consideration Determination, any hearing will take place after issuance. The Commission expects that the need to take this action will occur very infrequently.</P>

        <P>Written comments may be submitted by mail to the Chief, Rules, Announcements and Directives Branch (RADB), TWB-05-B01M, Division of Administrative Services, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and should cite the publication date and page number of this<E T="04">Federal Register</E>notice. Written comments may also be faxed to the RADB at 301-492-3446. Documents may be examined, and/or copied for a fee, at the NRC's Public Document Room (PDR), located at One White Flint North, Room O1-F21, 11555 Rockville Pike (first floor), Rockville, Maryland.</P>

        <P>Within 60 days after the date of publication of this notice, any person(s) whose interest may be affected by this action may file a request for a hearing and a petition to intervene with respect to issuance of the amendment to the subject facility operating license. Requests for a hearing and a petition for leave to intervene shall be filed in accordance with the Commission's ”Rules of Practice for Domestic Licensing Proceedings” in 10 CFR part 2. Interested person(s) should consult a current copy of 10 CFR 2.309, which is available at the Commission's PDR, located at One White Flint North, Room O1-F21, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible from<PRTPAGE P="1645"/>the Agencywide Documents Access and Management System's (ADAMS) Public Electronic Reading Room on the Internet at the NRC Web site,<E T="03">http://www.nrc.gov/reading-rm/doc-collections/cfr/.</E>If a request for a hearing or petition for leave to intervene is filed by the above date, the Commission or a presiding officer designated by the Commission or by the Chief Administrative Judge of the Atomic Safety and Licensing Board Panel, will rule on the request and/or petition; and the Secretary or the Chief Administrative Judge of the Atomic Safety and Licensing Board will issue a notice of a hearing or an appropriate order.</P>
        <P>As required by 10 CFR 2.309, a petition for leave to intervene shall set forth with particularity the interest of the petitioner in the proceeding, and how that interest may be affected by the results of the proceeding. The petition should specifically explain the reasons why intervention should be permitted with particular reference to the following general requirements: (1) The name, address, and telephone number of the requestor or petitioner; (2) the nature of the requestor's/petitioner's right under the Act to be made a party to the proceeding; (3) the nature and extent of the requestor's/petitioner's property, financial, or other interest in the proceeding; and (4) the possible effect of any decision or order which may be entered in the proceeding on the requestor's/petitioner's interest. The petition must also identify the specific contentions which the requestor/petitioner seeks to have litigated at the proceeding.</P>
        <P>Each contention must consist of a specific statement of the issue of law or fact to be raised or controverted. In addition, the requestor/petitioner shall provide a brief explanation of the bases for the contention and a concise statement of the alleged facts or expert opinion which support the contention and on which the requestor/petitioner intends to rely in proving the contention at the hearing. The requestor/petitioner must also provide references to those specific sources and documents of which the petitioner is aware and on which the requestor/petitioner intends to rely to establish those facts or expert opinion. The petition must include sufficient information to show that a genuine dispute exists with the applicant on a material issue of law or fact. Contentions shall be limited to matters within the scope of the amendment under consideration. The contention must be one which, if proven, would entitle the requestor/petitioner to relief. A requestor/petitioner who fails to satisfy these requirements with respect to at least one contention will not be permitted to participate as a party.</P>
        <P>Those permitted to intervene become parties to the proceeding, subject to any limitations in the order granting leave to intervene, and have the opportunity to participate fully in the conduct of the hearing.</P>
        <P>If a hearing is requested, the Commission will make a final determination on the issue of no significant hazards consideration. The final determination will serve to decide when the hearing is held. If the final determination is that the amendment request involves no significant hazards consideration, the Commission may issue the amendment and make it immediately effective, notwithstanding the request for a hearing. Any hearing held would take place after issuance of the amendment. If the final determination is that the amendment request involves a significant hazards consideration, any hearing held would take place before the issuance of any amendment.</P>
        <P>All documents filed in NRC adjudicatory proceedings, including a request for hearing, a petition for leave to intervene, any motion or other document filed in the proceeding prior to the submission of a request for hearing or petition to intervene, and documents filed by interested governmental entities participating under 10 CFR 2.315(c), must be filed in accordance with the NRC E-Filing rule (72 FR 49139, August 28, 2007). The E-Filing process requires participants to submit and serve all adjudicatory documents over the internet, or in some cases to mail copies on electronic storage media. Participants may not submit paper copies of their filings unless they seek an exemption in accordance with the procedures described below.</P>

        <P>To comply with the procedural requirements of E-Filing, at least ten (10) days prior to the filing deadline, the participant should contact the Office of the Secretary by e-mail at<E T="03">hearing.docket@nrc.gov,</E>or by telephone at (301) 415-1677, to request (1) a digital ID certificate, which allows the participant (or its counsel or representative) to digitally sign documents and access the E-Submittal server for any proceeding in which it is participating; and (2) advise the Secretary that the participant will be submitting a request or petition for hearing (even in instances in which the participant, or its counsel or representative, already holds an NRC-issued digital ID certificate). Based upon this information, the Secretary will establish an electronic docket for the hearing in this proceeding if the Secretary has not already established an electronic docket.</P>

        <P>Information about applying for a digital ID certificate is available on NRC's public Web site at<E T="03">http://www.nrc.gov/site-help/e-submittals/apply-certificates.html.</E>System requirements for accessing the E-Submittal server are detailed in NRC's “Guidance for Electronic Submission,” which is available on the agency's public Web site at<E T="03">http://www.nrc.gov/site-help/e-submittals.html.</E>Participants may attempt to use other software not listed on the Web site, but should note that the NRC's E-Filing system does not support unlisted software, and the NRC Meta System Help Desk will not be able to offer assistance in using unlisted software.</P>

        <P>If a participant is electronically submitting a document to the NRC in accordance with the E-Filing rule, the participant must file the document using the NRC's online, Web-based submission form. In order to serve documents through EIE, users will be required to install a Web browser plug-in from the NRC Web site. Further information on the Web-based submission form, including the installation of the Web browser plug-in, is available on the NRC's public Web site at<E T="03">http://www.nrc.gov/site-help/e-submittals.html.</E>
        </P>

        <P>Once a participant has obtained a digital ID certificate and a docket has been created, the participant can then submit a request for hearing or petition for leave to intervene. Submissions should be in Portable Document Format (PDF) in accordance with NRC guidance available on the NRC public Web site at<E T="03">http://www.nrc.gov/site-help/e-submittals.html.</E>A filing is considered complete at the time the documents are submitted through the NRC's E-Filing system. To be timely, an electronic filing must be submitted to the E-Filing system no later than 11:59 p.m. Eastern Time on the due date. Upon receipt of a transmission, the E-Filing system time-stamps the document and sends the submitter an e-mail notice confirming receipt of the document. The E-Filing system also distributes an e-mail notice that provides access to the document to the NRC Office of the General Counsel and any others who have advised the Office of the Secretary that they wish to participate in the proceeding, so that the filer need not serve the documents on those participants separately. Therefore, applicants and other participants (or their counsel or representative) must<PRTPAGE P="1646"/>apply for and receive a digital ID certificate before a hearing request/petition to intervene is filed so that they can obtain access to the document via the E-Filing system.</P>

        <P>A person filing electronically using the agency's adjudicatory E-Filing system may seek assistance by contacting the NRC Meta System Help Desk through the “Contact Us” link located on the NRC Web site at<E T="03">http://www.nrc.gov/site-help/e-submittals.html,</E>by e-mail at<E T="03">MSHD.Resource@nrc.gov,</E>or by a toll-free call at 1-866-672-7640. The NRC Meta System Help Desk is available between 8 a.m. and 8 p.m., Eastern Time, Monday through Friday, excluding government holidays.</P>
        <P>Participants who believe that they have a good cause for not submitting documents electronically must file an exemption request, in accordance with 10 CFR 2.302(g), with their initial paper filing requesting authorization to continue to submit documents in paper format. Such filings must be submitted by: (1) First class mail addressed to the Office of the Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention: Rulemaking and Adjudications Staff; or (2) courier, express mail, or expedited delivery service to the Office of the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852, Attention: Rulemaking and Adjudications Staff. Participants filing a document in this manner are responsible for serving the document on all other participants. Filing is considered complete by first-class mail as of the time of deposit in the mail, or by courier, express mail, or expedited delivery service upon depositing the document with the provider of the service. A presiding officer, having granted an exemption request from using E-Filing, may require a participant or party to use E-Filing if the presiding officer subsequently determines that the reason for granting the exemption from use of E-Filing no longer exists.</P>

        <P>Documents submitted in adjudicatory proceedings will appear in NRC's electronic hearing docket which is available to the public at<E T="03">http://ehd.nrc.gov/EHD_Proceeding/home.asp,</E>unless excluded pursuant to an order of the Commission, or the presiding officer. Participants are requested not to include personal privacy information, such as social security numbers, home addresses, or home phone numbers in their filings, unless an NRC regulation or other law requires submission of such information. With respect to copyrighted works, except for limited excerpts that serve the purpose of the adjudicatory filings and would constitute a Fair Use application, participants are requested not to include copyrighted materials in their submission.</P>
        <P>Petitions for leave to intervene must be filed no later than 60 days from the date of publication of this notice. Non-timely filings will not be entertained absent a determination by the presiding officer that the petition or request should be granted or the contentions should be admitted, based on a balancing of the factors specified in 10 CFR 2.309(c)(1)(i)-(viii).</P>

        <P>For further details with respect to this license amendment application, see the application for amendment which is available for public inspection at the Commission's PDR, located at One White Flint North, Room O1-F21, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible from the ADAMS Public Electronic Reading Room on the Internet at the NRC Web site,<E T="03">http://www.nrc.gov/reading-rm/adams.html.</E>Persons who do not have access to ADAMS or who encounter problems in accessing the documents located in ADAMS, should contact the NRC PDR Reference staff at 1-800-397-4209, 301-415-4737, or by e-mail to<E T="03">pdr.resource@nrc.gov.</E>
        </P>
        <HD SOURCE="HD2">Calvert Cliffs Nuclear Power Plant, LLC, Docket No. 50-318, Calvert Cliffs Nuclear Power Plant, Unit 2, Calvert County, Maryland</HD>
        <P>
          <E T="03">Date of amendment request:</E>October 4, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The proposed amendment revises Calvert Cliffs Technical Specification 5.5.16, “Containment Leakage Rate Testing Program” to allow a one-time extension of the Type A Integrated Leakage Rate test interval for no more than 5 years.</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration, which is presented below:</P>
        <EXTRACT>
          
          <P>1. Does the proposed amendment involve a significant increase in the probability or consequences of an accident previously evaluated?</P>
          <P>No.</P>
          <P>This proposed one-time extension of the Type A test interval from 10 years to 15 years does not increase the probability of an accident since there are no design or operating changes involved and the test is not an accident initiator. The proposed extension of the test interval does not involve a significant increase in the consequences of an accident since research documented in NUREG-1493 has found that, generically, fewer than 3% of the potential containment leak paths are not identified by Types B and C testing. Calvert Cliffs, through testing and containment inspections, also provides a high degree of assurance that the Containment will not degrade in a manner detectable only by a Type A test. Inspections required by the American Society of Mechanical Engineers Boiler and Pressure Vessel Code are performed to identify containment degradation that could affect leak tightness.</P>
          <P>Therefore, this proposed change does not involve a significant increase in the probability or consequences of any accident previously evaluated.</P>
          <P>2. Does the proposed amendment create the possibility of a new or different kind of accident from any accident previously evaluated?</P>
          <P>No.</P>
          <P>This proposed one-time extension of the Type A test interval from 10 years to 15 years does not involve any design or operational changes that could lead to a new or different kind of accident from any accident previously evaluated. The test itself is not changing and will be performed after a longer interval. The proposed change does not involve a physical alteration of the plant (no new or different type of equipment will be installed) or a change in the methods governing normal plant operation.</P>
          <P>Therefore, this proposed change does not create the possibility of a new or different kind of accident from any previously evaluated.</P>
          <P>3. Does the proposed amendment involve a significant reduction in a margin of safety?</P>
          <P>No.</P>
          <P>The proposed one-time extension of the Type A test interval from 10 years to 15 years does not involve a significant reduction in the margin of safety of the containment's ability to maintain its integrity during a design basis accident. The generic study of the increase in the Type A test interval, NUREG-1493, concluded there is an imperceptible increase in the plant risk associated with extending the test interval out to 20 years. Further, the extended test interval would have a minimal effect on this risk since Types B and C testing detect 97% of potential leakage paths. For the requested change in the Calvert Cliffs Integrated Leakage Rate Test interval, it was determined that the risk contribution of leakage will increase 0.07% (based on change in offsite dose). This change is considered very small and does not represent a significant reduction in the margin of safety.</P>
          <P>Therefore, this change does not involve a significant reduction in the margin of safety.</P>
        </EXTRACT>
        
        <P>The NRC staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>Carey Fleming, Sr. Counsel—Nuclear Generation,<PRTPAGE P="1647"/>Constellation Generation Group, LLC, 750 East Pratt Street, 17th floor, Baltimore, MD 21202.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Nancy L. Salgado.</P>
        <HD SOURCE="HD2">Entergy Nuclear Vermont Yankee, LLC and Entergy Nuclear Operations, Inc., Docket No. 50-271, Vermont Yankee Nuclear Power Station, Vernon, Vermont</HD>
        <P>
          <E T="03">Date of amendment request:</E>November 8, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The proposed amendment would revise Technical Specifications (TS) to eliminate provisions allowing the High Pressure Coolant Injection (HPCI) system and the Reactor Core Isolation Cooling (RCIC) system to be aligned to the suppression pool when required instrument channels are inoperable. In this configuration, the HPCI and RICI systems would not be capable of mitigating some plant events. Also, an administrative change to the TS Table of Contents is proposed.</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration which is presented below:</P>
        
        <EXTRACT>
          <P>1. Does the proposed amendment involve a significant increase in the probability or consequences of an accident previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed amendment does not significantly increase the probability of an accident since it does not involve a change to any plant equipment that initiates a plant accident. The proposed amendment is more restrictive than the current TS in that it no longer allows the HPCI and RCIC systems to be aligned to the suppression pool when required instrument channels are inoperable. The change requires HPCI and RCIC to be declared inoperable within one hour when the associated trip functions are not operable. The change also updates the TS Table of Contents. The HPCI system is credited to mitigate small break loss-of-coolant accidents and the RCIC System is not credited for accident mitigation. The proposed change ensures the systems are aligned consistent with station analysis assumptions. Therefore, the proposed amendment does not involve a significant increase in the probability or consequences of an accident previously evaluated.</P>
          <P>2. Does the proposed amendment create the possibility of a new or different kind of accident from any accident previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed change does not involve any physical alteration of plant equipment and does not change the method by which any safety-related system performs its function. The proposed amendment is more restrictive than the current technical specifications in that it no longer allows the HPCI and RCIC systems to be aligned to the suppression pool when required instrument channels are inoperable. The change requires HPCI and RCIC to be declared inoperable within one hour when the associated trip functions are not operable. The change also updates the TS Table of Contents. No new or different types of equipment will be installed and the basic operation of installed equipment is unchanged. The methods governing plant operation and testing remain consistent with current safety analysis assumptions. Therefore, the proposed change does not create the possibility of a new or different kind of accident from any accident previously evaluated.</P>
          <P>3. Does the proposed amendment involve a significant reduction in a margin of safety?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed amendment is more restrictive than the current technical specifications in that it no longer allows the HPCI and RCIC systems to be aligned to the suppression pool when required instrument channels are inoperable. This ensures that safety margins established in station safety analysis are maintained. The proposed amendment does not involve a physical modification of the plant and does not change the design or function of any component or system. The proposed amendment is more restrictive than the current TS in that it no longer allows the HPCI and RCIC systems to be aligned to the suppression pool when required instrument channels are inoperable. The change requires the HPCI and RCIC systems to be declared inoperable within one hour when the associated trip functions are not operable. The change also updates the TS Table of Contents. This ensures analyzed safety margins are maintained. Therefore, operation of VY in accordance with the proposed amendment will not involve a significant reduction in the margin to safety.</P>
        </EXTRACT>
        
        <P>The NRC staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>Mr. William C. Dennis, Assistant General Counsel, Entergy Nuclear Operations, Inc., 400 Hamilton Avenue, White Plains, NY 10601.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Nancy Salgado.</P>
        <HD SOURCE="HD2">Exelon Generation Company, LLC, Docket No. 50-219, Oyster Creek Nuclear Generating Station, Ocean County, New Jersey</HD>
        <P>
          <E T="03">Date of amendment request:</E>June 25, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The amendment would revise the Oyster Creek Nuclear Generating Station Technical Specifications (TSs) governing actions to be taken if a single emergency diesel generator (EDG) is inoperable. Specifically, the proposed amendment would remove the requirement to test the other EDG daily. Instead, the licensee would be required to either test the other EDG once or determine that it is not inoperable due to a common cause failure.</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration, which is presented below:</P>
        
        <EXTRACT>
          <P>1. [The proposed changes do not involve a significant increase in the probability or consequences of an accident previously evaluated.]</P>
          <P>The proposed changes are associated with the testing requirements of the two Emergency Diesel Generators (EDGs). The changes will eliminate unnecessary EDG testing requirements that contribute to potential mechanical degradation of the EDGs. The changes are based on the NRC guidance and recommendations provided in Generic Letter (GL) 93-05, “Line-Item Technical Specifications Improvement to Reduce Surveillance Requirements for Testing During Power Operation,” and GL 94-01, “Removal of Accelerated Testing and Special Reporting Requirements for Emergency Diesel Generators,” and are consistent with NUREG-1433, “Standard Technical Specifications, General Electric Plants, BWR/4.” These proposed changes implement a recommendation promulgated in NUREG-1366, “Improvements To Technical Specifications Surveillance Requirements” to curtail daily testing of remaining operable diesel generator[s] when one of the required diesel generators is inoperable except for when a valid concern (e.g., potential for common cause failure) is posed.</P>
          <P>The probability of an accident is not increased by these changes because the EDGs are not initiators of any design basis event. Additionally, the proposed changes do not involve any physical changes to plant systems, structures, or components (SSC[s]), or the manner in which these SSC[s] are maintained [ ]. The surveillance testing required for the limiting condition for operation for one EDG inoperable will be eliminated for the operable EDG when the inoperability is not due to a common cause failure. The EDG reliability will thereby be potentially increased by reducing the stresses on the EDG caused by unnecessary testing while maintaining the requirement to perform a single test if a common cause failure potentially exists. The consequences of an accident will not be increased because the proposed changes to the EDG surveillance requirements will continue to provide a high degree of assurance that their operability is maintained.</P>
          <P>Therefore, the proposed changes do not involve a significant increase in the probability or consequences of an accident previously evaluated.</P>

          <P>2. [The proposed changes do not create the possibility of a new or different kind of accident from any previously evaluated.]<PRTPAGE P="1648"/>
          </P>
          <P>The proposed changes do not alter the physical design, safety limits, or safety analysis assumptions associated with the operation of the plant. Accordingly, the proposed changes do not introduce any new accident initiators, nor do they reduce or adversely affect the capabilities of any plant structure or system in the performance of their safety function.</P>
          <P>Therefore, the proposed changes do not create the possibility of a new or different kind of accident from any previously evaluated.</P>
          <P>3. [The proposed changes do not involve a significant reduction in the margin of safety.]</P>
          <P>The proposed changes modify the EDG accelerated testing requirements, are consistent with NRC guidance, and [potentially] improve EDG reliability. There are no changes being made to the current periodic surveillance requirements. The proposed changes do not impact the assumptions of any design basis accident, and do not alter assumptions relative to the mitigation of an accident or transient event.</P>
          <P>Testing the operable EDG every day for the duration of the inoperable EDG inspection (i.e., 7 days) may be too excessive and may lead to degradation of the EDG and possibly result in [the] potential for unnecessary shutdowns. By reducing the possibility of degradation from this excessive testing, the margin of safety is [not significantly affected.]</P>
        </EXTRACT>
        
        <P>The NRC staff has reviewed the licensee's analysis and, based on this review, and with the changes noted above in square brackets, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>Mr. J. Bradley Fewell, Associate General Counsel, Exelon Generation Company LLC, 4300 Winfield Road, Warrenville, IL 60555.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Harold Chernoff.</P>
        <HD SOURCE="HD2">FirstEnergy Nuclear Operating Company, et al., Docket No. 50-412, Beaver Valley Power Station, Unit 2 (BVPS-2), Beaver County, Pennsylvania</HD>
        <P>
          <E T="03">Date of amendment request:</E>February 26, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The proposed amendment would revise Technical Specifications (TSs) by expanding the scope of the steam generator (SG) tubesheet inspections using the F* inspection methodology to the SG cold-leg tubesheet region for BVPS-2.</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration, which is presented below:</P>
        <EXTRACT>
          
          <P>1. Does the proposed change involve a significant increase in the probability or consequences of an accident previously evaluated?</P>
          <P>No. The proposed change modifies the BVPS-2 Technical Specifications to expand the scope of steam generator [SG] tubesheet inspections using the F* inspection methodology to the SG cold-leg tubesheet region based on WCAP-16385-P, Revision 1. Of the various accidents previously evaluated in the BVPS-2 Updated Final Safety Analysis Report (UFSAR), the proposed change only affects the SG tube rupture (SGTR) event evaluation and the postulated steam line break (SLB) accident evaluation. Loss-of-coolant accident (LOCA) conditions cause a compressive axial load to act on the tube. Therefore, since the LOCA tends to force the tube into the tubesheet rather than pull it out, it is not a factor in this amendment request. Another faulted load consideration is a safe shutdown earthquake (SSE); however, the seismic analysis of Model 51M SGs has shown that axial loading of the tubes is negligible during an SSE.</P>
          <P>For the SGTR event, the required structural margins of the steam generator tubes will be maintained by the presence of the tubesheet. Tube rupture is precluded for cracks in the tube expansion region due to the constraint provided by the tubesheet. Therefore, Regulatory Guide (RG) 1.121, “Bases for Plugging Degraded PWR [pressurized-water reactor] Steam Generator Tubes,” margins against burst are maintained for both normal and postulated accident conditions.</P>
          <P>The F* length supplies the necessary resistive force to preclude pullout loads under both normal operating and accident conditions. The contact pressure results from the tube expansion process used during manufacturing and from the differential pressure between the primary and secondary side. The proposed changes do not affect other systems, structures, components or operational features. Therefore, the proposed change results in no significant increase in the probability of the occurrence of an SGTR or SLB accident.</P>
          <P>The consequences of an SGTR event are affected by the primary-to-secondary leakage flow during the event. Primary-to-secondary leakage flow through a postulated broken tube is not affected by the proposed change since the tubesheet enhances the tube integrity in the region of the expansion by precluding tube deformation beyond its initial expanded outside diameter. The resistance to both tube rupture and collapse is strengthened by the tubesheet in that region. At normal operating pressures, leakage from primary water stress corrosion cracking (PWSCC) below the F* distance is limited by both the tube-to-tubesheet crevice and the limited crack opening permitted by the tubesheet constraint. Consequently, negligible normal operating leakage is expected from cracks within the tubesheet region.</P>

          <P>SLB leakage is limited by leakage flow restrictions resulting from the crack and tube-to-tubesheet contact pressures that provide a restricted leakage path above the indications and also limit the degree of crack face opening compared to free span indications. The total leakage (i.e., the combined leakage for all such tubes) meets the industry performance criterion, plus the combined leakage developed by any other alternate repair criteria, and will be maintained below the maximum allowable SLB leak rate limit, such that off-site doses are maintained less than 10 CFR [Title 10 of the<E T="03">Code of Federal Regulation</E>] [Part] 100 guideline values and the limits evaluated in the BVPS-2 UFSAR.</P>
          <P>Therefore, based on the above evaluation, the proposed changes do not involve a significant increase in the probability or consequences of an accident previously evaluated.</P>
          <P>2. Does the proposed change create the possibility of a new or different kind of accident from any accident previously evaluated?</P>
          <P>No. The proposed changes do not introduce any changes or mechanisms that create the possibility of a new or different kind of accident. Tube bundle integrity will continue to be maintained for all plant conditions upon implementation of the F* methodology to the cold-leg tubesheet region.</P>
          <P>The proposed changes do not introduce any new equipment or any change to existing equipment. No new effects on existing equipment are created nor are any new malfunctions introduced.</P>
          <P>Therefore, the proposed change does not create the possibility of a new or different kind of accident from any previously evaluated.</P>
          <P>3. Does the proposed change involve a significant reduction in a margin of safety?</P>
          <P>No. The proposed changes maintain the required structural margins of the SG tubes for both normal and accident conditions. NRC Regulatory Guide (RG) 1.121 is used as the basis in the development of the F* methodology for determining that SG tube integrity considerations are maintained within acceptable limits. Regulatory Guide 1.121 describes a method acceptable to the NRC staff for meeting General Design Criteria 14, 15, 31, and 32. Regulatory Guide 1.121 describes the limiting safe conditions of tube wall degradation beyond which tubes with unacceptable cracking, as established by inservice inspection, should be removed from service or repaired. This RG uses safety factors on loads for tube burst that are consistent with the requirements of Section III of the American Society of Mechanical Engineers (ASME) Code.</P>
          <P>For primarily axially oriented cracking located within the tubesheet, tube burst is precluded due to the presence of the tubesheet. WCAP-16385-P, Revision 1, defines a length, F*, of degradation-free expanded tubing that provides the necessary resistance to tube pullout due to the pressure-induced forces (with applicable safety factors applied). Expansion of the application of the F* criteria to the cold-leg tubesheet region will preclude unacceptable primary-to-secondary leakage during all plant conditions. The methodology for determining leakage provides for large margins between calculated and actual leakage values in the F* criteria.</P>

          <P>Plugging of the steam generator tubes reduces the reactor coolant flow margin for core cooling. Expansion of the F* methodology to the cold-leg tubesheet region at BVPS-2 will result in maintaining the<PRTPAGE P="1649"/>margin of flow that may have otherwise been reduced by tube plugging.</P>
          <P>Therefore, the proposed change does not involve a significant reduction in a margin of safety.</P>
        </EXTRACT>
        
        <P>The Nuclear Regulatory Commission (NRC) staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>David W. Jenkins, FirstEnergy Nuclear Operating Company, FirstEnergy Corporation, 76 South Main Street, Akron, OH 44308.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Nancy L. Salgado.</P>
        <HD SOURCE="HD2">FirstEnergy Nuclear Operating Company (FENOC), et al., Docket No. 50-440, Perry Nuclear Power Plant, Unit No. 1 (PNPP), Lake County, Ohio</HD>
        <P>
          <E T="03">Date of amendment request:</E>October 21, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The proposed amendment would modify Technical Specification (TS) 2.1.1, “Reactor Core SLs,” by incorporating revised safety limit minimum critical power ratio (SLMCPR) values resulting from a plant-specific analysis performed for PNPP Cycle 14 core.</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration which is presented below:</P>
        
        <EXTRACT>
          <P>1. Does the proposed amendment involve a significant increase in the probability or consequences of an accident previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed SLMCPR value will continue to ensure that during normal operation and abnormal operational transients, at 99.9 percent of all fuel rods in the core do not experience transition boiling if the limit is not violated, thereby preserving the fuel cladding integrity. The proposed TS changes do not involve any modifications or operational changes to system, structures, or components (SSC). The proposed TS changes do not affect any postulated accident precursors, do not affect any accident mitigating systems, and do no introduce any new accident initiation mechanisms. Therefore, the proposed TS changes do not involve a significant increase in the probability or consequences of an accident previously evaluated.</P>
          <P>2. Does the proposed amendment create the possibility of a new or different kind of accident from any accident previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed TS changes do not involve any new modes of operation, any changes to setpoints, or any plant modifications. The proposed SLMCPR values do not result in the creation of any new precursors to an accident. Therefore, the proposed TS changes do not create the possibility of an accident of a different kind than previously evaluated.</P>
          <P>3. Does the proposed amendment involve a significant reduction in a margin of safety?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed SLMCPR value will continue to ensure that during normal operation and abnormal operational transients, at 99.9 percent of all fuel rods in the core do not experience transition boiling if the limit is not violated, thereby preserving the fuel cladding integrity. The proposed TS changes do involve modifications or operational changes that could adversely affect the function or performance of a SSC. The proposed TS changes do not affect any postulated accident precursors, do not affect any accident mitigating systems, and do not introduce any new accident initiation mechanisms. Therefore, the proposed TS changes do not involve a significant reduction in margin of safety.</P>
        </EXTRACT>
        
        <P>The U.S. Nuclear Regulatory Commission (NRC) staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>David W. Jenkins, Attorney, FirstEnergy Corporation, Mail Stop A-GO-15, 76 South Main Street, Akron, OH 44308.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Robert D. Carlson.</P>
        <HD SOURCE="HD2">Union Electric Company, Docket No. 50-483, Callaway Plant, Unit 1, Callaway County, Missouri</HD>
        <P>
          <E T="03">Date of amendment request:</E>August 5, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The proposed amendment would modify the Callaway Plant, Unit 1, Technical Specifications (TS) by relocating specific surveillance frequencies to a licensee-controlled program with the guidance of Nuclear Energy Institute (NEI) 04-10, “Risk-Informed Technical Specifications Initiative 5b, Risk-Informed Method for Control of Surveillance Frequencies.”</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration, which is presented below:</P>
        
        <EXTRACT>
          <P>1. Does the proposed change involve a significant increase in the probability or consequences of any accident previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed change relocates the specified frequencies for periodic surveillance requirements to licensee control under a new Surveillance Frequency Control Program [(SFCP)]. Surveillance frequencies are not an initiator to any accident previously evaluated. As a result, the probability of any accident previously evaluated is not significantly increased. The systems and components required by the technical specifications for which the surveillance frequencies are relocated are still required to be operable, meet the acceptance criteria for the surveillance requirements, and be capable of performing any mitigation function assumed in the accident analysis. As a result, the consequences of any accident previously evaluated are not significantly increased.</P>
          <P>Therefore, the proposed change does not involve a significant increase in the probability or consequences of an accident previously evaluated.</P>
          <P>2. Does the proposed change create the possibility of a new or different kind of accident from any previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>No new or different accidents result from utilizing the proposed change. The changes do not involve a physical alteration of the plant (i.e., no new or different type of equipment will be installed) or a change in the methods governing normal plant operation. In addition, the changes do not impose any new or different requirements. The changes do not alter assumptions made in the safety analysis. The proposed changes are consistent with the safety analysis assumptions and current plant operating practice.</P>
          <P>Therefore, the proposed changes do not create the possibility of a new or different kind of accident from any accident previously evaluated.</P>
          <P>3. Does the proposed change involve a significant reduction in the margin of safety?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The design, operation, testing methods, and acceptance criteria for systems, structures, and components (SSCs), specified in applicable codes and standards (or alternatives approved for use by the NRC) will continue to be met as described in the plant licensing basis (including the Final Safety Analysis Report and Bases to TS), since these are not affected by changes to the surveillance frequencies. Similarly, there is no impact to safety analysis acceptance criteria as described in the plant licensing basis. To evaluate a change in the relocated surveillance frequency, [the licensee] will perform a probabilistic risk evaluation using the guidance contained in NRC approved NEI 04-10, Rev. 1 in accordance with the TS SFCP. NEI 04-10, Rev. 1, methodology provides reasonable acceptance guidelines and methods for evaluating the risk increase of proposed changes to surveillance frequencies consistent with Regulatory Guide 1.177.</P>
          <P>Therefore, the proposed changes do not involve a significant reduction in a margin of safety.</P>
        </EXTRACT>
        

        <P>The NRC staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the<PRTPAGE P="1650"/>amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>John O'Neill, Esq., Pillsbury Winthrop Shaw Pittman LLP, 2300 N Street, NW., Washington, DC 20037.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Michael T. Markley.</P>
        <HD SOURCE="HD2">ZionSolutions LLC, Docket Nos. 50-295 and 50-304, Zion Nuclear Power Station (Zion), Units 1 and 2, Lake County, Illinois</HD>
        <P>
          <E T="03">Date of amendment request:</E>November 15, 2010.</P>
        <P>
          <E T="03">Description of amendment request:</E>The proposed amendments would delete license conditions that impose specific requirements for the decommissioning trust agreement. In lieu of the license conditions, ZionSolutions will directly implement the requirements of 10 CFR 50.75(h)(1) through (h)(3). ZionSolutions will provide a revised trust agreement as required by 10 CFR 50.75(h)(1)(iii) within 60 days of NRC approval of this proposal. The licensee has stated that the trust agreement will conform with 10 CFR 50.75(h) and ZionSolutions will take no action under the existing trust agreement in the interim that would be inconsistent with the provisions of the regulation.</P>
        <P>
          <E T="03">Basis for proposed no significant hazards consideration determination:</E>As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration, which is presented below:</P>
        <EXTRACT>
          
          <P>(1) Does the change involve a significant increase in the probability or consequences of an accident previously evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The proposed amendments alter the requirements for the decommissioning trust fund. These revisions of the financial assurance requirements do not involve any changes to any structures, systems or components (SSCs) or any method of operation, maintenance or testing. The proposed amendments will continue to provide assurance that adequate decommissioning funding is maintained. Changes to the terms of the trust fund will not alter previously evaluated Defueled Safety Analysis Report (DSAR) design basis accident assumptions, add any accident initiators, or affect the function of the plant SSCs as to how they are operated, maintained, modified, tested, or inspected.</P>
          <P>Therefore, the proposed change does not involve a significant increase in the probability or consequences of an accident previously evaluated.</P>
          <P>(2) Does the change create the possibility of a new or different kind of accident from any accident evaluated?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>Implementation of the proposed changes to decommissioning trust fund requirements will have no impact upon the design function of any SSC. Modifying the precise language of the administrative controls on the fund in the trust agreement does not result in the need for any new or different DSAR design basis accident analyses. It does not introduce new equipment that could create a new or different kind of accident, and no new equipment failure modes are created. As a result, no new accident scenarios, failure mechanisms, or limiting single failures are introduced as a result of the proposed amendments.</P>
          <P>Therefore, the proposed change does not create the possibility of a new or different kind of accident from any accident previously evaluated.</P>
          <P>(3) Does the change involve a significant reduction in a margin of safety?</P>
          <P>
            <E T="03">Response:</E>No.</P>
          <P>The margin of safety is associated with the confidence in the ability of the fission product barriers to limit the level of radiation to the public. The proposed amendments would not alter any SSC functions and would not alter the way the plant is operated. The amendments do not alter the way in which financial assurance for decommissioning is achieved. The proposed amendments would not introduce any new uncertainties associated with any safety limit. The proposed amendments would have no impact upon the structural integrity of the fuel cladding or any other barrier to fission product release. There would be no reduction in the effectiveness of the fission product barriers to limit the level of radiation to the public. Therefore, the proposed change does not involve a significant reduction in the margin of safety.</P>
        </EXTRACT>
        
        <P>The NRC staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration.</P>
        <P>
          <E T="03">Attorney for licensee:</E>Russ Workman, Deputy General Counsel, EnergySolutions, 423 West 300 South, Suite 200, Salt Lake City, UT 84101.</P>
        <P>
          <E T="03">NRC Branch Chief:</E>Bruce Watson.</P>
        <HD SOURCE="HD1">Notice of Issuance of Amendments to Facility Operating Licenses</HD>
        <P>During the period since publication of the last biweekly notice, the Commission has issued the following amendments. The Commission has determined for each of these amendments that the application complies with the standards and requirements of the Atomic Energy Act of 1954, as amended (the Act), and the Commission's rules and regulations. The Commission has made appropriate findings as required by the Act and the Commission's rules and regulations in 10 CFR Chapter I, which are set forth in the license amendment.</P>

        <P>Notice of Consideration of Issuance of Amendment to Facility Operating License, Proposed No Significant Hazards Consideration Determination, and Opportunity for A Hearing in connection with these actions was published in the<E T="04">Federal Register</E>as indicated.</P>
        <P>Unless otherwise indicated, the Commission has determined that these amendments satisfy the criteria for categorical exclusion in accordance with 10 CFR 51.22. Therefore, pursuant to 10 CFR 51.22(b), no environmental impact statement or environmental assessment need be prepared for these amendments. If the Commission has prepared an environmental assessment under the special circumstances provision in 10 CFR 51.22(b) and has made a determination based on that assessment, it is so indicated.</P>

        <P>For further details with respect to the action see (1) the applications for amendment, (2) the amendment, and (3) the Commission's related letter, Safety Evaluation and/or Environmental Assessment as indicated. All of these items are available for public inspection at the Commission's Public Document Room (PDR), located at One White Flint North, Public File Area 01F21, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible from the Agencywide Documents Access and Management System (ADAMS) Public Electronic Reading Room on the internet at the NRC Web site,<E T="03">http://www.nrc.gov/reading-rm/adams.html.</E>If you do not have access to ADAMS or if there are problems in accessing the documents located in ADAMS, contact the PDR Reference staff at 1-800-397-4209, 301-415-4737 or by e-mail to<E T="03">pdr.resource@nrc.gov.</E>
        </P>
        <HD SOURCE="HD2">Arizona Public Service Company, et al., Docket Nos. STN 50-528, STN 50-529, and STN 50-530, Palo Verde Nuclear Generating Station, Unit Nos. 1, 2, and 3, Maricopa County, Arizona</HD>
        <P>
          <E T="03">Date of application for amendment:</E>April 8, 2010.</P>
        <P>
          <E T="03">Brief description of amendment:</E>The amendments deleted redundant reporting and operational restriction provisions from Technical Specification (TS) Section 2.2, “Safety Limit Violations,” consistent with Technical Specification Task Force (TSTF) change traveler TSTF-5-A, Revision 1, “Delete Safety Limit Violation Notification Requirements,” and replaced plant-specific titles with generic titles in TS Section 5.2.1, “Onsite and Offsite Organizations,” consistent with TSTF-65-A, Revision 1, “Use of Generic Titles for Utility Positions.”</P>
        <P>
          <E T="03">Date of issuance:</E>December 29, 2010.<PRTPAGE P="1651"/>
        </P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 90 days from the date of issuance.</P>
        <P>
          <E T="03">Amendment No.:</E>Unit 1—183; Unit 2—183; Unit 3—183.</P>
        <P>
          <E T="03">Facility Operating License Nos. NPF-41, NPF-51, and NPF-74:</E>The amendments revised the Operating Licenses and Technical Specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>July 27, 2010 (75 FR 44022).</P>
        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 29, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received</E>: No.</P>
        <HD SOURCE="HD2">
          <E T="03">Carolina Power and Light Company, et al., Docket No. 50-400, Shearon Harris Nuclear Power Plant, Unit 1, Wake and Chatham Counties, North Carolina</E>
        </HD>
        <P>
          <E T="03">Date of application for amendment:</E>July 21, 2009, as supplemented March 3 and July 28, 2010.</P>
        <P>
          <E T="03">Brief description of amendment:</E>The amendment revises Technical Specification (TS) Section 6.9.1.6 to add NRC approved Topical Report (TR) EMF-2310(P)(A), “SRP Chapter 15 Non-LOCA Methodology for Pressurized Water Reactors,” to the Core Operating Limits Report methodologies list. This change will allow the use of thermal-hydraulic analysis code S-RELAP5 for Final Safety Analysis Report (FSAR) Chapter 15 non-loss-of-coolant accident (LOCA) transients in the HNP safety analyses. TR EMF-2310(P)(A), Revision 0, was approved by the NRC on May 11, 2001, for the application of the S-RELAP5 thermal-hydraulic analysis computer code to FSAR Chapter 15 non-LOCA transients. EMF-2310(P)(A), Revision 1, approved by the NRC on May 19, 2004, updated Section 5.6 of the TR.</P>
        <P>
          <E T="03">Date of issuance:</E>December 23, 2010.</P>
        <P>
          <E T="03">Effective date:</E>Effective as of the date of issuance and shall be implemented within 60 days.</P>
        <P>
          <E T="03">Amendment No.:</E>135.</P>
        <P>
          <E T="03">Renewed Facility Operating License No. NPF-63:</E>The amendment revises the TSs and facility operating license.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>November 10, 2009 (74 FR 58060). The supplements dated March 3, and July 28, 2010, provided additional information that clarified the application, did not expand the scope of the application as originally noticed, and did not change the staff's original proposed no significant hazards consideration determination as published in the<E T="7462">Federal Register</E>.</P>
        <P>The Commission's related evaluation of the amendment is contained in a safety evaluation dated December 23, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Duke Energy Carolinas, LLC, et al., Docket Nos. 50-413 and 50-414, Catawba Nuclear Station, Units 1 and 2, York County, South Carolina</HD>
        <P>
          <E T="03">Date of application for amendments:</E>December 14, 2009, as supplemented by letters dated September 8, 2010, and October 28, 2010.</P>
        <P>
          <E T="03">Brief description of amendments:</E>The amendments revised the Technical Specifications by revising Surveillance Requirements 3.8.4.3 and 3.8.4.6. These TS SRs address battery connection resistance values.</P>
        <P>
          <E T="03">Date of issuance:</E>December 20, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 60 days from the date of issuance.</P>
        <P>
          <E T="03">Amendment Nos.:</E>262, 258.</P>
        <P>
          <E T="03">Renewed Facility Operating License Nos. NPF-35 and NPF-52:</E>Amendments revised the licenses and the technical specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>August 10, 2010 (75 FR 48375). The supplements dated September 8, 2010, and October 28, 2010, provided additional information that clarified the application, did not expand the scope of the application as originally noticed, and did not change the staff's original proposed no significant hazards consideration determination.</P>
        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 20, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Duke Power Company LLC, Docket Nos. 50-369 and 50-370, McGuire Nuclear Station, Units 1 and 2, Mecklenburg County, North Carolina</HD>
        <P>
          <E T="03">Date of application for amendments:</E>December 14, 2009, as supplemented by letters dated September 8, 2010, and October 28, 2010.</P>
        <P>
          <E T="03">Brief description of amendments:</E>The amendments revised the Technical Specifications by revising Surveillance Requirements 3.8.4.2 and 3.8.4.5. These TS SRs address battery connection resistance values.</P>
        <P>
          <E T="03">Date of issuance:</E>December 20, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 60 days from the date of issuance.</P>
        <P>
          <E T="03">Amendment Nos.:</E>260, 240.</P>
        <P>
          <E T="03">Renewed Facility Operating License Nos. NPF-9 and NPF-17:</E>Amendments revised the licenses and the technical specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>August 10, 2010 (75 FR 48375). The supplements dated September 8, 2010, and October 28, 2010, provided additional information that clarified the application, did not expand the scope of the application as originally noticed, and did not change the staff's original proposed no significant hazards consideration determination.</P>
        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 20, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Exelon Generation Company, LLC, Docket Nos. STN 50-456 and STN 50-457, Braidwood Station, Units 1 and 2 (Braidwood), Will County, Illinois Docket Nos. STN 50-454 and STN 50-455, Byron Station, Unit Nos. 1 and 2 (Byron), Ogle County, Illinois</HD>
        <P>
          <E T="03">Date of application for amendment:</E>December 16, 2009, as supplemented by letters dated April 26 and October 25, 2010.</P>
        <P>
          <E T="03">Brief description of amendment:</E>The amendments revise Technical Specifications Section 5.6.5, “Core Operating Limits Report,” to replace the existing reference for the large break loss-of-coolant accident (LOCA) analysis methodology with a reference to WCAP-16009-P-A, Revision 0, “Realistic Large Break LOCA Evaluation Methodology Using the Automated Statistical Treatment of Uncertainty Method,” January 2005.</P>
        <P>
          <E T="03">Date of issuance:</E>December 21, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 60 days.</P>
        <P>
          <E T="03">Amendment Nos.:</E>Braidwood Unit 1—164; Braidwood Unit 2—164; Byron Unit No. 1—170; and Byron Unit No. 2—170.</P>
        <P>
          <E T="03">Facility Operating License Nos. NPF-72, NPF-77, NPF-37, and NPF-66:</E>The amendments revise the TSs and Licenses.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>February 23, 2010 (75 FR 8141). The supplemental letters dated April 26, and October 25, 2010, contained clarifying information, did not change the initial no significant hazards consideration determination, and did not expand the scope of the original<E T="04">Federal Register</E>notice.</P>

        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 21, 2010.<PRTPAGE P="1652"/>
        </P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Florida Power and Light Company, et al., Docket Nos. 50-335 and 50-389, St. Lucie Plant, Unit 1 and 2, St.. Lucie County, Florida.</HD>
        <P>
          <E T="03">Date of application for amendments:</E>December 14, 2009, as supplemented on July 30, 2010.</P>
        <P>
          <E T="03">Brief description of amendments:</E>Amendment modifies Technical Specification (TS) 3/4 .4.10 “Structural Integrity,” in Unit 1 (TS 3/4.4.11 in Unit 2), TS 3.3.3.8, “Accident Monitoring Instrumentation,” in Unit 1 (TS 3.3.3.6 in Unit 2), TS 6.4.1, “Training,” in Units 1 and 2, and several administrative changes in the TSs for both units . The changes delete the Structural Integrity TS, update Accident Monitoring Instrumentation requirements and make various administrative TS changes.</P>
        <P>
          <E T="03">Date of Issuance:</E>December 28, 2010.</P>
        <P>
          <E T="03">Effective Date:</E>As of the date of issuance and shall be implemented within 60 days.</P>
        <P>
          <E T="03">Amendment Nos.:</E>210, 159.</P>
        <P>
          <E T="03">Renewed Facility Operating License Nos. DPR-67 and NPF-16:</E>Amendments revised the TSs.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>April 20, 2010 (75 FR 20638). The supplement dated July 30, 2010, provided additional information that clarified the application, did not expand the scope of the application as originally noticed, and did not change the staff's original proposed no significant hazards consideration determination as published in the<E T="04">Federal Register</E>.</P>
        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 28, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">PSEG Nuclear LLC, Docket Nos. 50-354, 50-272 and 50-311, Hope Creek Generating Station and Salem Nuclear Generating Station, Unit 1 and 2, Salem County, New Jersey</HD>
        <P>
          <E T="03">Date of application for amendments:</E>March 25, 2010.</P>
        <P>
          <E T="03">Brief description of amendments:</E>The amendments revise the Technical Specifications (TSs) associated with reactor coolant system (RCS) structural integrity requirements for Hope Creek Generating Station (HCGS) and Salem Nuclear Generating Station (Salem), Unit Nos. 1 and 2. Specifically, the amendments revise the TSs to: (1) Delete the RCS structural integrity requirements contained in HCGS TS 3/4.4.8, Salem Unit 1 TS 3/4.4.10, and Salem Unit 2 TS 3/4.4.11; (2) relocate the augmented inservice inspection requirements for the reactor coolant pump flywheel, currently contained in Salem Unit 1 surveillance requirement (SR) 4.4.10.1.1 and Salem Unit 2 SR 4.4.11.1, to a new program in TS 6.8.4.k; and (3) delete the augmented inservice inspection program requirements for the steam generator channel heads currently contained in Salem Unit 1 SR 4.4.10.1.2.</P>
        <P>
          <E T="03">Date of issuance:</E>December 15, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance, to be implemented within 60 days.</P>
        <P>
          <E T="03">Amendment Nos.:</E>186, 298 and 281.</P>
        <P>
          <E T="03">Facility Operating License Nos. NPF-57, DPR-70 and DPR-75:</E>The amendments revised the TSs and the Licenses.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>June 15, 2010 (75 FR 33843).</P>
        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 15, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Tennessee Valley Authority, Docket Nos. 50-327 and 50-328, Sequoyah Nuclear Plant, Units 1 and 2, Hamilton County, Tennessee</HD>
        <P>
          <E T="03">Date of application for amendment:</E>January 26, 2010 (TS 09-05).</P>
        <P>
          <E T="03">Brief description of amendment:</E>The amendments revised the Technical Specification (TS) Table 3.3-1, “Reactor Trip System Instrumentation,” Functional Unit 5, “Intermediate Range, Neutron Flux,” to resolve an oversight regarding the operability requirements for the intermediate range neutron flux channels. The amendments added an action to TS Table 3.3-1 to define that the provisions of Specification 3.0.3 are not applicable above 10 percent of thermal rated power with the number of operable intermediate range neutron flux channels two less than the minimum channels operable requirement.</P>
        <P>
          <E T="03">Date of issuance:</E>December 21, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 60 days of issuance.</P>
        <P>
          <E T="03">Amendment Nos.:</E>328, 321.</P>
        <P>
          <E T="03">Facility Operating License Nos. DPR-77 and DPR-79:</E>Amendments revised the License and Technical Specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>March 23, 2010 (75 FR 13791).</P>
        <P>The Commission's related evaluation of the amendment is contained in a safety evaluation dated December 21, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Virginia Electric and Power Company, et al., Docket Nos. 50-280 and 50-281, Surry Power Station, Units 1 and 2, Surry County, Virginia</HD>
        <P>
          <E T="03">Date of application for amendments:</E>February 10, 2010.</P>
        <P>
          <E T="03">Brief Description of amendments:</E>These amendments revise the Technical Specifications 5.2.1, “Fuel Assemblies,” to add Optimized ZIRLO<SU>TM</SU>as an acceptable fuel rod cladding material. In addition, the amendments propose adding the Westinghouse topical report for Optimized ZIRLO<SU>TM</SU>to the analytical methods used to determine the core operating limits listed in TS 6.2.C.</P>
        <P>
          <E T="03">Date of issuance:</E>December 22, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 60 days.</P>
        <P>
          <E T="03">Amendment Nos.:</E>271, 270.</P>
        <P>
          <E T="03">Renewed Facility Operating License Nos. DPR-32 and DPR-37:</E>Amendments change the licenses and the technical specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>August 27, 2010 (75 FR 52781).</P>
        <P>The Commission's related evaluation of the amendments is contained in a Safety Evaluation dated December 22, 2010.</P>
        <P>No significant hazards consideration comments received: No.</P>
        <HD SOURCE="HD2">Wolf Creek Nuclear Operating Corporation, Docket No. 50-482, Wolf Creek Generating Station, Coffey County, Kansas</HD>
        <P>
          <E T="03">Date of amendment request:</E>March 4, 2009, as supplemented by letters dated March 25 and November 17, 2010.</P>
        <P>
          <E T="03">Brief description of amendment:</E>The amendment revised the approved fire protection program as described in the Wolf Creek Generating Station (WCGS) Updated Safety Analysis Report (USAR). Specifically, a deviation from certain technical requirements of Title 10 of the Code of Federal Regulations (10 CFR), part 50, appendix R, section III.G.2, as documented in Appendix 9.5E of the WCGS USAR, was requested regarding the use of operator manual actions in lieu of meeting circuit separation protection criteria. Table 3-1 of the submittal dated March 4, 2009 (Agencywide Documents Access and Management System (ADAMS) Accession No. ML090771269), identified the proposed feasible and reliable operator manual actions requested for permanent approval and Table 3-2 of the submittal identified the proposed feasible operator manual actions requested for approval on an interim basis. The interim operator actions will be eliminated with the<PRTPAGE P="1653"/>implementation of associated design change package. The amendment also revised license condition 2.C.(5)(a) to include the deviation approved by the amendment request.</P>
        <P>
          <E T="03">Date of issuance:</E>December 16, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 90 days from the date of issuance.</P>
        <P>
          <E T="03">Amendment No.:</E>191.</P>
        <P>
          <E T="03">Renewed Facility Operating License No. NPF-42.</E>The amendment revised the Operating License and Technical Specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>April 21, 2009 (75 FR 18258). The supplemental letters dated March 25 and November 17, 2010, provided additional information that clarified the application, did not expand the scope of the application as originally noticed, and did not change the staff's original proposed no significant hazards consideration determination as published in the<E T="04">Federal Register</E>.</P>
        <P>The Commission's related evaluation of the amendment is contained in a Safety Evaluation dated December 16, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <HD SOURCE="HD2">Wolf Creek Nuclear Operating Corporation, Docket No. 50-482, Wolf Creek Generating Station, Coffey County, Kansas</HD>
        <P>
          <E T="03">Date of amendment request:</E>December 16, 2009, as supplemented by letter dated August 26, 2010.</P>
        <P>
          <E T="03">Brief description of amendment:</E>The amendment revised the battery acceptance criteria in Technical Specification 3.8.4, “DC [Direct Current] Sources—Operating,” Surveillance Requirements (SRs) 3.8.4.2 and 3.8.4.5. Specifically, the amendment modified SR 3.8.4.2 and SR 3.8.4.5 by providing limits for inter-cell, inter-tier/inter-bank/terminal, and field jumper connections for 60-cell, 59-cell, and 58-cell configurations.</P>
        <P>
          <E T="03">Date of issuance:</E>December 20, 2010.</P>
        <P>
          <E T="03">Effective date:</E>As of the date of issuance and shall be implemented within 90 days from the date of issuance.</P>
        <P>
          <E T="03">Amendment No.:</E>192.</P>
        <P>
          <E T="03">Renewed Facility Operating License No. NPF-42.</E>The amendment revised the Operating License and Technical Specifications.</P>
        <P>
          <E T="03">Date of initial notice in</E>
          <E T="7462">Federal Register:</E>April 6, 2010 (75 FR 17448). The supplemental letter dated August 26, 2010, provided additional information that clarified the application, did not expand the scope of the application as originally noticed, and did not change the staff's original proposed no significant hazards consideration determination as published in the<E T="04">Federal Register</E>.</P>
        <P>The Commission's related evaluation of the amendment is contained in a Safety Evaluation dated December 20, 2010.</P>
        <P>
          <E T="03">No significant hazards consideration comments received:</E>No.</P>
        <SIG>
          <DATED>Dated at Rockville, Maryland, this 30th day of December 2010.</DATED>
          
          <P>For the Nuclear Regulatory Commission.</P>
          <NAME>Joseph G. Giitter,</NAME>
          <TITLE>Director, Division of Operating Reactor Licensing, Office of Nuclear Reactor Regulation.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-218 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 7590-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">NUCLEAR REGULATORY COMMISSION</AGENCY>
        <DEPDOC>[NRC-2011-0006]</DEPDOC>
        <SUBJECT>Sunshine Federal Register Notice</SUBJECT>
        <PREAMHD>
          <HD SOURCE="HED">AGENCY HOLDING THE MEETINGS:</HD>
          <P>Nuclear Regulatory Commission.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">DATES:</HD>
          <P>Weeks of January 10, 17, 24, 31, February 7, 14, 2011.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">PLACE:</HD>
          <P>Commissioners' Conference Room, 11555 Rockville Pike, Rockville, Maryland.</P>
        </PREAMHD>
        <PREAMHD>
          <HD SOURCE="HED">STATUS:</HD>
          <P>Public and Closed.</P>
        </PREAMHD>
        <HD SOURCE="HD1">Week of January 10, 2011</HD>
        <HD SOURCE="HD2">Tuesday, January 11, 2011</HD>
        <FP SOURCE="FP-1">9:30 a.m.Discussion of Management Issues (Closed—Ex. 2).</FP>
        <HD SOURCE="HD1">Week of January 17, 2011—Tentative</HD>
        <P>There are no meetings scheduled for the week of January 17, 2011.</P>
        <HD SOURCE="HD1">Week of January 24, 2011—Tentative</HD>
        <HD SOURCE="HD2">Monday, January 24, 2011</HD>
        <FP SOURCE="FP-1">1 p.m.Briefing on Safety Culture Policy Statement (Public Meeting) (Contact: Diane Sieracki, 301-415-3297).</FP>
        
        <P>This meeting will be webcast live at the Web address—<E T="03">http://www.nrc.gov</E>.</P>
        <HD SOURCE="HD1">Week of January 31, 2011—Tentative</HD>
        <HD SOURCE="HD2">Tuesday, February 1, 2011</HD>
        <FP SOURCE="FP-1">9 a.m.Briefing on Digital Instrumentation and Controls (Public Meeting) (Contact: Steven Arndt, 301-415-6502).</FP>
        
        <P>This meeting will be webcast live at the Web address—<E T="03">http://www.nrc.gov.</E>
        </P>
        <HD SOURCE="HD1">Week of February 7, 2011—Tentative</HD>
        <HD SOURCE="HD2">Tuesday, February 8, 2011</HD>
        <FP SOURCE="FP-1">9 a.m.Briefing on Implementation of Part 26 (Public Meeting) (Contact: Shana Helton, 301-415-7198).</FP>
        
        <P>This meeting will be webcast live at the Web address—<E T="03">http://www.nrc.gov.</E>
        </P>
        <HD SOURCE="HD1">Week of February 14, 2011—Tentative</HD>
        <P>There are no meetings scheduled for the week of February 14, 2011.</P>
        <P>*The schedule for Commission meetings is subject to change on short notice. To verify the status of meetings, call (recording)—(301) 415-1292. Contact person for more information: Rochelle Bavol, (301) 415-1651.</P>

        <P>The NRC Commission Meeting Schedule can be found on the Internet at:<E T="03">http://www.nrc.gov/about-nrc/policy-making/schedule.html.</E>
        </P>

        <P>The NRC provides reasonable accommodation to individuals with disabilities where appropriate. If you need a reasonable accommodation to participate in these public meetings, or need this meeting notice or the transcript or other information from the public meetings in another format (<E T="03">e.g.,</E>braille, large print), please notify Angela Bolduc, Chief, Employee/Labor Relations and Work Life Branch, at 301-492-2230, TDD: 301-415-2100, or by e-mail at<E T="03">angela.bolduc@nrc.gov</E>. Determinations on requests for reasonable accommodation will be made on a case-by-case basis.</P>

        <P>This notice is distributed electronically to subscribers. If you no longer wish to receive it, or would like to be added to the distribution, please contact the Office of the Secretary, Washington, DC 20555 (301-415-1969), or send an e-mail to<E T="03">darlene.wright@nrc.gov</E>.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Rochelle C. Bavol,</NAME>
          <TITLE>Policy Coordinator, Office of the Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-490 Filed 1-7-11; 4:15 pm]</FRDOC>
      <BILCOD>BILLING CODE 7590-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
        <DEPDOC>[Release No. 34-63642; File No. SR-NYSE-2010-87]</DEPDOC>
        <SUBJECT>Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Price List</SUBJECT>
        <DATE>January 4, 2011.</DATE>

        <P>Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934<PRTPAGE P="1654"/>(“Act”),<SU>1</SU>
          <FTREF/>and Rule 19b-4<SU>2</SU>
          <FTREF/>thereunder, notice is hereby given that on December 22, 2010, New York Stock Exchange LLC (“NYSE” or “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.</P>
        <FTNT>
          <P>
            <SU>1</SU>15 U.S.C. 78s(b)(1).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>2</SU>17 CFR 240.19b-4.</P>
        </FTNT>
        <HD SOURCE="HD1">I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change</HD>

        <P>The Exchange proposes to amend its 2011 Price List (“Price List”) for equity transactions to (i) Increase the credits to customers and floor brokers for transactions when adding liquidity in NYSE-listed securities, (ii) increase the fees charged to customers, floor brokers and Designated Market Makers (“DMMs”) for transactions when taking liquidity in NYSE-listed securities, (iii) create a second tier of charges for executions of Market-On-Close (“MOC”) and Limit-On-Close (“LOC”) orders in NYSE-listed securities, with a reduced charge per share for member organizations that execute an average daily trading volume (“ADV”) of greater than 14 million shares of MOC/LOC activity on the Exchange in the current month, (iv) create a tiered structure of credits to Supplemental Liquidity Providers (“SLPs”) for adding liquidity to the Exchange in NYSE-listed securities, based on an SLP's ADV in added liquidity in the applicable month, and (v) adopt a trading license fee for calendar year 2011. All of the foregoing changes will only apply to those NYSE-listed securities with a per share stock price of $1.00 or more. The amended pricing will take effect on January 3, 2011. The text of the proposed rule change is available at the Exchange, at<E T="03">http://www.nyse.com,</E>at the Commission's Public Reference Room, and on the Commission's Web site at<E T="03">http://www.sec.gov.</E>
        </P>
        <HD SOURCE="HD1">II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
        <P>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.</P>
        <HD SOURCE="HD2">A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
        <HD SOURCE="HD3">1. Purpose</HD>
        <P>The Exchange proposes to amend its Price List for equity transactions to increase the credits to customers and floor brokers for transactions when adding liquidity in NYSE-listed securities. Under the proposed new pricing for the trading of NYSE-listed securities, customers will receive a credit of $0.0015 per share for adding liquidity, and floor brokers will receive a credit of $0.0017 per share for adding liquidity. In each case, this is an increase of $0.0002 per share from the currently applicable rate.</P>
        <P>The Exchange proposes to further amend its Price List for equity transactions to increase the fees charged to customers, floor brokers and DMMs for transactions when taking liquidity in NYSE-listed securities. Under the proposed new pricing for the trading of NYSE-listed securities, customers and floor brokers will be charged a fee of $0.0023 per share for taking liquidity, and DMMs will be charged a fee of $0.0015 per share for taking liquidity. In each case, this is an increase of $0.0002 per share from the currently applicable rate.</P>
        <P>In addition, the Exchange is proposing to create a second tier of charges for executions of MOC and LOC orders in NYSE-listed securities, with a reduced charge of $0.00055 per share for member organizations that execute an ADV of greater than 14 million shares of MOC/LOC activity on the Exchange in the current month. Otherwise, the current rate of $0.00085 per share for executed MOC/LOC orders will be applicable. The Exchange notes that it has, in the past, had a tiered structure of charges for MOC/LOC orders based on ADV parameters.<SU>3</SU>
          <FTREF/>The proposed second tier of charges for executions of MOC and LOC orders will reduce charges for those member organizations executing greater volume at the NYSE close, thereby encouraging market participants to increase their MOC/LOC activity on the NYSE and facilitating greater liquidity and improved pricing at the close.<SU>4</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>3</SU>
            <E T="03">See</E>Securities Exchange Act Release No. 60436 (August 5, 2009), 74 FR 40252 (August 11, 2009) (File No. SR-NYSE-2009-77) (notice of filing and immediate effectiveness of proposed rule change by NYSE adding a second MOC/LOC tier).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>4</SU>
            <E T="03">See</E>e-mail from William Love, Chief Counsel, NYSE Euronext, to Nathan Saunders, Special Counsel, and Andrew Madar, Special Counsel, Commission, dated January 3, 2011 (“NYSE e-mail”).</P>
        </FTNT>
        <P>The Exchange further proposes to create a tiered structure of credits to SLPs for adding liquidity to the Exchange in NYSE-listed securities, based on an SLP's ADV in added liquidity in the applicable month. Under the proposal, SLPs that meet the SLP 10% quoting requirement will receive a credit per share per transaction for adding liquidity, based on total ADV of added liquidity in the applicable month for all assigned SLP securities, as follows:</P>
        <P>• $0.0022 credit per share per transaction if total ADV of added liquidity is more than 50 million shares</P>
        <P>• $0.0021 credit per share per transaction if total ADV of added liquidity is more than 20 million shares but not more than 50 million shares</P>
        <P>• $0.0020 credit per share per transaction if total ADV of added liquidity is more than 10 million shares but not more than 20 million shares</P>
        <P>For all other SLP transactions that add liquidity to the Exchange but do not qualify for any of the foregoing credits, the credit will be $0.0015 per share per transaction, representing an increased credit of $0.0002 per share from the current rate for that lowest tier.</P>
        <P>The Exchange is also adding a new footnote 4 to the Price List stating that the ADV calculations described above will exclude early closing days. The Exchange notes that it had this same footnote in its Price List in the recent past,<SU>5</SU>
          <FTREF/>but it was inadvertently eliminated when a paragraph containing it was deleted.</P>
        <FTNT>
          <P>
            <SU>5</SU>
            <E T="03">See,</E>e.g., Exhibit 5, footnote 9, in File No. SR-NYSE-2010-34.</P>
        </FTNT>
        <P>These changes are intended to be effective immediately for all transactions beginning January 3, 2011 and are only applicable to those NYSE-listed securities with a per share stock price of $1.00 or more.</P>

        <P>Finally, NYSE Rule 300(b) provides that, in each annual offering, up to 1366 trading licenses for the following calendar year will be sold annually at a price per trading license to be established each year by the Exchange pursuant to a rule filing submitted to the Commission and that the price per trading license will be published each year in the Exchange's price list. The Exchange proposes to establish a trading license fee for calendar year 2011 of $40,000. This is the same as the trading<PRTPAGE P="1655"/>license fee charged in calendar years 2009 and 2010.</P>
        <HD SOURCE="HD3">2. Statutory Basis</HD>
        <P>The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Securities Exchange Act of 1934 (the “Act”),<SU>6</SU>
          <FTREF/>in general, and Section 6(b)(4) of the Act,<SU>7</SU>
          <FTREF/>in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees, and other charges among its members and other persons using its facilities. The Exchange believes that the proposal does not constitute an inequitable allocation of fees, as all similarly situated member organizations will be subject to the same fee structure and access to the Exchange's market is offered on fair and non-discriminatory terms. The Exchange believes that the proposed amendments to the Price List represent an equitable allocation of dues and fees in that the increase in the credit to customers and floor brokers when adding liquidity is the same ($0.0002 per share) and such credits are intended to encourage greater liquidity at the NYSE quote and narrower spreads.<SU>8</SU>
          <FTREF/>The proposed increase in the charge for transactions taking liquidity from the NYSE is the same for customers, floor brokers and DMMs ($0.0002 per share) and corresponds to the increase in credits for providing liquidity.<SU>9</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>6</SU>15 U.S.C. 78f.</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>7</SU>15 U.S.C. 78f(b)(4).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>8</SU>
            <E T="03">See</E>NYSE e-mail,<E T="03">supra</E>note 4. The Exchange notes that the reasons for the difference between floor broker and customer credits on the NYSE (the floor broker credit is currently $0.0002 higher and will remain $0.0002 higher after the proposed fee changes are effective) were originally discussed in a 2008 filing by the Exchange, SR-NYSE-2008-15. In that filing, which established a credit of $0.0004 per share for execution of orders sent directly to the floor broker for representation on the NYSE when adding liquidity to the NYSE Display Book system, the Exchange stated: “Technological limitations make it impossible for floor brokers to post orders on other markets while at the point of sale on the Exchange. Therefore, unlike other Exchange users, they are unable to benefit from the incentives certain other markets provide to customers who provide liquidity. The time that would elapse if a floor broker sent the order to his booth or upstairs trading desk for execution on another market means that, if the floor broker utilized this alternative, the trade would likely not get executed at the desired price. The Exchange believes this disparity places floor brokers at a competitive disadvantage to other Exchange customers and believes that the proposed credit will mitigate the effects of that disadvantage while also attracting additional liquidity to the Exchange.” The Statutory Basis section of that 2008 filing further stated that, “The Exchange believes that the proposed credit represents an equitable allocation of reasonable dues, fees, and other charges because floor brokers are integral to the Exchange's market model and the proposed credit lessens the impact on floor brokers of the competitive disadvantage arising out of the difficulty they experience in availing themselves or their customers of liquidity credits on other markets.”<E T="03">See</E>Securities Exchange Act Release No. 57433 (March 5, 2008), 73 FR 13064 (March 11, 2008) (File No. SR-NYSE-2008-15). The Exchange believes that the rationale stated in the 2008 filing applies equally to the current situation in which floor broker credits for adding liquidity are slightly higher than customer credits for adding liquidity.<E T="03">See</E>NYSE e-mail,<E T="03">supra</E>note 4.</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>9</SU>
            <E T="03">See</E>NYSE e-mail,<E T="03">supra</E>note 4.</P>
        </FTNT>
        <HD SOURCE="HD2">B. Self-Regulatory Organization's Statement on Burden on Competition</HD>
        <P>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.</P>
        <HD SOURCE="HD2">C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others</HD>
        <P>No written comments were solicited or received with respect to the proposed rule change.</P>
        <HD SOURCE="HD1">III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action</HD>
        <P>The foregoing rule change is effective upon filing pursuant to Section 19(b)(3)(A)<SU>10</SU>
          <FTREF/>of the Act and subparagraph (f)(2) of Rule 19b-4<SU>11</SU>
          <FTREF/>thereunder, because it establishes a due, fee, or other charge imposed on its members by the NYSE.</P>
        <FTNT>
          <P>
            <SU>10</SU>15 U.S.C. 78s(b)(3)(A).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>11</SU>17 CFR 240.19b-4(f)(2).</P>
        </FTNT>
        <P>At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule change should be approved or disapproved.</P>
        <HD SOURCE="HD1">IV. Solicitation of Comments</HD>
        <P>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:</P>
        <HD SOURCE="HD2">Electronic Comments</HD>
        <P>• Use the Commission's Internet comment form<E T="03">(http://www.sec.gov/rules/sro.shtml);</E>or</P>
        <P>• Send an e-mail to<E T="03">rule-comments@sec.gov.</E>Please include File Number SR-NYSE-2010-87 on the subject line.</P>
        <HD SOURCE="HD2">Paper Comments</HD>
        <P>• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.</P>
        

        <P>All submissions should refer to File Number SR-NYSE-2010-87. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (<E T="03">http://www.sec.gov/rules/sro.shtml</E>). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-NYSE-2010-87 and should be submitted on or before February 1, 2011.</P>
        <SIG>
          <P>For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.<SU>12</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>12</SU>17 CFR 200.30-3(a)(12).</P>
          </FTNT>
          <NAME>Elizabeth M. Murphy,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-321 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 8011-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1656"/>
        <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
        <DEPDOC>[Release No. 34-63644; File No. SR-NYSEAmex-2010-125]</DEPDOC>
        <SUBJECT>Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange Price List</SUBJECT>
        <DATE>January 5, 2011.</DATE>
        <P>Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),<SU>1</SU>
          <FTREF/>and Rule 19b-4<SU>2</SU>
          <FTREF/>thereunder, notice is hereby given that on December 22, 2010, NYSE Amex LLC (“NYSE Amex” or “Exchange”) filed with the Securities and Exchange Commission (the “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.</P>
        <FTNT>
          <P>
            <SU>1</SU>15 U.S.C. 78s(b)(1).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>2</SU>17 CFR 240.19b-4.</P>
        </FTNT>
        <HD SOURCE="HD1">I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change</HD>

        <P>The Exchange proposes to amend its 2011 Price List for equities (“Price List”) to increase (i) the fees charged to customers and floor brokers for taking liquidity in Exchange-listed securities priced at $1.00 or more and (ii) the credits to customers and floor brokers for adding liquidity in Exchange-listed securities priced at $1.00 or more. The Exchange also proposes to modify the fees and credits applicable to Designated Market Makers (“DMMs”), including the creation of a two-tiered credit structure, based on consolidated average daily volume (“CADV”) in all Exchange-listed stocks, for adding liquidity in Exchange-listed securities priced at $1.00 or more, and the addition of a flat fee of $100 per month (in addition to the current rate on transactions) in issues for which the DMM has met its 10% quoting requirement and whose CADV is less than 50,000 shares per day. Finally, the Exchange proposes to increase the credits applicable to Supplemental Liquidity Providers (“SLPs”) when adding liquidity to the Exchange in securities priced at $1.00 or more. The amended pricing will take effect on January 3, 2011. The text of the proposed rule change is available at the Exchange, at<E T="03">http://www.nyse.com,</E>at the Commission's Public Reference Room, and on the Commission's Web site at<E T="03">http://www.sec.gov.</E>
        </P>
        <HD SOURCE="HD1">II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
        <P>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.</P>
        <HD SOURCE="HD2">A.<E T="03">Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</E>
        </HD>
        <HD SOURCE="HD3">1. Purpose</HD>
        <P>The Exchange proposes to amend its Price List for equities to increase (i) the fees charged to customers and floor brokers for taking liquidity in Exchange-listed securities priced at $1.00 or more and (ii) the credits to customers and floor brokers for adding liquidity in Exchange-listed securities priced at $1.00 or more.</P>
        <P>Customers and floor brokers, with certain exceptions, are currently charged a fee of $0.0025 per share for transactions in Exchange-listed securities priced at $1.00 or more that take liquidity from the Exchange. Under the proposal, the fee will be increased to $0.0028 per share for such transactions.</P>
        <P>Customers and floor brokers currently receive a credit of $0.0015 per share for transactions in Exchange-listed securities priced at $1.00 or more that add liquidity to the Exchange. Under the proposal, the credit will be increased to $0.0016 per share for such transactions.</P>
        <P>The Exchange proposes to further amend its Price List for equities to modify the fees and credits applicable to DMMs. Currently, DMMs are charged a fee of $0.0015 per share for transactions in Exchange-listed securities priced at $1.00 or more that take liquidity from the Exchange. Under the proposal, the fee will be increased to $0.0016 per share for transactions that take liquidity.</P>
        <P>Additionally, DMMs currently receive a credit of $0.0035 per share for transactions in Exchange-listed securities priced at $1.00 or more that add liquidity to the Exchange. The Exchange is proposing to replace this with a two-tiered structure based on the CADV in all Exchange-listed stocks during the current month. CADV for these purposes includes all U.S. trading of Amex-listed stocks across all trading platforms whose volume is included in published numbers, not just shares traded on the Exchange during that month.<SU>3</SU>
          <FTREF/>Under the proposal the credit will be $0.0042 per share for transactions in Exchange-listed securities priced at $1.00 or more that add liquidity, if the CADV in all Exchange-listed stocks during the current month is equal to or greater than 135 million shares per day. The credit will be $0.0045 per share for such transactions if the CADV in all Exchange-listed stocks during the current month is less than 135 million shares per day. The higher credit of $0.0045 per share provided when the CADV in Amex-listed stocks is under 135 million shares will provide the DMMs with a greater incentive to provide liquidity when the markets in Amex-listed stocks are less active. This tiered structure, with a higher credit per share in lower-volume months and a lower credit per share in higher volume months, is also expected to result in more consistent month-to-month payments to DMMs by the Exchange.<SU>4</SU>
          <FTREF/>The Exchange is also adding a footnote stating that, for purposes of determining these liquidity credits that are based on the CADV in all Exchange-listed stocks in the current month, ADV calculations will exclude early closing days.<SU>5</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>3</SU>
            <E T="03">See</E>e-mail from William Love, Chief Counsel, NYSE Euronext, to Nathan Saunders, Special Counsel, and Andrew Madar, Special Counsel, Commission, dated January 4, 2011.</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>4</SU>
            <E T="03">Id.</E>
          </P>
        </FTNT>
        <FTNT>
          <P>

            <SU>5</SU>The New York Stock Exchange has had a similar footnote in its equities price list in the recent past, excluding early closing days in certain calculations based on average daily volume for a group of stocks.<E T="03">See,</E>e.g., Exhibit 5, footnote 9, in File No. SR-NYSE-2010-34.</P>
        </FTNT>
        <P>For transactions in Exchange-listed securities priced below $1.00 that add liquidity to the Exchange, DMMs currently receive a credit of 0.15% of the total dollar value of the transaction. The Exchange is proposing that the credit for such transactions be increased to 0.25% of the total dollar value of the transaction.</P>

        <P>Further, for a less active security with a CADV during the current month of less than 50,000 shares per day for which the DMM has met its 10% quoting requirement in that month, the Exchange is proposing to pay the DMM a monthly credit of $100 for each such security in addition to the current rate on transactions in that security. This additional flat dollar credit will supplement the DMM rebate in securities that do not trade actively. This flat monthly credit will be applicable to all Exchange-listed stocks regardless of price.<PRTPAGE P="1657"/>
        </P>
        <P>Finally, the Exchange proposes to increase the credits applicable to SLPs when adding liquidity to the Exchange in Exchange-listed securities priced at $1.00 or more. For such transactions in which the SLP also meets the 5% average or more quoting requirement in an assigned security pursuant to Rule 107B (the “5% quoting requirement”), the credit per share for the SLP will increase from the current rate of $0.0020 to $0.0027. For such transactions in which the SLP does not meet the 5% quoting requirement, the credit per share for the SLP will increase from the current rate of $0.0015 to $0.0016.</P>
        <P>The Exchange has also expanded the heading of the first section of the Price List relating to fees and credits applicable to DMMs in Exchange-listed securities to clarify that this section describing DMM fees and credits relates only to securities priced at $1.00 or more per share. This is a clean-up change and is not substantive in nature.</P>
        <P>These changes are intended to be effective immediately for all transactions beginning January 3, 2011.</P>
        <HD SOURCE="HD3">2. Statutory Basis</HD>
        <P>The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Securities Exchange Act of 1934 (the “Act”),<SU>6</SU>
          <FTREF/>in general, and Section 6(b)(4) of the Act,<SU>7</SU>
          <FTREF/>in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees, and other charges among its members and other persons using its facilities. The Exchange believes that the proposal does not constitute an inequitable allocation of fees, as all similarly situated member organizations will be subject to the same fee structure and access to the Exchange's market is offered on fair and non-discriminatory terms. The Exchange believes that the proposed amendments to its equities Price List represent an equitable allocation of dues and fees in that the proposed increased credit of $0.0001 per share for adding liquidity is the same for floor brokers and customers, as is the increase of $0.0003 per share in the charge when taking liquidity. The Exchange further notes that the new equity per share credit of $0.0016 for adding liquidity is exactly the same for both customers and floor brokers, as is the new equity per share charge of $0.0028 for taking liquidity.<SU>8</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>6</SU>15 U.S.C. 78f.</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>7</SU>15 U.S.C. 78f(b)(4).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>8</SU>
            <E T="03">See</E>e-mail from William Love, Chief Counsel, NYSE Euronext, to Nathan Saunders, Special Counsel, and Andrew Madar, Special Counsel, Commission, dated January 3, 2011.</P>
        </FTNT>
        <HD SOURCE="HD2">B. Self-Regulatory Organization's Statement on Burden on Competition</HD>
        <P>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.</P>
        <HD SOURCE="HD2">C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others</HD>
        <P>No written comments were solicited or received with respect to the proposed rule change.</P>
        <HD SOURCE="HD1">III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action</HD>
        <P>The foregoing rule change is effective upon filing pursuant to Section 19(b)(3)(A)<SU>9</SU>
          <FTREF/>of the Act and subparagraph (f)(2) of Rule 19b-4<SU>10</SU>
          <FTREF/>thereunder, because it establishes a due, fee, or other charge imposed on its members by NYSE Amex.</P>
        <FTNT>
          <P>
            <SU>9</SU>15 U.S.C. 78s(b)(3)(A).</P>
        </FTNT>
        <FTNT>
          <P>
            <SU>10</SU>17 CFR 240.19b-4(f)(2).</P>
        </FTNT>
        <P>At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule change should be approved or disapproved.</P>
        <HD SOURCE="HD1">IV. Solicitation of Comments</HD>
        <P>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:</P>
        <HD SOURCE="HD2">Electronic Comments</HD>
        <P>• Use the Commission's Internet comment form (<E T="03">http://www.sec.gov/rules/sro.shtml</E>); or</P>
        <P>• Send an e-mail to<E T="03">rule-comments@sec.gov.</E>Please include File Number SR-NYSEAmex-2010-125 on the subject line.</P>
        <HD SOURCE="HD2">Paper Comments</HD>
        <P>• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.</P>
        

        <FP>All submissions should refer to File Number SR-NYSEAmex-2010-125. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet website (<E T="03">http://www.sec.gov/rules/sro.shtml</E>). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-NYSEAmex-2010-125 and should be submitted on or before February 1, 2011.</FP>
        <SIG>
          <P>For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.<SU>11</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>11</SU>17 CFR 200.30-3(a)(12).</P>
          </FTNT>
          <NAME>Elizabeth M. Murphy,</NAME>
          <TITLE>Secretary.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-322 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 8011-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">SMALL BUSINESS ADMINISTRATION</AGENCY>
        <SUBJECT>National Small Business Development Center Advisory Board</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>U.S. Small Business Administration (SBA).</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of open Federal Advisory Committee meetings.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The SBA is issuing this notice to announce the location, date, time and agenda for the second quarter meetings of the National Small Business Development Center (SBDC) Advisory Board.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The meetings for the fourth quarter will be held on the following dates:</P>
        </DATES>
        
        <PRTPAGE P="1658"/>
        <FP SOURCE="FP-1">Tuesday, January 18, 2011 at 1 p.m. EST.</FP>
        <FP SOURCE="FP-1">Tuesday, February 15, 2011 at 1 p.m. EST.</FP>
        <FP SOURCE="FP-1">Tuesday, March 15, 2011 at 1 p.m. EST.</FP>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>These meetings will be held via conference call.</P>
        </ADD>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>Pursuant to section 10(a) of the Federal Advisory Committee Act (5 U.S.C. Appendix 2), SBA announces the meetings of the National SBDC Advisory Board. This Board provides advice and counsel to the SBA Administrator and Associate Administrator for Small Business Development Centers.</P>
        <P>The purpose of these meetings is to discuss following issues pertaining to the SBDC Advisory Board:</P>
        
        <FP SOURCE="FP-1">—SBA Update</FP>
        <FP SOURCE="FP-1">—White Paper follow-up</FP>
        <FP SOURCE="FP-1">—ASBDC Annual Spring Meeting</FP>
        <FP SOURCE="FP-1">—Member Roundtable</FP>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>The meeting is open to the public however advance notice of attendance is requested. Anyone wishing to be a listening participant must contact Alanna Falcone by fax or e-mail. Her contact information is Alanna Falcone, Program Analyst, 409 Third Street, SW., Washington, DC 20416, Phone, 202-619-1612, Fax 202-481-0134, e-mail,<E T="03">alanna.falcone@sba.gov.</E>
          </P>
          <P>Additionally, if you need accommodations because of a disability or require additional information, please contact Alanna Falcone at the information above.</P>
          <SIG>
            <NAME>Dan S. Jones,</NAME>
            <TITLE>Committee Management Officer.</TITLE>
          </SIG>
        </FURINF>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-314 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">SMALL BUSINESS ADMINISTRATION</AGENCY>
        <SUBJECT>Surrender of License of Small Business Investment Company</SUBJECT>
        <P>Pursuant to the authority granted to the United States Small Business Administration under the Small Business Investment Act of 1958, under Section 309 of the Act and Section 107.1900 of the Small Business Administration Rules and Regulations (13 CFR 107.1900) to function as a small business investment company under the Small Business Investment Company License No. 03/73-0228 issued to Toucan Capital Fund II and said license is hereby declared null and void.</P>
        <SIG>
          <FP>United States Small Business Administration.</FP>
          <NAME>Sean J. Greene,</NAME>
          <TITLE>AA/Investment.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-316 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF STATE</AGENCY>
        <DEPDOC>[Public Notice: 7267]</DEPDOC>
        <SUBJECT>60-Day Notice of Proposed Information Collection: DS 4053, Department of State Mentor-Protégé Program Application, OMB 1405-0161</SUBJECT>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of request for public comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>The Department of State is seeking Office of Management and Budget (OMB) approval for the information collection described below. The purpose of this notice is to allow 60 days for public comment in the<E T="04">Federal Register</E>preceding submission to OMB. We are conducting this process in accordance with the Paperwork Reduction Act of 1995.</P>
          <P>•<E T="03">Title of Information Collection:</E>Department of State Mentor-Protégé Program Application.</P>
          <P>•<E T="03">OMB Control Number:</E>OMB 1405-0161.</P>
          <P>•<E T="03">Type of Request:</E>Extension of a Currently Approved Collection.</P>
          <P>•<E T="03">Originating Office:</E>Bureau of Administration, Office of Small and Disadvantaged Business Utilization—A/SDBU.</P>
          <P>•<E T="03">Form Number:</E>DS-4053.</P>
          <P>•<E T="03">Respondents:</E>Small and large for-profit companies planning to team together in an official mentor-protégé capacity to improve the likelihood of winning DOS contracts.</P>
          <P>•<E T="03">Estimated Number of Respondents:</E>14 respondents per year.</P>
          <P>•<E T="03">Estimated Number of Responses:</E>14 per year.</P>
          <P>•<E T="03">Average Hours Per Response:</E>21.</P>
          <P>•<E T="03">Total Estimated Burden:</E>294.</P>
          <P>•<E T="03">Frequency:</E>On occasion.</P>
          <P>•<E T="03">Obligation to Respond:</E>Required to Obtain Benefit.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>The Department will accept comments from the public up to 60 days from January 11, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>You may submit comments by any of the following methods:</P>
          <P>•<E T="03">E-mail: culbrethpb@state.gov.</E>
          </P>
          <P>•<E T="03">Mail (paper, disk, or CD-ROM submissions):</E>A/SDBU, Patricia Culbreth, SA-6, Room L-500, Washington DC 20522-0602.</P>
          <P>•<E T="03">Fax:</E>703-875-6825.</P>
          <P>•<E T="03">Hand Delivery or Courier:</E>1701 North Ft. Myer Drive, Arlington, Virginia 22209. You must include the DS form number, information collection title, and OMB control number in any correspondence.</P>

          <P>• If you have access to the Internet you can view this notice and provide comments by going to<E T="03">http://www.regulations.gov/search/Regs/home.html#home.</E>
          </P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Direct requests for additional information regarding the collection listed in this notice, including requests for copies of the proposed information collection and supporting documents, to Patricia Culbreth, A/SDBU, Patricia Culbreth, SA-6, Room L-500, Washington DC 20522-0602 who may be reached on 703-875-6881. E-mail:<E T="03">culbrethpb@state.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P SOURCE="NPAR">We are soliciting public comments to permit the Department to:</P>
        <P>• Evaluate whether the proposed information collection is necessary for the proper performance of our functions.</P>
        <P>• Evaluate the accuracy of our estimate of the burden of the proposed collection, including the validity of the methodology and assumptions used.</P>
        <P>• Enhance the quality, utility, and clarity of the information to be collected.</P>
        <P>• Minimize the reporting burden on those who are to respond, including the use of automated collection techniques or other forms of technology.</P>
        <P>
          <E T="03">Abstract of proposed collection:</E>This information collection facilitates continuation of a mentor-protégé program that encourages business agreements between small and large for-profit companies planning to team together in an official mentor-protégé capacity to improve the likelihood of winning DOS contracts. This program assists the State Department OSDBU office in reaching its small business goals.</P>
        <P>
          <E T="03">Methodology:</E>Respondents may submit the information by e-mail using DS-4053, or by letter using fax or postal mail.</P>
        <P>
          <E T="03">Additional Information:</E>None.</P>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Shapleigh C. Drisko,</NAME>
          <TITLE>Operations Director, Office of Small and Disadvantaged Business Utilization, Department of State.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-359 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4710-24-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1659"/>
        <AGENCY TYPE="S">DEPARTMENT OF STATE</AGENCY>
        <DEPDOC>[Public Notice 7291]</DEPDOC>
        <SUBJECT>Notice of Receipt of Application for a Presidential Permit To Construct, Operate and Maintain Pipeline Facilities on the Border of the United States</SUBJECT>
        <P>Notice is hereby given that the Department of State has received an application to construct, operate and maintain pipeline facilities on the border of the United States from Vantage Pipeline US LP (“Applicant” or “Vantage”), a limited partnership duly organized under the laws of the State of Delaware. According to the application, Vantage's general partner is Vantage Pipeline US GP LLC, a Delaware limited liability company, and its limited partner is Mistral Energy US Inc., a subsidiary of Mistral Energy Inc., which is a private company based in Calgary, Alberta, Canada with over 25 years experience in the design, construction and operation of energy infrastructure projects in western Canada.</P>
        <P>The application also states that Mistral Energy US Inc. intends to transfer its ownership position in Vantage prior to construction of the pipeline facilities to a yet to be formed limited partnership named Riverstone-Mistral US LP (“Riverstone-Mistral”). Riverstone-Mistral US LP will be a Delaware limited partnership located at: 712 Fifth Avenue, 19th Floor, New York, NY 10019. According to information submitted to the Department, the limited partners of Riverstone-Mistral US LP will be Mistral Energy US Inc, an affiliate of Mistral Energy, Inc., and Riverstone/Carlyle Fund IV, which is managed by Riverstone Holdings, LLC. The Department has also been advised that Riverstone Holdings, LLC, a Delaware entity owned by the two founders of Riverstone Holdings LLC, David Leuschen and Pierre Lepeyre, Jr, is an energy and power-focused private equity firm founded in 2000.</P>
        <P>In a supplemental submission from the Vantage Pipeline's legal counsel, it was explained that Riverstone/Carlyle Fund IV LP is also a Delaware partnership based at the same address as Riverstone-Mistral US LP and that its General Partner is Riverstone/Carlyle Energy Partners IV, LP. The submission also explained that the Carlyle Group, a Washington DC-based asset management firm, holds an indirect minority interest (less than 20%) in Riverstone/Carlyle Energy Partners IV, LP and, through that ownership, has an indirect ownership interest in Riverstone/Carlyle Fund IV LP. Lastly, the submission explains that Riverstone/Carlyle Fund IV LP is controlled by an investment committee, which is in turn controlled by Riverstone/Carlyle Energy Partners, LP, and that Riverstone Holdings LLC is the General Partner of Riverstone/Carlyle Energy Partners, LP and thus indirectly controls Riverstone/Carlyle Fund IV LP.</P>

        <P>The applicant seeks a Presidential Permit authorizing the construction, operation, and maintenance of a 10-12 inch diameter liquid pipeline, known as the Vantage Pipeline, at the U.S.-Canada border near Fortuna, North Dakota. Vantage seeks authorization to construct, operate and maintain this cross-border pipeline between the northern-most valve in the United States and the U.S.-Canada border (<E T="03">i.e.,</E>the border crossing facilities).</P>
        <P>The planned Vantage Pipeline will be a high vapor pressure (“HVP”) pipeline designed to transport liquid ethane from Hess Corporation's natural gas processing plant in Tioga, North Dakota to the Alberta Ethane Gathering System (AEGS) in Alberta, Canada, a distance of approximately 430 miles. Approximately 80 of those miles of pipeline will be located in the United States.</P>
        <P>According to the application, the ethane transported in the Vantage Pipeline is a flammable liquid that is non-corrosive, odorless, and colorless It has similar characteristics to natural gas, the fuel that is used in furnaces to heat homes. Ethane is currently used as a feedstock by the Alberta petrochemical industry and is ultimately converted to plastics, anti-freeze, rubber, detergents, solvents and like products.</P>
        <P>The Applicant submits that the Vantage Pipeline will serve the national interest by providing the natural gas, oil and ethane-producing Bakken Formation region of North Dakota with access to the existing ethane AEGS infrastructure and market in Alberta. Currently no market exists for petrochemical grade (also known as “specification” or “pure grade”) ethane in North Dakota; however, the construction of the Vantage Pipeline will make it feasible to extract the ethane byproduct from North Dakota-produced natural gas and export it for use in the Canadian petrochemical industry. The Applicant contends that the pipeline therefore will enhance exports from the United States, allow U.S. natural gas producers to recognize benefits from an existing resource from which they are not presently recognizing any financial benefit, and will contribute to the national economy in terms of job creation and tax payments.</P>
        <P>As required by E.O. 13337, the Department of State is circulating this application to concerned federal agencies for comment. Consistent with Section 102(C) of the National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4332(C)) and implementing regulations promulgated by the Council on Environmental Quality (40 CFR Parts 1500-1508) and the Department of State (22 CFR Part 161), including in particular 22 CFR 161.7(c)(1), the Department of State intends to prepare an environmental assessment (EA) to evaluate the potential environmental effects of the proposed project and to determine whether to prepare an environmental impact statement. In that connection, the applicant states that it intends to provide the Department with an environmental report in the coming weeks in support of the application. The Department also intends to conduct consultations on possible impacts to traditional or cultural properties with interested Native American tribes consistent with Section 106 of the National Historical Preservation Act (NHPA).</P>
        <P>The purpose of this Notice of Intent is to inform the public about the application and to solicit public comments.</P>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>

          <P>Interested parties are invited to submit, in duplicate, comments relative to this application on or before [30 days from publication of this notice] to Alexander Yuan, OES/ENV, NEPA Compliance Officer, Room 2627, Office of Environment, Oceans and International Environmental Affairs, Department of State, Washington, DC 20520. Comments can also be e-mailed to<E T="03">YuanAW@state.gov.</E>The application and related documents that are part of the record to be considered by the Department of State in connection with this application are available for inspection in the Office of International Energy and Commodities Policy during normal business hours.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>Alex Yuan at (202) 647-4284; or by e-mail at<E T="03">YuanAW@State.gov</E>or Michael P. Stewart, Office of International Energy and Commodity Policy (EB/ESC/IEC/EPC), Department of State, Washington, DC 20520; or by telephone at (202) 647-1291; or by e-mail at<E T="03">StewartMP@State.gov.</E>
          </P>
          <SIG>
            <DATED>Dated: January 5, 2011.</DATED>
            <NAME>Stephen J. Gallogly,</NAME>
            <TITLE>Director, Office of International Energy and Commodity Policy, Department of State.</TITLE>
          </SIG>
        </FURINF>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-352 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4710-07-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <PRTPAGE P="1660"/>
        <AGENCY TYPE="S">DEPARTMENT OF STATE</AGENCY>
        <DEPDOC>[Public Notice 7290]</DEPDOC>
        <SUBJECT>Culturally Significant Objects Imported for Exhibition Determinations: “Reconfiguring an African Icon: Odes to the Mask by Modern and Contemporary Artists From Three Continents”</SUBJECT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681,<E T="03">et seq.;</E>22 U.S.C. 6501 note,<E T="03">et seq.</E>), Delegation of Authority No. 234 of October 1, 1999, and Delegation of Authority No. 236-3 of August 28, 2000, I hereby determine that the objects to be included in the exhibition “Reconfiguring an African Icon: Odes to the Mask by Modern and Contemporary Artists from Three Continents,” imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to a loan agreement with the foreign owner or custodian. I also determine that the exhibition or display of the exhibit objects at the Metropolitan Museum of Art, New York, NY, from on or about March 8, 2011, until on or about August 21, 2011, and at possible additional exhibitions or venues yet to be determined, is in the national interest. Public Notice of these Determinations is ordered to be published in the<E T="04">Federal Register</E>.</P>
        </SUM>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>For further information, including a list of the exhibit objects, contact Carol B. Epstein, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (<E T="03">telephone:</E>202/632-6473). The address is U.S. Department of State, SA-5, L/PD, Fifth Floor, Washington, DC 20522-0505.</P>
          <SIG>
            <DATED>Dated: January 4, 2011.</DATED>
            <NAME>Ann Stock,</NAME>
            <TITLE>Assistant Secretary, Bureau of Educational and Cultural Affairs, Department of State.</TITLE>
          </SIG>
        </FURINF>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-361 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4710-05-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF STATE</AGENCY>
        <DEPDOC>[Public Notice: 7289]</DEPDOC>
        <SUBJECT>Culturally Significant Objects Imported for Exhibition Determinations: “Art in Cameroon: Sculptural Dialogues”</SUBJECT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681,<E T="03">et seq.;</E>22 U.S.C. 6501 note,<E T="03">et seq.</E>), Delegation of Authority No. 234 of October 1, 1999, and Delegation of Authority No. 236-3 of August 28, 2000, I hereby determine that the objects to be included in the exhibition “Art in Cameroon: Sculptural Dialogues,” imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to loan agreements with the foreign owners or custodians. I also determine that the exhibition or display of the exhibit objects at the Neuberger Museum of Art, Purchase, NY, from on or about April 23, 2011, until on or about August 14, 2011, and at possible additional exhibitions or venues yet to be determined, is in the national interest. Public Notice of these Determinations is ordered to be published in the<E T="04">Federal Register.</E>
          </P>
        </SUM>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
          <P>For further information, including a list of the exhibit objects, contact Carol B. Epstein, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (telephone: 202/632-6473). The address is U.S. Department of State, SA-5, L/PD, Fifth Floor, Washington, DC 20522-0505.</P>
          <SIG>
            <DATED>Dated: January 4, 2011.</DATED>
            <NAME>Ann Stock,</NAME>
            <TITLE>Assistant Secretary, Bureau of Educational and Cultural Affairs, Department of State.</TITLE>
          </SIG>
        </FURINF>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-363 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4710-05-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF STATE</AGENCY>
        <DEPDOC>[Public Notice: 7293]</DEPDOC>
        <SUBJECT>Request for Information for the 2011 Trafficking in Persons Report</SUBJECT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Department of State (“the Department”) requests written information to assist in reporting on the degree to which the United States and foreign governments comply with the minimum standards for the elimination of trafficking in persons (“minimum standards”) that are prescribed by the Trafficking Victims Protection Act of 2000, (Div. A, Pub. L. 106-386) as amended (“TVPA”). This information will assist in the preparation of the Trafficking in Persons Report (“TIP Report”) that the Department submits annually to appropriate committees in the U.S. Congress on countries' level of compliance with the minimum standards. Foreign governments that do not comply with the minimum standards and are not making significant efforts to do so may be subject to restrictions on nonhumanitarian, nontrade-related foreign assistance from the United States. Submissions must be made in writing to the Office to Monitor and Combat Trafficking in Persons at the Department of State by February 15, 2011. Please refer to the Addresses, Scope of Interest and Information Sought sections of this Notice for additional instructions on submission requirements.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Submissions must be received by the Office to Monitor and Combat Trafficking in Persons by 5 p.m. on February 15, 2011.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Written submissions and supporting documentation may be submitted to the Office to Monitor and Combat Trafficking in Persons by the following methods:</P>
          <P>•<E T="03">Facsimile (fax):</E>202-312-9637</P>
          <P>•<E T="03">Mail, Express Delivery, Hand Delivery and Messenger Service:</E>U.S. Department of State, Office to Monitor and Combat Trafficking in Persons, 1800 G Street, NW., Suite 2148, Washington, DC 20520. Please note that materials submitted by mail may be delayed due to security screenings and processing.</P>
          <P>•<E T="03">Email (preferred): tipreport@state.gov</E>for submissions related to foreign governments and<E T="03">tipreportUS@state.gov</E>for submissions related to the United States.</P>
          <P>
            <E T="03">Scope of Interest:</E>The Department requests information relevant to assessing the United States' and foreign governments' compliance with the minimum standards for the elimination of trafficking in persons in the year 2010. The minimum standards for the elimination of trafficking in persons are listed in the<E T="03">Background</E>section. Submissions must include information relevant and probative of the minimum standards for the elimination of trafficking in persons and should include, but need not be limited to, answering the questions in the<E T="03">Information Sought</E>section. These questions are designed to elicit information relevant to the minimum standards for the elimination of trafficking in persons. Only those questions for which the submitter has direct professional experience should be answered and that experience should be noted. For any critique or deficiency described, please provide a recommendation to remedy it. Note the country or countries that are the focus of the submission.</P>

          <P>Submissions may include written narratives that answer the questions presented in this Notice, research, studies, statistics, fieldwork, training<PRTPAGE P="1661"/>materials, evaluations, assessments and other relevant evidence of local, state and federal government efforts. To the extent possible, precise dates should be included.</P>
          <P>Where applicable, written narratives providing factual information should provide citations to sources and copies of the source material should be provided. If possible, send electronic copies of the entire submission, including source material. If primary sources are utilized, such as research studies, interviews, direct observations, or other sources of quantitative or qualitative data, details on the research or data-gathering methodology should be provided. The Department does not include in the report, and is therefore not seeking, information on prostitution, human smuggling, visa fraud, or child abuse, unless such conduct occurs in the context of human trafficking.</P>
          <P>
            <E T="03">Confidentiality:</E>Please provide the name, phone number and email address of a single point of contact for any submission. It is Department practice not to identify in the TIP Report information concerning sources in order to safeguard those sources. Please note, however, that any information submitted to the Department may be releasable pursuant to the provisions of the Freedom of Information Act or other applicable law. When applicable, portions of submissions relevant to efforts by other U.S. government agencies may be shared with those agencies.</P>
          <P>
            <E T="03">Response:</E>This is a request for information only; there will be no response to submissions.</P>
        </ADD>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <HD SOURCE="HD1">I. Background</HD>
        <P>
          <E T="03">The TIP Report:</E>The TIP Report is the most comprehensive worldwide report on foreign governments' efforts to combat trafficking in persons. It represents an updated, global look at the nature and scope of trafficking in persons and the broad range of government actions to confront and eliminate it. The U.S. Government uses the TIP Report to engage in public diplomacy to encourage partnership in creating and implementing laws and policies to combat trafficking and to target resources on prevention, protection and prosecution programs. Worldwide, the report is used by international organizations, foreign governments, and nongovernmental organizations alike as a tool to examine where resources are most needed. Freeing victims, preventing trafficking, and bringing traffickers to justice are the ultimate goals of the report and of the U.S government's anti-human trafficking policy.</P>
        <P>The Department prepares the TIP Report using information from across the U.S. Government, U.S. Embassies, foreign government officials, nongovernmental and international organizations, published reports, and research trips to every region. The TIP Report focuses on concrete actions that governments take to fight trafficking in persons, including prosecutions, convictions, and prison sentences for traffickers as well as victim protection measures and prevention efforts. Each TIP Report narrative also includes a section on recommendations. These recommendations are then used to assist in measuring progress from one year to the next and determining whether governments comply with the minimum standards to eliminate trafficking in persons or are making significant efforts to do so.</P>

        <P>The TVPA creates a three tier ranking system. This placement is based more on the extent of government action to combat trafficking than on the size of the problem, although that is also an important factor. The Department first evaluates whether the government fully complies with the TVPA's minimum standards for the elimination of trafficking. Governments that fully comply are placed on Tier 1. For other governments, the Department considers the extent of efforts to reach compliance. Governments that are making significant efforts to meet the minimum standards are placed on Tier 2. Governments that do not fully comply with the minimum standards and are not making significant efforts to do so are placed on Tier 3. Finally, the Department considers Special Watch List criteria and, when applicable, moves Tier 2 countries to Tier 2 Watch List. For more information, the 2010 TIP Report can be found at<E T="03">http://www.state.gov/g/tip/rls/tiprpt/2010/index.htm.</E>
        </P>
        <P>Since the inception of the TIP Report in 2001, the number of countries included and ranked has more than doubled to include 177 countries in the 2010 TIP Report. The number of countries on Tier 1 has grown from 12 to 30 and the number of countries on Tier 3 has decreased from 23 to 12. Around the world, the TIP Report and the best practices reflected therein have inspired legislation, national action plans, implementation of policies and funded programs, protection mechanisms that complement prosecution efforts, and a comprehensive understanding of the issue.</P>
        <P>Since 2003, the primary reporting on the United States' anti-trafficking activities has been through the Attorney General's Report to Congress and Assessment of U.S. Government Activities to Combat Human Trafficking (“AG Report”) mandated by section 105 of the TVPA (22 U.S.C. 7103(d)(7)). The United States voluntarily, through a collaborative interagency process, includes in the TIP Report an analysis of U.S. government anti-trafficking efforts in light of the minimum standards to eliminate trafficking in persons set forth by the TVPA. This analysis in the TIP report is done in addition to the AG Report, resulting in a multi-faceted self-assessment process of expanded scope.</P>
        <HD SOURCE="HD1">II. Minimum Standards for the Elimination of Trafficking in Persons</HD>
        <P>The TVPA sets forth the minimum standards for the elimination of trafficking in persons as follows:</P>
        <P>(1) The government of the country should prohibit severe forms of trafficking in persons and punish acts of such trafficking.</P>
        <P>(2) For the knowing commission of any act of sex trafficking involving force, fraud, coercion, or in which the victim of sex trafficking is a child incapable of giving meaningful consent, or of trafficking which includes rape or kidnapping or which causes a death, the government of the country should prescribe punishment commensurate with that for grave crimes, such as forcible sexual assault.</P>
        <P>(3) For the knowing commission of any act of a severe form of trafficking in persons, the government of the country should prescribe punishment that is sufficiently stringent to deter and that adequately reflects the heinous nature of the offense.</P>
        <P>(4) The government of the country should make serious and sustained efforts to eliminate severe forms of trafficking in persons.</P>
        <P>The following factors should be considered as indicia of serious and sustained efforts to eliminate severe forms of trafficking in persons:</P>

        <P>(1) Whether the government of the country vigorously investigates and prosecutes acts of severe forms of trafficking in persons, and convicts and sentences persons responsible for such acts, that take place wholly or partly within the territory of the country, including, as appropriate, requiring incarceration of individuals convicted of such acts. For purposes of the preceding sentence, suspended or significantly reduced sentences for convictions of principal actors in cases of severe forms of trafficking in persons<PRTPAGE P="1662"/>shall be considered, on a case-by-case basis, whether to be considered as an indicator of serious and sustained efforts to eliminate severe forms of trafficking in persons. After reasonable requests from the Department of State for data regarding investigations, prosecutions, convictions, and sentences, a government which does not provide such data, consistent with the capacity of such government to obtain such data, shall be presumed not to have vigorously investigated, prosecuted, convicted or sentenced such acts. During the periods prior to the annual report submitted on June 1, 2004, and on June 1, 2005, and the periods afterwards until September 30 of each such year, the Secretary of State may disregard the presumption contained in the preceding sentence if the government has provided some data to the Department of State regarding such acts and the Secretary has determined that the government is making a good faith effort to collect such data.</P>
        <P>(2) Whether the government of the country protects victims of severe forms of trafficking in persons and encourages their assistance in the investigation and prosecution of such trafficking, including provisions for legal alternatives to their removal to countries in which they would face retribution or hardship, and ensures that victims are not inappropriately incarcerated, fined, or otherwise penalized solely for unlawful acts as a direct result of being trafficked, including by providing training to law enforcement and immigration officials regarding the identification and treatment of trafficking victims using approaches that focus on the needs of the victims.</P>
        <P>(3) Whether the government of the country has adopted measures to prevent severe forms of trafficking in persons, such as measures to inform and educate the public, including potential victims, about the causes and consequences of severe forms of trafficking in persons, measures to establish the identity of local populations, including birth registration, citizenship, and nationality, measures to ensure that its nationals who are deployed abroad as part of a peacekeeping or other similar mission do not engage in or facilitate severe forms of trafficking in persons or exploit victims of such trafficking, and measures to prevent the use of forced labor or child labor in violation of international standards.</P>
        <P>(4) Whether the government of the country cooperates with other governments in the investigation and prosecution of severe forms of trafficking in persons.</P>
        <P>(5) Whether the government of the country extradites persons charged with acts of severe forms of trafficking in persons on substantially the same terms and to substantially the same extent as persons charged with other serious crimes (or, to the extent such extradition would be inconsistent with the laws of such country or with international agreements to which the country is a party, whether the government is taking all appropriate measures to modify or replace such laws and treaties so as to permit such extradition).</P>
        <P>(6) Whether the government of the country monitors immigration and emigration patterns for evidence of severe forms of trafficking in persons and whether law enforcement agencies of the country respond to any such evidence in a manner that is consistent with the vigorous investigation and prosecution of acts of such trafficking, as well as with the protection of human rights of victims and the internationally recognized human right to leave any country, including one's own, and to return to one's own country.</P>
        <P>(7) Whether the government of the country vigorously investigates, prosecutes, convicts, and sentences public officials who participate in or facilitate severe forms of trafficking in persons, including nationals of the country who are deployed abroad as part of a peacekeeping or other similar mission who engage in or facilitate severe forms of trafficking in persons or exploit victims of such trafficking, and takes all appropriate measures against officials who condone such trafficking. After reasonable requests from the Department of State for data regarding such investigations, prosecutions, convictions, and sentences, a government which does not provide such data consistent with its resources shall be presumed not to have vigorously investigated, prosecuted, convicted, or sentenced such acts. During the periods prior to the annual report submitted on June 1, 2004, and on June 1, 2005, and the periods afterwards until September 30 of each such year, the Secretary of State may disregard the presumption contained in the preceding sentence if the government has provided some data to the Department of State regarding such acts and the Secretary has determined that the government is making a good faith effort to collect such data.</P>
        <P>(8) Whether the percentage of victims of severe forms of trafficking in the country that are non-citizens of such countries is insignificant.</P>
        <P>(9) Whether the government of the country, consistent with the capacity of such government, systematically monitors its efforts to satisfy the criteria described in paragraphs (1) through (8) and makes available publicly a periodic assessment of such efforts.</P>
        <P>(10) Whether the government of the country achieves appreciable progress in eliminating severe forms of trafficking when compared to the assessment in the previous year.</P>
        <P>(11) Whether the government of the country has made serious and sustained efforts to reduce the demand for (A) commercial sex acts; and (B) participation in international sex tourism by nationals of the country.</P>
        <HD SOURCE="HD1">III. Information Sought Relevant to the Minimum Standards</HD>

        <P>Submissions should include, but need not be limited to, answers to relevant questions below for which the submitter has direct professional experience and that experience should be noted. Citations to source material must also be provided. Note the country or countries that are the focus of the submission. Please see the<E T="03">Scope of Interest</E>section for detailed information regarding submission requirements.</P>
        <P>1. How have trafficking methods changed in the past 12 months? e.g. Are there victims from new countries of origin? Is internal trafficking or child trafficking increasing? Has sex trafficking changed from brothels to private apartments? Is labor trafficking now occurring in additional types of industries or agricultural operations? Is forced begging a problem?</P>
        <P>2. In what ways has the government's efforts to combat trafficking in persons changed in the past year? What new laws, regulations, policies and implementation strategies exist? e.g. substantive criminal laws and procedures, mechanisms for civil remedies, victim-witness security generally and in relation to court proceedings.</P>
        <P>3. Please provide observations regarding the implementation of existing laws and procedures.</P>
        <P>4. Is the government equally vigorous in pursuing labor trafficking and sex trafficking?</P>
        <P>5. Are the anti-trafficking laws and sentences strict enough to reflect the nature of the crime? Are sex trafficking sentences commensurate with rape sentences?</P>
        <P>6. Do government officials understand the nature of trafficking? If not, please provide examples of misconceptions or misunderstandings.</P>

        <P>7. Do judges appear appropriately knowledgeable and sensitized to<PRTPAGE P="1663"/>trafficking cases? What sentences have courts imposed upon traffickers? How common are suspended sentences and prison time of less than one year for convicted traffickers?</P>
        <P>8. Please provide observations regarding the efforts of police and prosecutors to pursue trafficking cases.</P>
        <P>9. Are government officials (including law enforcement) complicit in human trafficking by, for example, profiting from, taking bribes or receiving sexual services for allowing it to continue? Are government officials operating trafficking rings or activities? If so, have these government officials been subject to an investigation and/or prosecution? What punishments have been imposed?</P>
        <P>10. Has the government vigorously investigated, prosecuted, convicted and sentenced nationals of the country deployed abroad as part of a peacekeeping or other similar mission who engage in or facilitate trafficking?</P>
        <P>11. Has the government investigated, prosecuted, convicted and sentenced organized crime groups that are involved in trafficking?</P>
        <P>12. Is the country a source of sex tourists and, if so, what are their destination countries? Is the country a destination for sex tourists and, if so, what are their source countries?</P>
        <P>13. Please provide observations regarding government efforts to address the issue of unlawful child soldiering.</P>
        <P>14. Does the government make a coordinated, proactive effort to identify victims? Is there any screening conducted before deportation to determine whether individuals were trafficked?</P>
        <P>15. What victim services are provided (legal, medical, food, shelter, interpretation, mental health care, health care, repatriation)? Who provides these services? If nongovernment organizations provide the services, does the government support their work either financially or otherwise?</P>
        <P>16. How could victim services be improved?</P>
        <P>17.  Are services provided equally and adequately to victims of labor and sex trafficking? Men, women and children? Citizen and noncitizen?</P>
        <P>18. Do service organizations and law enforcement work together cooperatively, for instance, to share information about trafficking trends or to plan for services after a raid? What is the level of cooperation, communication and trust between service organizations and law enforcement?</P>
        <P>19. May victims file civil suits or seek legal action against their trafficker? Do victims avail themselves of those remedies?</P>
        <P>20. Does the government repatriate victims? Does the government assist with third country resettlement? Does the government engage in any analysis of whether victims may face retribution or hardship upon repatriation to their country of origin? Are victims awaiting repatriation or third country resettlement offered services? Are victims indeed repatriated or are they deported?</P>
        <P>21. Does the government inappropriately detain or imprison identified trafficking victims?</P>
        <P>22. Does the government punish trafficking victims for forgery of documents, illegal immigration, unauthorized employment, or participation in illegal activities directed by the trafficker?</P>
        <P>23. What efforts has the government made to prevent human trafficking?</P>
        <P>24. Are there efforts to address root causes of trafficking such as poverty; lack of access to education and economic opportunity; and discrimination against women, children and minorities?</P>
        <P>25. Does the government undertake activities that could prevent or reduce vulnerability to trafficking, such as registering births of indigenous populations?</P>
        <P>26. Does the government provide financial support to NGOs working to promote public awareness or does the government implement such campaigns itself? Have public awareness campaigns proven to be effective?</P>
        <P>27. Please provide additional recommendations to improve the government's anti-trafficking efforts.</P>
        <P>28. Please highlight effective strategies and practices that other governments could consider adopting.</P>
        <SIG>
          <DATED>Dated: January 6, 2011.</DATED>
          <NAME>Luis CdeBaca,</NAME>
          <TITLE>Ambassador-at-Large, Office to Monitor and Combat Trafficking in Persons, U.S. Department of State.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-354 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4710-02-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF STATE</AGENCY>
        <DEPDOC>[Public Notice 7236]</DEPDOC>
        <SUBJECT>Announcement of a Meeting of the International Telecommunication Advisory Committee</SUBJECT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice announces a meeting of the International Telecommunication Advisory Committee (ITAC) to prepare for the International Telecommunication Union (ITU) World Conference on International Telecommunications, as well as for the Organization of American States' Inter-American Telecommunication Commission (CITEL) Permanent Consultative Committee I.</P>
          <P>The ITAC will meet to begin preparation of advice for the U.S. government for the ITU World Conference on International Telecommunications, as well as the CITEL Permanent Consultative Committee I meeting. There will also be reports on the upcoming World Radiocommunication Conference Preparatory Meeting, the ITU Telecommunication Standardization Advisory Group meeting, and on other recent meetings of the sectors of the ITU, the Organization for Economic Cooperation and Development, and the Asia-Pacific Economic Cooperation's telecommunications meetings.</P>

          <P>The ITAC will meet from 2 to 4 p.m. on February 3, 2011 at 1120 20th Street, NW., 10th floor, Washington, DC 20036. This meeting is open to the public as seating capacity allows. The public will have an opportunity to provide comments at this meeting. Any requests for reasonable accommodation should be made at least 7 days before the meeting. All such requests will be considered, however, requests made after that date might not be possible to fulfill. Those desiring further information on this meeting may contact the Secretariat at<E T="03">jillsonad@state.gov mailto: jillsonad@state.gov</E>or at (202) 647-2592. Anyone interested in the work of this advisory committee may subscribe to an e-mail service that provides time-sensitive information about preparations for upcoming international meetings. This service is free. To sign up, contact Ms. Anne Jillson at the e-mail above.</P>
        </SUM>
        <SIG>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Richard C. Beaird,</NAME>
          <TITLE>International Communications &amp; Information Policy, U.S. Department of State.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-360 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4710-07-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Highway Administration</SUBAGY>
        <SUBJECT>Notice of Final Federal Agency Actions on Proposed Highway in North Carolina</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Highway Administration (FHWA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of Limitation on Claims for Judicial Review of Actions by FHWA and Other Federal Agencies.</P>
        </ACT>
        <SUM>
          <PRTPAGE P="1664"/>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice announces action taken by the FHWA and other federal agencies that is final within the meaning of 23 U.S.C. 139(l)(1). This final agency action relates to a proposed highway project, Bonner Bridge Replacement Project along NC 12, from Rodanthe to Bodie Island in Dare County, North Carolina. The FHWA's Record of Decision (ROD) identifies the Parallel Bridge with NC 12 Transportation Management Plan as the selected alternative.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>By this notice, the FHWA is advising the public of final agency actions subject to 23 U.S.C. 139(l)(1). A claim seeking judicial review of the final Federal agency actions on the highway project will be barred unless the claim is filed on or before July 10, 2011. If the Federal law that authorizes judicial review of a claim provides a time period of less than 180 days for filing such claim, then that shorter time period still applies.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Mr. Clarence W. Coleman, P. E., Director of Preconstruction and Environment, Federal Highway Administration, 310 New Bern Avenue, Suite 410, Raleigh, North Carolina 27601-1418,<E T="03">Telephone:</E>(919) 747-7014;<E T="03">e-mail: clarence.coleman@dot.gov.</E>FHWA North Carolina Division Office's normal business hours are 8 a.m. to 5 p.m. (Eastern Time). Mr. Gregory Thorpe, PhD, Environmental Director, North Carolina Department of Transportation (NCDOT), 1548 Mail Service Center, Raleigh, North Carolina, 27699-1548,<E T="03">Telephone:</E>(919) 733-3141;<E T="03">e-mail: gthorpe@ncdot.gov.</E>NCDOT's normal business hours are 8 a.m. to 5 p.m. (Eastern Time).</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>Notice is hereby given that FHWA has taken final agency action by issuing a Record of Decision (ROD) for the following highway project in the State of North Carolina: The Bonner Bridge Replacement Project along Highway NC 12, from Rodanthe to Bodie Island, in Dare County, North Carolina. The project is also known as State Transportation Improvement Program (STIP) Project B-2500. Located in the Outer Banks of North Carolina, the selected alternative will replace the deteriorating Bonner Bridge over Oregon Inlet as Phase 1 of the project and includes an NC 12 Transportation Management Plan that establishes a process for future decision-making for the section of NC 12 from Oregon Inlet to the Village of Rodanthe. The NC 12 Transportation Management Plan requires coastal monitoring and various studies of project area conditions through the year 2060 on Hatteras Island and the Plan sets forth a process for planning and implementing possible future phases of the project. The FHWA's action, related actions by other Federal agencies and the laws under which such actions were taken, are described in the Final Environmental Impact Statement (FEIS)/Final Section 4(f) Evaluation for the project, approved on September 17, 2008; the Revised Final Section 4(f) Evaluation, approved on October 9, 2009; the Environmental Assessment, approved on May 7, 2010; and the FHWA ROD issued on December 20, 2010 approving the Bonner Bridge Replacement project, and in other documents in the project file. The FEIS/Final Section 4(f) Evaluation, Revised Final Section 4(f) Evaluation, EA, ROD, are available for review by contacting the FHWA or the NCDOT at the addresses provided above. In addition, the FEIS, Revised Final Section 4(f) Evaluation, EA, and ROD can be viewed and downloaded from the project Web site at<E T="03">http://www.ncdot.gov/projects/bonnerbridgerepairs/.</E>This notice applies to all final Federal agency actions and agency decisions as of the issuance date of this notice, and to all laws under which such actions or decisions were taken, including but not limited to:</P>
        <P>1.<E T="03">General:</E>National Environmental Policy Act (NEPA) [42 U.S.C. 4321-4351]; Federal-Aid Highway Act [23 U.S.C. 101<E T="03">et seq.</E>].</P>
        <P>2.<E T="03">Air:</E>Clean Air Act [42 U.S.C. 7401-7671(q)].</P>
        <P>3.<E T="03">Land:</E>Section 4(f) of the Department of Transportation Act of 1966 [49 U.S.C. 303]; Coastal Barrier Resources Act [16 U.S.C. 3501-3510].</P>
        <P>4.<E T="03">Wildlife:</E>Endangered Species Act [16 U.S.C. 1531-1544]; Marine Mammal Protection Act [16 U.S.C. 1361-1407]; Anadromous Fish Conservation Act [16 U.S.C. 757(a)-757(g)]; Fish and Wildlife Coordination Act [16 U.S.C. 661-667(d)]; Migratory Bird Treaty Act [16 U.S.C. 703-712]; Magnuson-Stevenson Fishery Conservation and Management Act [16 U.S.C. 1801<E T="03">et. seq.</E>].</P>
        <P>5.<E T="03">Historic and Cultural Resources:</E>Section 106 of the National Historic Preservation Act of 1966 [16 U.S.C. 470(f)].</P>
        <P>6.<E T="03">Social and Economic:</E>Civil Rights Act of 1964 [42 U.S.C. 2000(d)-2000(d)(1)].</P>
        <P>7.<E T="03">Wetlands and Water Resources:</E>Safe Drinking Water Act (SDWA) [42 U.S.C. 300(f)-300(j)(6)]; Emergency Wetlands Resources Act of 1986 [16 U.S.C. 3921, 3931]; Flood Disaster Protection Act [42 U.S.C. 4001-4128].</P>
        <P>8.<E T="03">Executive Orders:</E>E.O. 11514 Protection and Enhancement of Environmental Quality; E.O. 11593 Protection and Enhancement of Cultural Resources; E.O. 11988 Floodplain Management; E.O. 11990 Protection of Wetlands; E.O.13112 Invasive Species; E.O. 13287 Preserve America; E.O. 13547 Stewardship of the Ocean, Our Coasts, and the Great Lakes.</P>
        <P>The ROD describes the environmental permitting processes that must be concluded with the U.S. Army Corps of Engineers, U.S. Coast Guard, U.S. Fish and Wildlife Service, and National Park Service before construction will begin on Phase 1 of the project. This notice does not apply to those pending environmental permitting decisions.</P>
        
        <EXTRACT>
          <FP>(Catalog of Federal Domestic Assistance Program Number 20.205, Highway Research, Planning and Construction. The regulations implementing Executive Order 12372 regarding intergovernmental consultation on Federal programs and activities apply to this program.)</FP>
        </EXTRACT>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>23 U.S.C. 139(l)(1).</P>
        </AUTH>
        <SIG>
          <DATED>Issued on: January 5, 2011.</DATED>
          <NAME>John Sullivan, III,</NAME>
          <TITLE>Division Administrator, Federal Highway Administration, Raleigh, North Carolina.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-366 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-RY-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Federal Highway Administration</SUBAGY>
        <SUBJECT>Notice of Final Federal Agency Actions on State Highway 99 (Segment G)</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Federal Highway Administration (FHWA), DOT.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice of Limitation on Claims for Judicial Review of Actions by FHWA and Other Federal Agencies.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>This notice announces actions taken by the FHWA and other Federal agencies that are final within the meaning of 23 U.S.C. 139(l)(1). The actions relate to a proposed highway project, Grand Parkway (State Highway 99) Segment G, from Interstate Highway 45 (I-45) to US 59 in Harris and Montgomery Counties, Texas. Those actions grant licenses, permits, and approvals for the project.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>

          <P>By this notice, the FHWA is advising the public of final agency actions subject to 23 U.S.C. 139(l)(1). A claim seeking judicial review of the Federal agency actions on the highway project will be barred unless the claim is filed on or before July 10, 2011. If the Federal law that authorizes judicial review of a claim provides a time period of less than 180 days for filing such<PRTPAGE P="1665"/>claim, then that shorter time period still applies.</P>
        </DATES>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Mr. Gregory Punske, P.E., District Engineer, District B (South), Federal Highway Administration, 300 East 8th Street, Room 826 Austin, Texas 78701;<E T="03">telephone:</E>(512) 536-5960;<E T="03">e-mail: gregory.punske@dot.gov.</E>The FHWA Texas Division Office's normal business hours are 7:45 a.m. to 4:15 p.m. (central time) Monday through Friday.</P>

          <P>You may also contact Dianna Noble, P.E., Environmental Affairs Division, Texas Department of Transportation, 118 E. Riverside Drive, Austin, Texas 78704;<E T="03">telephone:</E>(512) 416-2734;<E T="03">e-mail: Dianna.Noble@txdot.gov.</E>The Texas Department of Transportation normal business hours are 8 a.m. to 5 p.m. (central time) Monday through Friday.</P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

        <P>Notice is hereby given that the FHWA and other Federal agencies have taken final agency actions by issuing licenses, permits, and approvals for the following highway project in the State of Texas: Grand Parkway (State Highway 99) Segment G from I-45 to US 59 in Harris and Montgomery Counties; FHWA Project Reference Number: FHWA-TX-EIS-03-03-F. The project will be a 22.05 km (13.7 mi) long, four-lane controlled access toll road with intermittent frontage roads, grade-separated intersections with exit and entrance ramps at eight intersections, while the need for elevated directional interchanges will be determined during final design. It will begin in northern Harris County at I-45 and then proceed northeast through Montgomery County and end at US 59. The purpose of the project is to efficiently link the suburban communities and major roadways, enhance mobility and safety, and respond to economic growth. The actions by the Federal agencies, and the laws under which such actions were taken, are described in the Final Environmental Impact Statement (FEIS) for the project, approved on January 15, 2009, in the FHWA Record of Decision (ROD) issued on December 29, 2010 and in other documents in the FHWA administrative record. The FEIS, ROD, and other documents in the FHWA administrative record file are available by contacting the FHWA or the Texas Department of Transportation at the addresses provided above. The FHWA FEIS and ROD can be viewed and downloaded from the Grand Parkway Association Web site at<E T="03">http://www.grandpky.com/segments/g/.</E>
        </P>
        <P>This notice applies to all Federal agency decisions as of the issuance date of this notice and all laws under which such actions were taken, including but not limited to:</P>
        <P>1.<E T="03">General:</E>National Environmental Policy Act (NEPA) [42 U.S.C. 4321<E T="03">et seq.</E>]; Federal-Aid Highway Act [23 U.S.C. 109].</P>
        <P>2.<E T="03">Air:</E>Clean Air Act [42 U.S.C. 7401-7671(q)].</P>
        <P>3.<E T="03">Land:</E>Section 4(f) of the Department of Transportation Act of 1966 [23 U.S.C. 138 and 49 U.S.C. 303].</P>
        <P>4.<E T="03">Wildlife:</E>Endangered Species Act [16 U.S.C. 1531-1544]; Fish and Wildlife Coordination Act [16 U.S.C. 661-667(d)]; and, Migratory Bird Treaty Act [16 U.S.C. 703-712].</P>
        <P>5.<E T="03">Historic and Cultural Resources:</E>Section 106 of the National Historic Preservation Act of 1966, as amended [16 U.S.C. 470]; Archaeological Resources Protection Act of 1979 [16 U.S.C. 470]; Archaeological and Historical Preservation Act [16 U.S.C. 469].</P>
        <P>6.<E T="03">Social and Economic:</E>Title VI of the Civil Rights Act of 1964 [42 U.S.C. 2000(d)<E T="03">et seq.</E>]; Farmland Protection Policy Act (FPPA) [7 U.S.C. 4201-4209].</P>
        <P>7.<E T="03">Wetlands and Water Resources:</E>Clean Water Act [33 U.S.C. 1251-1342]; Land and Water Conservation Fund (LWCF) [16 U.S.C. 4601-4604].</P>
        <P>8.<E T="03">Executive Orders:</E>E.O. 11990 Protection of Wetlands; E.O. 11988 Floodplain Management; E.O. 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low Income Populations; E.O. 11514 Protection and Enhancement of Environmental Quality.</P>
        
        <EXTRACT>
          <FP>(Catalog of Federal Domestic Assistance Program Number 20.205, Highway Planning and Construction. The regulations implementing Executive Order 12372 regarding intergovernmental consultation on Federal programs and activities apply to this program.)</FP>
        </EXTRACT>
        <AUTH>
          <HD SOURCE="HED">Authority:</HD>
          <P>23 U.S.C. 139(l)(1).</P>
        </AUTH>
        <SIG>
          <DATED>Issued on: January 4, 2011.</DATED>
          <NAME>Gregory S. Punske,</NAME>
          <TITLE>District Engineer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-336 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-22-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Maritime Administration</SUBAGY>
        <DEPDOC>[Docket No. MARAD-2010-0111]</DEPDOC>
        <SUBJECT>Stakeholder Meetings Regarding the U.S.-Flag Great Lakes Fleet Revitalization Study; Correction</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Maritime Administration, Department of Transportation.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Correction Notice.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>On December 29, 2010, at 75 FR 82141, the Maritime Administration (MARAD) published notice of three public listening-session meetings it is conducting to gather data and comments to inform the Maritime Administration's U.S.-Flag Great Lakes Fleet Revitalization Study. MARAD inadvertently listed the incorrect time zone for the listening-session meetings and this notice corrects that error.</P>
          <P>
            <E T="03">Dates and Addresses:</E>The Cleveland, Ohio meeting will take place on February 15, 2011, from 8 a.m. to 5 p.m., local time. The meeting will be held at Hyatt Regency Cleveland at The Arcade, 420 East Superior Avenue, Cleveland, Ohio 44114.</P>
          <P>Persons interested in attending the meeting should register by February 4, 2011.</P>
          <P>The Duluth, Minnesota meeting will take place on February 23, 2011, from 8 a.m. to 5 p.m., local time. The meeting will be held at the Inn on Lake Superior, 350 Canal Park Drive, Duluth, Minnesota 55802.</P>
          <P>Persons interested in attending the meeting should register by February 11, 2011.</P>
          <P>The Chicago, Illinois meeting will take place on February 25, 2011, from 8 a.m. to 5 p.m., local time. The meeting will be held at the Sheraton Chicago Hotel and Towers, 301 East North Water Street, Chicago, Illinois 60611.</P>
          <P>Persons interested in attending the meeting should register by February 11, 2011.</P>
        </SUM>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>For general background information or technical information, contact Stephen Shafer, Maritime Administration, Office of Policy and Plans, 1200 New Jersey Avenue, SE., Washington, DC 20590, or by e-mail:<E T="03">GreatLakesStudy@dot.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P SOURCE="NPAR">
          <E T="03">Registration:</E>The meetings are open to the public. Advanced registration is recommended. To register, interested parties should send their name, group affiliation, and which of the three meetings they will attend to<E T="03">GreatLakesStudy@absconsulting.com.</E>The meeting agenda will be sent to registered participants prior to the meeting.</P>

        <P>The Public Meeting will be held at a site accessible to individuals with disabilities. Individuals who require accommodations such as sign language interpreters should contact ABS Consulting at<E T="03">GreatLakesStudy@absconsulting.com,</E>as soon as possible, but preferably no less than five business days before the scheduled meeting.</P>
        <SIG>
          <P>By Order of the Maritime Administrator.</P>
          
          <PRTPAGE P="1666"/>
          <DATED>Dated: January 4, 2011.</DATED>
          <NAME>Christine Gurland,</NAME>
          <TITLE>Secretary, Maritime Administration.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-327 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4910-81-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
        <SUBAGY>Surface Transportation Board</SUBAGY>
        <DEPDOC>[STB FD 35343]</DEPDOC>
        <SUBJECT>Susquehanna Union Railroad Company—Control Exemption—North Shore Railroad Company, Nittany &amp; Bald Eagle Railroad Company, Shamokin Valley Railroad Company, Juniata Valley Railroad Company, Lycoming Valley Railroad Company, and Union County Industrial Railroad Company</SUBJECT>
        <P>On April 12, 2010, Susquehanna Union Railroad Company (SURC), a noncarrier holding company, filed a petition for exemption (petition) from the prior approval requirements of 49 U.S.C. 11323(a)(4) to acquire 100% stock control of 6 Class III railroads: North Shore Railroad Company, Nittany &amp; Bald Eagle Railroad Company, Shamokin Valley Railroad Company, Juniata Valley Railroad Company, Lycoming Valley Railroad Company, and Union County Industrial Railroad Company (collectively, System Carriers). By a decision served on August 27, 2010, the Board instituted a proceeding. The Board will grant the exemption.<SU>1</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>1</SU>SURC's petition also requested that the Board preempt and nullify, under 49 U.S.C. 11321(a), a provision of an operating agreement between SEDA-COG Joint Rail Authority (JRA) and certain System Carriers that lease and operate separate lines owned by JRA. The provision requires JRA to approve any change of control of certain System Carriers. In a letter filed on July 28, 2010, JRA states that the parties successfully concluded settlement negotiations and that it consents to the proposed transaction.</P>
        </FTNT>
        <P>SURC is a noncarrier holding company owned by Richard D. Robey. Robey also is the sole owner of the System Carriers. Currently, significant management, budgeting, maintenance, and operational functions for the 6 System Carriers take place at a central office in Northumberland, Pa., all overseen by Robey. SURC states that, for the purpose of conforming the corporate structure of the System Carriers with the day-to-day functional management and operations of the System Carriers, it seeks to consolidate the System Carriers into SURC. SURC would obtain 100% stock control of the System Carriers by a noncash tender of 100% of shares in the System Carriers stock from Robey to SURC in exchange for issuance of additional shares of SURC to Robey. As a result, Robey would own and control the 6 System Carriers through SURC.</P>
        <P>The acquisition of control of at least 2 rail carriers by a person that is not a rail carrier requires prior approval by the Board under 49 U.S.C. 11323(a)(4). Under 49 U.S.C. 10502(a), however, the Board must exempt a transaction or service from regulation if it finds that: (1) Regulation is not necessary to carry out the rail transportation policy (RTP) of 49 U.S.C. 10101; and (2) either (a) the transaction or service is limited in scope; or (b) regulation is not needed to protect shippers from the abuse of market power.<SU>2</SU>
          <FTREF/>
        </P>
        <FTNT>
          <P>
            <SU>2</SU>This transaction would normally be subject to the Board's class exemption under 49 CFR 1180.2(d)(3), which exempts a transaction that is within a corporate family that does not result in adverse changes in service levels, significant operational changes, or a change in the competitive balance with carriers outside the corporate family. However, SURC instead filed a petition for exemption in light of the now resolved issues arising from the operating agreement with JRA.</P>
        </FTNT>
        <P>In this case, an exemption from the prior approval requirements of 49 U.S.C. 11323-25 is consistent with the standards of 49 U.S.C. 10502. Detailed scrutiny of the proposed transaction through an application for review and approval under 49 U.S.C. 11323-25 is not necessary to carry out the RTP. Rather, an exemption will promote that policy by minimizing the need for Federal regulatory control over the proposed transaction and ensuring the development and continuation of a sound rail transportation system that will continue to meet the needs of the shipping public. 49 U.S.C. 10101(2) and (4). By allowing the consolidation of control of the System Carriers through SURC, an exemption would encourage the efficient management of the System Carriers. 49 U.S.C. 10101(9). An exemption also would allow for the expeditious handling and resolution of this transaction. 49 U.S.C. 10101(15). Other aspects of the RTP will not be adversely affected.</P>
        <P>Regulation of this transaction is not needed to protect shippers from an abuse of market power. SURC has indicated that the proposed transaction will not result in a change in rail operations or a lessening of competition. The transaction involves only a nominal change of control by means of consolidating 100% stock control of the System Carriers, which Robey currently owns and controls, into a noncarrier holding company, which is owned and controlled by Robey, as well. Given our finding regarding the probable effect of the transaction on market power, we need not determine whether the transaction is limited in scope.</P>
        <P>Under 49 U.S.C. 10502(g), the Board may not use its exemption authority to relieve a rail carrier of its statutory obligation to protect the interests of its employees. Section 11326(c), however, does not provide for labor protection for transactions under §§ 11324 and 11325 that involve only Class III rail carriers. Accordingly, the Board may not impose labor protective conditions here because all the carriers involved are Class III rail carriers.</P>
        <P>The acquisition of control is exempt from environmental reporting requirements under 49 CFR 1105.6(c)(2)(i) because it will not result in any significant change in carrier operations. Similarly, the transaction is exempt from the historic reporting requirements under 49 CFR 1105.8(b)(3) because it will not substantially change the level of maintenance of railroad properties.</P>
        <P>This action will not significantly affect either the quality of the human environment or the conservation of energy resources.</P>
        <P>
          <E T="03">It is ordered:</E>
        </P>
        <P>1. Under 49 U.S.C. 10502, the Board exempts from the prior approval requirements of 49 U.S.C. 11323-25 SURC's acquisition of stock control of the System Carriers.</P>
        <P>2. Notice will be published in the<E T="04">Federal Register</E>on January 11, 2011.</P>
        <P>3. This exemption will be effective on February 10, 2011. Petitions for stay must be filed by January 21, 2011. Petitions to reopen must be filed by January 31, 2011.</P>
        <SIG>
          <P>By the Board, Chairman Elliott, Vice Chairman Nottingham, and Commissioner Mulvey.</P>
          <NAME>Andrea Pope-Matheson,</NAME>
          <TITLE>Clearance Clerk.</TITLE>
        </SIG>
      </PREAMB>
      <FRDOC>[FR Doc. 2011-350 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4912-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="N">DEPARTMENT OF THE TREASURY</AGENCY>
        <SUBAGY>Internal Revenue Service</SUBAGY>
        <SUBJECT>Proposed Collection; Comment Request for Form 15597</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Internal Revenue Service (IRS), Treasury.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice and request for comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>

          <P>The Department of the Treasury, 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<PRTPAGE P="1667"/>Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Form 15597, Foreclosure Sale Purchaser Contact Information Request.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Written comments should be received on or before March 14, 2011 to be assured of consideration.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Direct all written comments to Yvette Lawrence, Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Requests for additional information or copies of the form and instructions should be directed to Ralph Terry, (202) 622-8144, at Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224, or through the internet at<E T="03">Ralph.M.Terry@irs.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P/>
        <P SOURCE="NPAR">
          <E T="03">Title:</E>Foreclosure Sale Purchaser Contact Information Request.</P>
        <P>
          <E T="03">OMB Number:</E>1545-2199.</P>
        <P>
          <E T="03">Form Number:</E>Form 15597.</P>
        <P>
          <E T="03">Abstract:</E>Form 15597, Foreclosure Sale Purchaser Contact Information Request, is information requested of individuals or businesses that have purchased real property at a third party foreclosure sale. If the IRS has filed a “Notice of Federal Tax Lien” publically notifying a taxpayer's creditors that the taxpayer owes the IRS a tax debt, AND a creditor senior to the IRS position later forecloses on their creditor note (such as the mortgage holder of a TP's primary residence) THEN the IRS tax claim is discharged or removed from the property (if the appropriate foreclosure rules are followed) and the foreclosure sale purchaser buys the property free and clear of the IRS claim EXCEPT that the IRS retains the right to “redeem” or buy back the property from the foreclosure sale purchaser w/in 120 days after the foreclosure sale. Collection of this information is authorized by 28 U.S.C. 2410 and IRC 7425.</P>
        <P>
          <E T="03">Current Actions:</E>There were no changes made to the document that resulted in any change to the burden previously reported to OMB. We are making this submission to renew the OMB approval.</P>
        <P>
          <E T="03">Type of Review:</E>Extension of previously approved collection.</P>
        <P>
          <E T="03">Affected Public:</E>Individuals or households, business or other for-profit groups, not-for-profit institutions, farms, Federal Government, State, local, or Tribal Governments.</P>
        <P>
          <E T="03">Estimated Number of Responses:</E>550.</P>
        <P>
          <E T="03">Estimated Time per Respondent:</E>5 minutes.</P>
        <P>
          <E T="03">Estimated Total Annual Burden Hours:</E>49.</P>
        <P>The following paragraph applies to all of the collections of information covered by this notice:</P>
        <P>An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.</P>
        <P>
          <E T="03">Request for Comments:</E>Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record.<E T="03">Comments are invited on:</E>(a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information.</P>
        <SIG>
          <DATED>Approved: January 5, 2010.</DATED>
          <NAME>Yvette Lawrence,</NAME>
          <TITLE>IRS Reports Clearance Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-277 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4830-01-P</BILCOD>
    </NOTICE>
    <NOTICE>
      <PREAMB>
        <AGENCY TYPE="S">DEPARTMENT OF THE TREASURY</AGENCY>
        <SUBAGY>Internal Revenue Service</SUBAGY>
        <SUBJECT>Proposed Collection; Comment Request for Notices 2010-83 and 2011-3</SUBJECT>
        <AGY>
          <HD SOURCE="HED">AGENCY:</HD>
          <P>Internal Revenue Service (IRS), Treasury.</P>
        </AGY>
        <ACT>
          <HD SOURCE="HED">ACTION:</HD>
          <P>Notice and request for comments.</P>
        </ACT>
        <SUM>
          <HD SOURCE="HED">SUMMARY:</HD>
          <P>The Department of the Treasury, 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, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Notice 2010-83, Funding Relief for Multiemployer Defined Benefit Plans under PRA 2010 and Notice 2011-3, Special Rules Relating to Funding Relief for Single-Employer Pension Plans under PRA 2010.</P>
        </SUM>
        <DATES>
          <HD SOURCE="HED">DATES:</HD>
          <P>Written comments should be received on or before March 14, 2011 to be assured of consideration.</P>
        </DATES>
        <ADD>
          <HD SOURCE="HED">ADDRESSES:</HD>
          <P>Direct all written comments to Yvette Lawrence, Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224.</P>
        </ADD>
        <FURINF>
          <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>

          <P>Requests for additional information or copies of the form and instructions should be directed to Ralph Terry, (202) 622-8144, at Internal Revenue Service, room 6129, 1111 Constitution Avenue, NW., Washington, DC 20224, or through the Internet at<E T="03">Ralph.M.Terry@irs.gov.</E>
          </P>
        </FURINF>
      </PREAMB>
      <SUPLINF>
        <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
        <P>
          <E T="03">Title:</E>Funding Relief for Multiemployer Defined Benefit Plans under PRA 2010 and Special Rules Relating to Funding Relief for Single-Employer Pension Plans under PRA 2010.</P>
        <P>
          <E T="03">OMB Number:</E>1545-2196.</P>
        <P>
          <E T="03">Form Number:</E>Notice 2010-83 and Notice 2011-3.</P>
        <P>
          <E T="03">Abstract:</E>One notice provides guidance in the form of questions and answers for sponsors of multiemployer defined benefit plans with respect to the special funding rules under § 431(b)(8), as added by section 211(a)(2) of the Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010 (PRA 2010), Public Law 111-192.</P>
        <P>The other notice provides guidance on the special rules relating to funding relief for single-employer defined benefit pension plans (including multiple employer defined benefit pension plans) under the Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010 (PRA 2010), Public Law 111-192.</P>
        <P>
          <E T="03">Current Actions:</E>There is no change in the paperwork burden previously approved by OMB. This form is being submitted for renewal purposes only.</P>
        <P>
          <E T="03">Type of Review:</E>Extension of a currently approved collection.</P>
        <P>
          <E T="03">Affected Public:</E>Not-for-profit institutions.</P>
        <P>
          <E T="03">Estimated Number of Respondents:</E>47,500.</P>
        <P>
          <E T="03">Estimated Time per Respondent:</E>34 minutes.</P>
        <P>
          <E T="03">Estimated Total Annual Burden Hours:</E>26,700.</P>

        <P>The following paragraph applies to all of the collections of information covered by this notice:<PRTPAGE P="1668"/>
        </P>
        <P>An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103.</P>
        <P>
          <E T="03">Request for Comments:</E>Comments submitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record. Comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information.</P>
        <SIG>
          <DATED>Approved: January 5, 2011.</DATED>
          <NAME>Yvette Lawrence,</NAME>
          <TITLE>IRS Reports Clearance Officer.</TITLE>
        </SIG>
      </SUPLINF>
      <FRDOC>[FR Doc. 2011-279 Filed 1-10-11; 8:45 am]</FRDOC>
      <BILCOD>BILLING CODE 4830-01-P</BILCOD>
    </NOTICE>
  </NOTICES>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Rules and Regulations</UNITNAME>
  <NEWPART>
    <PTITLE>
      <PRTPAGE P="1669"/>
      <PARTNO>Part II</PARTNO>
      <AGENCY TYPE="P">Department of Health and Human Services</AGENCY>
      <SUBAGY>Centers for Medicare &amp; Medicaid Services</SUBAGY>
      <HRULE/>
      <CFR>42 CFR Parts 405, 409, 410, et al.</CFR>
      <TITLE>Medicare Program; Payment Policies Under the Physician Fee Schedule and Other Revisions to Part B for CY 2011; Corrections; Final Rule</TITLE>
    </PTITLE>
    <RULES>
      <RULE>
        <PREAMB>
          <PRTPAGE P="1670"/>
          <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
          <SUBAGY>Centers for Medicare &amp; Medicaid Services</SUBAGY>
          <CFR>42 CFR Parts 405, 409, 410, 411, 413, 414, 415, and 424</CFR>
          <DEPDOC>[CMS-1503-CN2]</DEPDOC>
          <RIN>RIN 0938-AP79</RIN>
          <SUBJECT>Medicare Program; Payment Policies Under the Physician Fee Schedule and Other Revisions to Part B for CY 2011; Corrections</SUBJECT>
          <AGY>
            <HD SOURCE="HED">AGENCY:</HD>
            <P>Centers for Medicare &amp; Medicaid Services (CMS), HHS.</P>
          </AGY>
          <ACT>
            <HD SOURCE="HED">ACTION:</HD>
            <P>Correction of final rule with comment period.</P>
          </ACT>
          <SUM>
            <HD SOURCE="HED">SUMMARY:</HD>

            <P>This document corrects several technical and typographical errors in the final rule with comment period that appeared in the November 29, 2010<E T="04">Federal Register</E>entitled “Medicare Program; Payment Policies Under the Physician Fee Schedule and Other Revisions to Part B for CY 2011; Final Rule” (75 FR 73170).</P>
          </SUM>
          <EFFDATE>
            <HD SOURCE="HED">DATES:</HD>
            <P>
              <E T="03">Effective Date:</E>This correction is effective January 1, 2011.</P>
          </EFFDATE>
          <FURINF>
            <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
            <P>Rebecca Cole or Erin Smith, (410) 786-4497.</P>
          </FURINF>
        </PREAMB>
        <SUPLINF>
          <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
          <HD SOURCE="HD1">I. Background</HD>
          <P>In FR Doc. 2010-27969 of November 29, 2010 (75 FR 73170) (hereinafter referred to as the Calendar Year (CY) 2011 Physician Fee Schedule (PFS) final rule with comment period), there were a number of technical and typographical errors that are identified and corrected in the Correction of Errors section of this notice. The provisions of this notice are effective as if they had been included in the CY 2011 PFS final rule with comment period. Accordingly, the corrections are effective January 1, 2011.</P>
          <P>On November 30, 2010, the Physician Payment and Therapy Relief Act of 2010 (Pub. L. 111-286) was signed into law. Section 3 of Public Law 111-286 changed the policy finalized in the CY 2011 PFS final rule with comment period regarding payment reductions applied to multiple therapy services provided to the same patient on the same day and paid for under the PFS effective January 1, 2011.</P>
          <P>Further, on December 15, 2010, the Medicare and Medicaid Extenders Act of 2010 (Pub. L. 111-309) was signed into law. Section 101 of Public Law 111-309 provides for a 1-year zero-percent update to the Medicare physician fee schedule (PFS) for CY 2011.</P>
          <P>As this correction notice corrects the CY 2011 physician fee schedule final rule with comment period that was released prior to enactment of the statutory changes contained in the two laws noted above, the statutory changes to PFS payments for CY 2011 are not reflected in this correction notice. Payment files reflecting current law as of January 1, 2011 will be made available through usual CMS notices and data files.</P>
          <HD SOURCE="HD1">II. Summary of Errors</HD>
          <HD SOURCE="HD2">A. Errors in the Preamble</HD>
          <HD SOURCE="HD3">1. Errors in the Budget Neutrality, Conversion, Anesthesia, and Other Factors</HD>
          <P>On page 73276, we are correcting the adjustments to the PE and malpractice RVUs to match the proportions of the RVU shares to the rebased and revised Medicare Economic Index (MEI), resulting from the corrections of work, PE, and malpractice RVUs discussed in this section. We are making the corresponding changes to Table 45—Calculation of the CY 2011 PFS CF.</P>
          <P>On pages 73283 and 73284, we are correcting the figures for the CY 2011 budget neutrality factors, conversion factor (CF), and anesthesia CF to reflect the updated values resulting from the corrections to the work, PE, and malpractice RVUs discussed in this section.</P>
          <P>On page 73388, we are correcting Table 60—CY 2011 RVUs for CPT code 77080 to reflect the corrected CF.</P>
          <HD SOURCE="HD3">2. Errors in Work RVUs</HD>
          <P>On page 73328, we are correcting the count of AMA RUC work RVU recommendations with which we agreed or disagreed. Due to a typographical error, the published count was incorrect.</P>
          <P>On page 73340, we are correcting the CY 2011 Interim Final Work RVU value for CPT code 52332 that was listed incorrectly due to a typographical error.</P>
          <P>On page 73341, we are correcting the CY 2011 Interim Final Work RVU value for CPT code 77427 that was incorrect due to a technical error.</P>
          <P>On pages 73342 through 73349, we are correcting Table 53: AMA RUC Recommendations and Interim Final Work RVUs for CY 2011 New, Revised, and Potentially Misvalued Codes to reflect the corrections previously listed for CPT codes 52332 and 77427, and to make these additional corrections:</P>
          <P>• The AMA RUC-Recommended Work RVU value for CPT code 77427 was incorrect due to a typographical error.</P>
          <P>• The CMS Decision and CY 2011 Interim Final Work RVU fields for CPT code 64483 were incorrect due to typographical errors.</P>
          <HD SOURCE="HD3">3. Errors in the PE RVUs</HD>

          <P>On pages 73352 and 73353, in Table 54—CPT Codes With Accepted AMA RUC Direct PE Recommendations for CY 2011 Codes, we listed codes for which we accepted on an interim final basis the AMA RUC direct PE recommendations. However, due to technical errors, we did not apply the correct inputs when calculating the PE values for the following CPT codes: 31296, 31297, 37223, 90945, 95800, and 95801. Similar technical errors in the creation of the direct practice expense database resulted in incorrect direct PE inputs for five other CPT codes: 77750, 92506, 93224, 93225, and 93226. The corrections to these direct PE inputs are included in the corrected final CY 2011 direct PE database available under downloads for the CY 2011 PFS final rule with comment period on the CMS Web site at:<E T="03">http://www.cms.gov/PhysicianFeeSched/PFSFRN/list.asp#TopOfPage.</E>
          </P>
          <P>Changes to the PE RVUs resulting from the corrections to the direct PE inputs and the work RVU corrections previously noted are reflected in changes to Addendum B and Addendum C. We also note that because work RVUs factor into the calculation for both the malpractice (MP) and practice expense (PE) RVUs, those values for these CPT codes may have also changed, and these subsequent changes are reflected in Addenda B and C. In addition, on page 73188, we are correcting errors in Table 2—Calculation of PE RVUs Under Methodology for Selected Codes (we are correcting the table in its entirety) as a result of changed values for PE RVUs that indirectly resulted from the changes to work RVUs.</P>
          <P>Finally, we note that changes in the RVUs for these codes affect additional codes due to various factors related to the relativity of the system including budget neutrality and adjustments to maintain PE RVU shares.</P>
          <HD SOURCE="HD3">4. Errors in the Malpractice RVUs</HD>

          <P>In section II.B.2 of the preamble to the CY 2011 PFS final rule with comment period, we discussed malpractice RVUs for new and revised services. These codes are listed on pages 73209 through 73213 in Table 8: Source Codes for CY 2011 New/Revised Codes Used to Set the Malpractice RVUs, and their MP RVU values are listed in Addendum B<PRTPAGE P="1671"/>and Addendum C. Due to a technical error in the application of the methodology used to calculate the MP RVUs as described in the CY 2011 PFS final rule with comment period, the MP RVU values listed for the following CPT codes were incorrect: 92606, 92607, 92608, 92609, 93452, 93452TC, 93453, 93453TC, 93454, 93454TC, 93457, 93457TC, 93458, 93458TC, 93459, 93459TC, 93460, 93460TC, 93461, 93461TC.</P>
          <P>Additionally, changes to the MP RVUs resulting from the correction to the work RVUs for CPT codes 77427 and 52332 as previously described are also reflected in Addendum B and Addendum C. Finally, we note that changes in RVUs previously described affect MP RVUs for additional codes due to various factors related to the relativity of the system.</P>
          <P>Due to the changes previously noted, we are correcting errors on pages 73595 through 73596 in Table 101: CY 2011 PFS Final Rule Total Allowed Charge Estimated Impact for RVU, MPPR, and MEI Rebasing Changes and on pages 73598 through 73600 in Table 102: Impact of Final Rule with Comment Period and Estimated Physician Update on CY 2011 Payment for Selected Procedures by replacing the tables in their entirety.</P>
          <HD SOURCE="HD2">B. Errors in the Addenda</HD>
          <P>On pages 73630 through 73809 and 73810 through 73815, in Addendum B: CY 2011—Relative Value Units and Related Information Used in Determining Medicare Payments and Addendum C: Codes with Interim RVUs, respectively, we need to correct errors in the work, PE, or MP RVUs (or combinations of these RVUs) for certain existing new and revised CY 2011 CPT codes. These errors are a result of the technical and typographical errors identified and summarized in section II.A. of this correction notice. We note that we are providing these addenda in their entirety.</P>
          <P>On page 73831 in Addendum J: List of CPT<SU>1</SU>/HCPCS Codes Used to Define Certain Designated Health Service Categories<SU>2</SU>under Section 1877 of the Social Security Act Effective January 1, 2011 we are correcting a technical error in the short descriptor for HCPCS code G0431.</P>
          <P>On pages 73841 through 73859, in Addendum K: CY 2011 ESRD Wage Index for Urban Areas Based on CBSA Labor Market Areas, we made technical and typographical errors in the composite rate wage index for CBSA codes 11540, 12060, 19060, 27740, and 35380, and in the ESRD PPS wage index for CBSA codes 40980 and 43780. On page 73848, we also made a typographical error in the CBSA code for Houston-Sugar Land-Baytown, TX.</P>
          <P>On page 73859, in Addendum L: CY 2011 ESRD Wage Index for Rural Areas Based on CBSA Labor Market Areas, we made a technical error in the composite wage index for the nonurban area of Alaska.</P>
          <HD SOURCE="HD1">III. Correction of Errors</HD>
          <P>In FR Doc. 2010-27969 of November 29, 2010 make the following corrections:</P>
          <HD SOURCE="HD2">A. Corrections to the Preamble</HD>

          <P>1. On page 73188, in Table 2—Calculation of PE RVUs Under Methodology for Selected Codes, the table is corrected to read as follows:<PRTPAGE P="1672"/>
          </P>
          <GPOTABLE CDEF="s30,xs48,r25,16,11,11,11,11,11,11,11,11" COLS="12" OPTS="L2,p7,7/8,i1">
            <TTITLE>Table 2—Calculation of PE RVUS Under Methodology for Selected Codes</TTITLE>
            <BOXHD>
              <CHED H="1"/>
              <CHED H="1">Step</CHED>
              <CHED H="1">Source</CHED>
              <CHED H="1">Formula</CHED>
              <CHED H="1">99213<LI>Office visit, est</LI>
                <LI>nonfacility</LI>
              </CHED>
              <CHED H="1">33533<LI>CABG,</LI>
                <LI>arterial,</LI>
                <LI>single</LI>
                <LI>facility</LI>
              </CHED>
              <CHED H="1">71020<LI>Chest x-ray nonfacility</LI>
              </CHED>
              <CHED H="1">71020-TC</CHED>
              <CHED H="1">71020-26<LI>Chest xray nonfacility</LI>
              </CHED>
              <CHED H="1">93000<LI>ECG,</LI>
                <LI>complete</LI>
                <LI>nonfacility</LI>
              </CHED>
              <CHED H="1">93005<LI>ECG, tracing nonfacility</LI>
              </CHED>
              <CHED H="1">93010<LI>ECG, report nonfacility</LI>
              </CHED>
            </BOXHD>
            <ROW>
              <ENT I="01">(1) Labor cost (Lab)</ENT>
              <ENT>Step 1</ENT>
              <ENT>AMA</ENT>
              <ENT/>
              <ENT>13.32</ENT>
              <ENT>77.52</ENT>
              <ENT>5.74</ENT>
              <ENT>5.74</ENT>
              <ENT>0.00</ENT>
              <ENT>6.12</ENT>
              <ENT>6.12</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(2) Supply cost (Sup)</ENT>
              <ENT>Step 1</ENT>
              <ENT>AMA</ENT>
              <ENT/>
              <ENT>2.98</ENT>
              <ENT>7.34</ENT>
              <ENT>3.39</ENT>
              <ENT>3.39</ENT>
              <ENT>0.00</ENT>
              <ENT>1.19</ENT>
              <ENT>1.19</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(3) Equipment cost (Eqp.)</ENT>
              <ENT>Step 1</ENT>
              <ENT>AMA</ENT>
              <ENT/>
              <ENT>0.19</ENT>
              <ENT>0.65</ENT>
              <ENT>8.17</ENT>
              <ENT>8.17</ENT>
              <ENT>0.00</ENT>
              <ENT>0.12</ENT>
              <ENT>0.12</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(4) Direct cost (Dir)</ENT>
              <ENT>Step 1</ENT>
              <ENT/>
              <ENT>=(1)+(2)+(3)</ENT>
              <ENT>16.50</ENT>
              <ENT>85.51</ENT>
              <ENT>17.31</ENT>
              <ENT>17.31</ENT>
              <ENT>0.00</ENT>
              <ENT>7.43</ENT>
              <ENT>7.43</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(5) Direct adjustment (Dir. Adj)</ENT>
              <ENT>Steps 2-4</ENT>
              <ENT>See footnote*</ENT>
              <ENT/>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
              <ENT>0.50</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(6) Adjusted Labor</ENT>
              <ENT>Steps 2-4</ENT>
              <ENT>=Lab * Dir Adj</ENT>
              <ENT>=(1)*(5)</ENT>
              <ENT>6.65</ENT>
              <ENT>38.68</ENT>
              <ENT>2.86</ENT>
              <ENT>2.86</ENT>
              <ENT>0.00</ENT>
              <ENT>3.05</ENT>
              <ENT>3.05</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(7) Adjusted Supplies</ENT>
              <ENT>Steps 2-4</ENT>
              <ENT>= Sup * Dir Adj</ENT>
              <ENT>=(2)*(5)</ENT>
              <ENT>1.49</ENT>
              <ENT>3.66</ENT>
              <ENT>1.69</ENT>
              <ENT>1.69</ENT>
              <ENT>0.00</ENT>
              <ENT>0.60</ENT>
              <ENT>0.60</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(8) Adjusted Equipment</ENT>
              <ENT>Steps 2-4</ENT>
              <ENT>= Eqp * Dir Adj</ENT>
              <ENT>=(3)*(5)</ENT>
              <ENT>0.10</ENT>
              <ENT>0.33</ENT>
              <ENT>4.08</ENT>
              <ENT>4.08</ENT>
              <ENT>0.00</ENT>
              <ENT>0.06</ENT>
              <ENT>0.06</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(9) Adjusted direct</ENT>
              <ENT>Steps 2-4</ENT>
              <ENT/>
              <ENT>=(6)+(7)+(8)</ENT>
              <ENT>8.23</ENT>
              <ENT>42.67</ENT>
              <ENT>8.64</ENT>
              <ENT>8.64</ENT>
              <ENT>0.00</ENT>
              <ENT>3.71</ENT>
              <ENT>3.71</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(10) Conversion Factor (CF)</ENT>
              <ENT>Step 5</ENT>
              <ENT>PFS</ENT>
              <ENT/>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
              <ENT>36.87</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(11) Adj. labor cost converted</ENT>
              <ENT>Step 5</ENT>
              <ENT>=(Lab * Dir Adj)/CF</ENT>
              <ENT>=(6)/(10)</ENT>
              <ENT>0.18</ENT>
              <ENT>1.05</ENT>
              <ENT>0.08</ENT>
              <ENT>0.08</ENT>
              <ENT>0.00</ENT>
              <ENT>0.08</ENT>
              <ENT>0.08</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(12) Adj. supply cost converted</ENT>
              <ENT>Step 5</ENT>
              <ENT>=(Sup * Dir Adj)/CF</ENT>
              <ENT>=(7)/(10)</ENT>
              <ENT>0.04</ENT>
              <ENT>0.10</ENT>
              <ENT>0.05</ENT>
              <ENT>0.05</ENT>
              <ENT>0.00</ENT>
              <ENT>0.02</ENT>
              <ENT>0.02</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(13) Adj. equipment cost converted</ENT>
              <ENT>Step 5</ENT>
              <ENT>=(Eqp * Dir Adj)/CF</ENT>
              <ENT>=(8)/(10)</ENT>
              <ENT>0.00</ENT>
              <ENT>0.01</ENT>
              <ENT>0.11</ENT>
              <ENT>0.11</ENT>
              <ENT>0.00</ENT>
              <ENT>0.00</ENT>
              <ENT>0.00</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(14) Adj. direct cost converted</ENT>
              <ENT>Step 5</ENT>
              <ENT/>
              <ENT>=(11)+(12)+(13)</ENT>
              <ENT>0.22</ENT>
              <ENT>1.16</ENT>
              <ENT>0.23</ENT>
              <ENT>0.23</ENT>
              <ENT>0.00</ENT>
              <ENT>0.10</ENT>
              <ENT>0.10</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(15) Work RVU</ENT>
              <ENT>Setup File</ENT>
              <ENT>PFS</ENT>
              <ENT/>
              <ENT>0.97</ENT>
              <ENT>33.75</ENT>
              <ENT>0.22</ENT>
              <ENT>0.00</ENT>
              <ENT>0.22</ENT>
              <ENT>0.17</ENT>
              <ENT>0.00</ENT>
              <ENT>0.17</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(16) Dir_pct</ENT>
              <ENT>Steps 6, 7</ENT>
              <ENT>Surveys</ENT>
              <ENT/>
              <ENT>0.26</ENT>
              <ENT>0.18</ENT>
              <ENT>0.29</ENT>
              <ENT>0.29</ENT>
              <ENT>0.29</ENT>
              <ENT>0.29</ENT>
              <ENT>0.29</ENT>
              <ENT>0.29</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(17) Ind_pct</ENT>
              <ENT>Steps 6, 7</ENT>
              <ENT>Surveys</ENT>
              <ENT/>
              <ENT>0.74</ENT>
              <ENT>0.82</ENT>
              <ENT>0.71</ENT>
              <ENT>0.71</ENT>
              <ENT>0.71</ENT>
              <ENT>0.71</ENT>
              <ENT>0.71</ENT>
              <ENT>0.71</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(18) Ind. Alloc. Formula (1st part)</ENT>
              <ENT>Step 8</ENT>
              <ENT>See Step 8</ENT>
              <ENT/>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
              <ENT>((14)/(16)) * (17)</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(19) Ind. Alloc. (1st part)</ENT>
              <ENT>Step 8</ENT>
              <ENT/>
              <ENT>See (18)</ENT>
              <ENT>0.65</ENT>
              <ENT>5.27</ENT>
              <ENT>0.58</ENT>
              <ENT>0.58</ENT>
              <ENT>0.00</ENT>
              <ENT>0.25</ENT>
              <ENT>0.25</ENT>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(20) Ind. Alloc. Formulas (2nd part)</ENT>
              <ENT>Step 8</ENT>
              <ENT>See Step 8</ENT>
              <ENT/>
              <ENT>(15)</ENT>
              <ENT>(15)</ENT>
              <ENT>(15)+(11)</ENT>
              <ENT>(11)</ENT>
              <ENT>(15)</ENT>
              <ENT>(15)+(11)</ENT>
              <ENT>(11)</ENT>
              <ENT>(15)</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(21) Ind. Alloc. (2nd part)</ENT>
              <ENT>Step 8</ENT>
              <ENT/>
              <ENT>See (20)</ENT>
              <ENT>0.97</ENT>
              <ENT>33.75</ENT>
              <ENT>0.30</ENT>
              <ENT>0.08</ENT>
              <ENT>0.22</ENT>
              <ENT>0.25</ENT>
              <ENT>0.08</ENT>
              <ENT>0.17</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(22) Indirect Allocator (1st + 2nd)</ENT>
              <ENT>Step 8</ENT>
              <ENT/>
              <ENT>=(19)+(21)</ENT>
              <ENT>1.62</ENT>
              <ENT>39.02</ENT>
              <ENT>0.88</ENT>
              <ENT>0.66</ENT>
              <ENT>0.22</ENT>
              <ENT>0.50</ENT>
              <ENT>0.33</ENT>
              <ENT>0.17</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(23) Indirect Adjustment (Ind. Adj.)</ENT>
              <ENT>Steps 9-11</ENT>
              <ENT>See footnote**</ENT>
              <ENT/>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
              <ENT>0.37</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(24) Adjusted indirect allocator</ENT>
              <ENT>Steps 9-11</ENT>
              <ENT>=Ind Alloc * Ind Adj</ENT>
              <ENT/>
              <ENT>0.60</ENT>
              <ENT>14.46</ENT>
              <ENT>0.32</ENT>
              <ENT>0.24</ENT>
              <ENT>0.08</ENT>
              <ENT>0.19</ENT>
              <ENT>0.12</ENT>
              <ENT>0.06</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(25) Ind. Practice Cost Index (IPCI)</ENT>
              <ENT>Steps 12-16</ENT>
              <ENT>See Steps 12-16</ENT>
              <ENT/>
              <ENT>1.11</ENT>
              <ENT>0.83</ENT>
              <ENT>0.89</ENT>
              <ENT>0.89</ENT>
              <ENT>0.89</ENT>
              <ENT>0.92</ENT>
              <ENT>0.92</ENT>
              <ENT>0.92</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(26) Adjusted Indirect</ENT>
              <ENT>Step 17</ENT>
              <ENT>= Adj.Ind Alloc * PCI</ENT>
              <ENT>=(24) * (25)</ENT>
              <ENT>0.67</ENT>
              <ENT>12.05</ENT>
              <ENT>0.29</ENT>
              <ENT>0.22</ENT>
              <ENT>0.07</ENT>
              <ENT>0.17</ENT>
              <ENT>0.11</ENT>
              <ENT>0.06</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(27) MEI Rebasing Adjustment</ENT>
              <ENT>Step 18</ENT>
              <ENT>PFS</ENT>
              <ENT/>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
              <ENT>1.18</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(28) MPPR Adjustment</ENT>
              <ENT>Step 18</ENT>
              <ENT>PFS</ENT>
              <ENT/>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
              <ENT>1.01</ENT>
            </ROW>
            <ROW>
              <ENT I="01">(29) PE RVU</ENT>
              <ENT>Step 18</ENT>
              <ENT>=(Adj Dir + Adj Ind) * budn * MEI Adj * MPPR Adj</ENT>
              <ENT>=((14)+(26)) * budn * (27) * (28)</ENT>
              <ENT>1.06</ENT>
              <ENT>15.69</ENT>
              <ENT>0.62</ENT>
              <ENT>0.53</ENT>
              <ENT>0.09</ENT>
              <ENT>0.32</ENT>
              <ENT>0.25</ENT>
              <ENT>0.07</ENT>
            </ROW>
            <TNOTE>
              <E T="02">Note:</E>PE RVUs in table 2, row 29, may not match Addendum B due to rounding.</TNOTE>
            <TNOTE>* The direct adj = [current pe rvus * CF * avg dir pct]/[sum direct inputs] = [Step 2]/[Step 3].</TNOTE>
            <TNOTE>** The indirect adj = [current pe rvus * avg ind pct]/[sum of ind allocators] = [Step 9]/[Step 10].</TNOTE>
          </GPOTABLE>
          <PRTPAGE P="1673"/>
          <P>2. On page 73276, third column,</P>
          <P>a. Second full paragraph,</P>
          <P>(1) Line 23, the figure “1.181” is corrected to read “1.182.”</P>
          <P>(2) Line 24, the figure “1.358” is corrected to read “1.361.”</P>
          <P>(3) Line 28, the figure “1.358” is corrected to read “1.361.”</P>
          <P>b. Last partial paragraph,</P>
          <P>(1) Line 10, the figure “0.9181” is corrected to read “0.9175.”</P>
          <P>(2) Line 11, the figure “1.181” is corrected to read “1.182.”</P>
          <P>(3) Line 12, the figure “1.358” is corrected to read “1.361.”</P>
          <P>3. On page 73283,</P>
          <P>a. Top half of the page,</P>
          <P>(1) First column, first full paragraph,</P>
          <P>(a) Line 1, the figure “$25.5217” is corrected to read “$25.4999.”</P>
          <P>(b) Line 3, the figure “$15.8085” is corrected to read “$15.7999.”</P>
          <P>(2) Second column, second partial paragraph, last line, the figure “1.0045” is corrected to read “1.0043.”</P>
          <P>(3) Third column, first partial paragraph,</P>
          <P>(a) Line 6, the figure “0.9181” is corrected to read “0.9175.”</P>
          <P>(b) Line 15, the figure “$25.5217” is corrected to read “$25.4999”</P>
          <P>b. Bottom half of the page, in Table 45—Calculation of the CY 2011 PFS CF, the listed entries are corrected to read as follows:</P>
          <GPOTABLE CDEF="s100,r50,12" COLS="3" OPTS="L2,tp0,p1,8/9,i1">
            <TTITLE/>
            <BOXHD>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
            </BOXHD>
            <ROW>
              <ENT I="01">CY 2011 RVU Budget Neutrality Adjustment</ENT>
              <ENT O="xl">0.4 percent (1.0043).</ENT>
              <ENT O="xl"/>
            </ROW>
            <ROW>
              <ENT I="01">CY 2011 Rescaling to Match MEI Weights Budget Neutrality Adjustment</ENT>
              <ENT O="xl">−8.3 percent (0.9175).</ENT>
              <ENT O="xl"/>
            </ROW>
            <ROW>
              <ENT I="01">CY 2011 Conversion Factor</ENT>
              <ENT/>
              <ENT>$25.4999</ENT>
            </ROW>
          </GPOTABLE>
          <P>4. On pages 73283 and 73284, top of the page, in Table 46—Calculation of the CY 2011 Anesthesia Conversion Factor, the listed entries are corrected to read as follows:</P>
          <GPOTABLE CDEF="s100,r50,12" COLS="3" OPTS="L2,tp0,p1,8/9,i1">
            <TTITLE/>
            <BOXHD>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
            </BOXHD>
            <ROW>
              <ENT I="01">CY 2011 Anesthesia Adjustment</ENT>
              <ENT O="xl">−2.4 percent (0.9760).</ENT>
              <ENT O="xl"/>
            </ROW>
            <ROW>
              <ENT I="01">CY 2011 Anesthesia Conversion Factor</ENT>
              <ENT/>
              <ENT>$15.7999</ENT>
            </ROW>
          </GPOTABLE>
          <P>5. On page 73328, first column, last paragraph,</P>
          <P>a. Line 4, the figure “207” is corrected to read “206.”</P>
          <P>b. Line 7, the figure “84” is corrected to read “85.”</P>
          <P>6. On page 73340, first column, first full paragraph,</P>
          <P>a. Line 9, the number “1.47” is corrected to read “2.60.”</P>
          <P>b. Line 10, the phrase “25th percentile” is corrected to read “low value.”</P>
          <P>c. Line 14, the number “1.47” is corrected to read “2.60.”</P>
          <P>7. On page 73341, third column, last paragraph, line 12, the figure “2.92” is corrected to read “3.37.”</P>
          <P>8. On pages 73342 through 73349, in Table 53—AMA RUC Recommendations and Interim Final Work RVUs for CY 2011 New, Revised, and Potentially Misvalued Codes the listed entries are corrected to read as follows:</P>
          <GPOTABLE CDEF="xs36,r50,15C,12,xs40,12" COLS="6" OPTS="L2,tp0,i1">
            <BOXHD>
              <CHED H="1">CPT code</CHED>
              <CHED H="1">Short descriptor</CHED>
              <CHED H="1">Valued in relation to a potentially misvalued code screen</CHED>
              <CHED H="1">AMA RUC-<LI>recommended work RVUs</LI>
              </CHED>
              <CHED H="1">CMS<LI>decision</LI>
              </CHED>
              <CHED H="1">CY 2011<LI>interim final work RVUs</LI>
              </CHED>
            </BOXHD>
            <ROW>
              <ENT I="01">52332</ENT>
              <ENT>Cystoscopy and treatment</ENT>
              <ENT>x</ENT>
              <ENT>2.83</ENT>
              <ENT>Disagree</ENT>
              <ENT>2.60</ENT>
            </ROW>
            <ROW>
              <ENT I="01">64483</ENT>
              <ENT>Inj foramen epidural l/s</ENT>
              <ENT>x</ENT>
              <ENT>1.90</ENT>
              <ENT>Disagree</ENT>
              <ENT>1.75</ENT>
            </ROW>
            <ROW>
              <ENT I="01">77427</ENT>
              <ENT>Radiation tx management x5</ENT>
              <ENT>x</ENT>
              <ENT>3.45</ENT>
              <ENT>Disagree</ENT>
              <ENT>3.37</ENT>
            </ROW>
          </GPOTABLE>
          <P>9. On page 73388, lower third of the page,</P>
          <P>a. First column, first paragraph, last line, the figure “$25.5217” is corrected to read “$25.4999.”</P>
          <P>b. Table 60—CY 2011 RVUs for CPT Code 77080, the table is corrected to read as follows:</P>
          <GPOTABLE CDEF="s50,xs40,14,14,14,14" COLS="6" OPTS="L2,i1">
            <TTITLE>Table 60—CY 2011 RVUs for CPT Code 77080</TTITLE>
            <TDESC>[<E T="02">Note:</E>Calculated using the current law CY 2011 CF of $25.4999]</TDESC>
            <BOXHD>
              <CHED H="1">CY 2011 CPT code</CHED>
              <CHED H="1">Mod</CHED>
              <CHED H="1">CY 2011 physician work RVUs</CHED>
              <CHED H="1">CY 2011 nonfacility PE RVUs</CHED>
              <CHED H="1">CY 2011 facility PE RVUs</CHED>
              <CHED H="1">CY 2011 malpractice RVUs</CHED>
            </BOXHD>
            <ROW>
              <ENT I="01">77080</ENT>
              <ENT>26</ENT>
              <ENT>0.31</ENT>
              <ENT>0.10</ENT>
              <ENT>0.10</ENT>
              <ENT>0.01</ENT>
            </ROW>
            <ROW>
              <ENT I="01">77080</ENT>
              <ENT>TC</ENT>
              <ENT>0.00</ENT>
              <ENT>3.23</ENT>
              <ENT>NA</ENT>
              <ENT>0.18</ENT>
            </ROW>
            <ROW>
              <ENT I="01">77080</ENT>
              <ENT/>
              <ENT>0.31</ENT>
              <ENT>3.33</ENT>
              <ENT>NA</ENT>
              <ENT>0.19</ENT>
            </ROW>
          </GPOTABLE>
          <P>10. On pages 73595 and 73596, in Table 101—CY 2011 PFS Final Rule Total Allowed Charge Estimate Impact for RVU, MPPR, and MEI Rebasing Changes, the table is corrected to read as follows:</P>
          <BILCOD>BILLING CODE 4120-01-P</BILCOD>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1674"/>
            <GID>ER11JA11.000</GID>
          </GPH>
          <GPH DEEP="135" SPAN="3">
            <PRTPAGE P="1675"/>
            <GID>ER11JA11.001</GID>
          </GPH>
          <P>11. On pages 73598 through 73600, in Table 102—Impact of Final Rule with Comment Period and Estimated Physician Update on CY 2011 Payment for Selected Procedures, the table is corrected to read as follows:</P>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1676"/>
            <GID>ER11JA11.002</GID>
          </GPH>
          <GPH DEEP="225" SPAN="3">
            <PRTPAGE P="1677"/>
            <GID>ER11JA11.003</GID>
          </GPH>
          <HD SOURCE="HD2">B. Corrections to the Addenda</HD>
          <P>1. On pages 73630 through 73809, in Addendum B: CY 2011-Relative Value Units and Related Information Used in Determining Medicare Payments, the addendum is corrected to read as follows:</P>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1678"/>
            <GID>ER11JA11.004</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1679"/>
            <GID>ER11JA11.005</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1680"/>
            <GID>ER11JA11.006</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1681"/>
            <GID>ER11JA11.007</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1682"/>
            <GID>ER11JA11.008</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1683"/>
            <GID>ER11JA11.009</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1684"/>
            <GID>ER11JA11.010</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1685"/>
            <GID>ER11JA11.011</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1686"/>
            <GID>ER11JA11.012</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1687"/>
            <GID>ER11JA11.013</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1688"/>
            <GID>ER11JA11.014</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1689"/>
            <GID>ER11JA11.015</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1690"/>
            <GID>ER11JA11.016</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1691"/>
            <GID>ER11JA11.017</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1692"/>
            <GID>ER11JA11.018</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1693"/>
            <GID>ER11JA11.019</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1694"/>
            <GID>ER11JA11.020</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1695"/>
            <GID>ER11JA11.021</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1696"/>
            <GID>ER11JA11.022</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1697"/>
            <GID>ER11JA11.023</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1698"/>
            <GID>ER11JA11.024</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1699"/>
            <GID>ER11JA11.025</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1700"/>
            <GID>ER11JA11.026</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1701"/>
            <GID>ER11JA11.027</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1702"/>
            <GID>ER11JA11.028</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1703"/>
            <GID>ER11JA11.029</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1704"/>
            <GID>ER11JA11.030</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1705"/>
            <GID>ER11JA11.031</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1706"/>
            <GID>ER11JA11.032</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1707"/>
            <GID>ER11JA11.033</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1708"/>
            <GID>ER11JA11.034</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1709"/>
            <GID>ER11JA11.035</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1710"/>
            <GID>ER11JA11.036</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1711"/>
            <GID>ER11JA11.037</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1712"/>
            <GID>ER11JA11.038</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1713"/>
            <GID>ER11JA11.039</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1714"/>
            <GID>ER11JA11.040</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1715"/>
            <GID>ER11JA11.041</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1716"/>
            <GID>ER11JA11.042</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1717"/>
            <GID>ER11JA11.043</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1718"/>
            <GID>ER11JA11.044</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1719"/>
            <GID>ER11JA11.045</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1720"/>
            <GID>ER11JA11.046</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1721"/>
            <GID>ER11JA11.047</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1722"/>
            <GID>ER11JA11.048</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1723"/>
            <GID>ER11JA11.049</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1724"/>
            <GID>ER11JA11.050</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1725"/>
            <GID>ER11JA11.051</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1726"/>
            <GID>ER11JA11.052</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1727"/>
            <GID>ER11JA11.053</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1728"/>
            <GID>ER11JA11.054</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1729"/>
            <GID>ER11JA11.055</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1730"/>
            <GID>ER11JA11.056</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1731"/>
            <GID>ER11JA11.057</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1732"/>
            <GID>ER11JA11.058</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1733"/>
            <GID>ER11JA11.059</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1734"/>
            <GID>ER11JA11.060</GID>
          </GPH>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1735"/>
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          </GPH>
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          </GPH>
          <GPH DEEP="640" SPAN="3">
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          <GPH DEEP="307" SPAN="3">
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          <P>3. On page 73831, in Addendum J: List of CPT<SU>1</SU>/HCPCS Codes Used to Define Certain Designated Health Service Categories<SU>2</SU>under Section 1877 of the Social Security Act Effective January 1, 2011, the listed entry is corrected to read as follows:</P>
          <GPH DEEP="15" SPAN="3">
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          </GPH>
          <P>4. On pages 73841 through 73859, in Addendum K: CY 2011 ESRD Wage Index for Urban Areas Based on CBSA Labor Market Areas, the listed entries are corrected to read as follows:</P>
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          </GPH>
          <GPH DEEP="177" SPAN="3">
            <PRTPAGE P="1859"/>
            <GID>ER11JA11.186</GID>
          </GPH>
          <P>4. On page 73859, in Addendum L: CY 2011 ESRD Wage Index for Rural Areas Based on CBSA Labor Market Areas, the listed entry is corrected to read as follows:</P>
          <GPH DEEP="59" SPAN="3">
            <GID>ER11JA11.187</GID>
          </GPH>
          <HD SOURCE="HD1">III. Waiver of Proposed Rulemaking and Delay in Effective Date</HD>

          <P>We ordinarily publish a notice of proposed rulemaking in the<E T="04">Federal Register</E>to provide a period for public comment before the provisions of a rule take effect in accordance with section 553(b) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). However, we can waive the notice and comment procedure if the Secretary finds, for good cause, that the notice and comment process is impracticable, unnecessary, or contrary to the public interest, and incorporates a statement of the finding and the reasons for it in the rule.</P>
          <P>Section 553(d) of the APA ordinarily requires a 30-day delay in the effective date of final rules after the date of their publication. This 30-day delay in effective date can be waived, however, if an agency finds for good cause that the delay is impracticable, unnecessary, or contrary to the public interest, and the agency incorporates a statement of the findings and its reasons in the rule issued.</P>

          <P>This document merely corrects typographical and technical errors made in the CY 2011 PFS final rule with comment period, which appeared in the November 29, 2010<E T="04">Federal Register</E>(75 FR 73170), and is (with limited exceptions not relevant to these corrections, but noted in the rule), effective January 1, 2011. The provisions of the final rule with comment period have been subjected previously to notice and comment procedures. The corrections contained in this document are consistent with, and do not make substantive changes to, the payment methodologies and policies adopted in the CY 2011 PFS final rule with comment period. As such, these corrections are being made to ensure the CY 2011 PFS final rule with comment period accurately reflects the policies adopted in that rule. Therefore, we find for good cause that it is unnecessary and would be contrary to the public interest to undertake further notice and comment procedures to incorporate these corrections into the CY 2011 PFS final rule with comment period.</P>
          <P>For the same reasons, we are also waiving the 30-day delay in effective date for these corrections. We believe that it is in the public interest to ensure that the CY 2011 PFS final rule with comment period accurately states our policies as of the date they take effect. Therefore, we find that delaying the effective date of these corrections beyond the effective date of the final rule with comment period would be contrary to the public interest. In so doing, we find good cause to waive the 30-day delay in the effective date.</P>
          <AUTH>
            <HD SOURCE="HED">Authority:</HD>
            <P>(Catalog of Federal Domestic Assistance Program No. 93.774,Medicare—Supplementary Medical Insurance Program)</P>
          </AUTH>
          <SIG>
            <DATED>Dated: December 29, 2010.</DATED>
            <NAME>Dawn L. Smalls,</NAME>
            <TITLE>Executive Secretary to the Department.</TITLE>
          </SIG>
        </SUPLINF>
        <FRDOC>[FR Doc. 2010-33264 Filed 12-30-10; 4:15 pm]</FRDOC>
        <BILCOD>BILLING CODE 4120-01-C</BILCOD>
      </RULE>
    </RULES>
  </NEWPART>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Notices</UNITNAME>
  <NEWPART>
    <PTITLE>
      <PRTPAGE P="1861"/>
      <PARTNO>Part III</PARTNO>
      <AGENCY TYPE="P">Tennessee Valley Authority</AGENCY>
      <TITLE>Privacy Act of 1974: Republication of Notice of Systems of Records; Notice</TITLE>
    </PTITLE>
    <NOTICES>
      <NOTICE>
        <PREAMB>
          <PRTPAGE P="1862"/>
          <AGENCY TYPE="S">TENNESSEE VALLEY AUTHORITY</AGENCY>
          <SUBJECT>Privacy Act of 1974: Republication of Notice of Systems of Records</SUBJECT>
          <AGY>
            <HD SOURCE="HED">AGENCY:</HD>
            <P>Tennessee Valley Authority (TVA).</P>
          </AGY>
          <ACT>
            <HD SOURCE="HED">ACTION:</HD>
            <P>Notice of republication of systems of records; notice of proposed new system of records.</P>
          </ACT>
          <SUM>
            <HD SOURCE="HED">SUMMARY:</HD>
            <P>In accordance with 5 U.S.C. 552a(e)(4), the Tennessee Valley Authority (TVA) is republishing in full a notice of the existence and character of each TVA system of records.</P>
            <P>TVA is deleting one system of records because the program has ended. The retention period for the records has expired and the records have been destroyed in accordance with their records retention schedule.</P>
            <P>TVA is proposing to add a new system of records. The records were previously included within other TVA systems of records. They are now being published as their own system of records to better reflect their organizational placement.</P>
            <P>TVA is also correcting minor typographical and stylistic errors in previously existing notices and has updated those notices to reflect current organizational structure. Also, updates are being made to show any changes to system locations; managers and addresses; categories of individuals and records; procedures and practices for storing, retrieving, accessing, retaining, and disposing of records.</P>
          </SUM>
          <DATES>
            <HD SOURCE="HED">DATES:</HD>
            <P>Submit comments on or before February 10, 2011.</P>
          </DATES>
          <ADD>
            <HD SOURCE="HED">ADDRESSES:</HD>
            <P>Address all comments concerning this notice to Mark R. Winter, Senior Information Security Specialist, TVA, 1101 Market Street (MP 3C), Chattanooga, TN 37402-2801.</P>
          </ADD>
          <FURINF>
            <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
            <P>Mark R. Winter at (423) 751-6004 or<E T="03">mrwinter@tva.gov.</E>
            </P>
          </FURINF>
        </PREAMB>
        <SUPLINF>
          <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>

          <P>In accordance with 5 U.S.C. 552a(e)(4), TVA is today republishing a notice of the existence and character of each of its systems of records in order to make available in one place in the<E T="04">Federal Register</E>the most up-to-date information regarding these systems.</P>
          <P>TVA is deleting one system of records as follows. TVA-28, “Woodland Resource Analysis Program Input Data—TVA.” After the program ended the records were stored off-site at the Federal Records Center. The retention period for the records expired and the records were disposed of by the Federal Records Center.</P>
          <P>TVA is proposing to add a new system of records: TVA-39, “Nuclear Access Authorization and Fitness for Duty Records—TVA” The records were previously included within other TVA systems of records. They are now being published as their own system of records to better reflect their organizational placement. The Nuclear Access Authorization records are related to requests for unescorted access, and include background investigations for unescorted access, and the granting of clearances for unescorted access to TVA nuclear sites as well as suspensions, revocations, and denials of unescorted access. It also contains records pertaining to unescorted access issues. The Nuclear Fitness for Duty program ensures that each employee has a safe, drug-free workplace and provides reasonable assurance that personnel supporting the TVA Nuclear program perform their task in a reliable and trustworthy manner. This program is administered in accordance with regulation 10 CFR part 26 issued by the Nuclear Regulatory Commission, and is implemented through various TVA policies and procedures. The new system of records, TVA-39, “Nuclear Access Authorization and Fitness for Duty Records—TVA” will be effective as proposed at the end of the comment period unless comments are received which would require a contrary determination. TVA will publish a revised notice if changes are made based upon a review of comments received.</P>
          <P>TVA is also correcting minor typographical and stylistic errors in the previous existing systems. In addition, TVA is updating the system locations; managers and addresses; notification; categories of individuals covered; categories of records; storage policies and practices; retention and disposal; record access; and contesting record procedures. These changes are necessary to reflect TVA's current organizational structure, current technology, and procedural changes.</P>
          <P>This document gives notice that the following TVA systems of records below are in effect:</P>
          <HD SOURCE="HD1">Table of Contents</HD>
          <EXTRACT>
            <FP SOURCE="FP-2">TVA-1 Apprentice Training Records.</FP>
            <FP SOURCE="FP-2">TVA-2 Personnel Files.</FP>
            <FP SOURCE="FP-2">TVA-5 Discrimination Complaint Files.</FP>
            <FP SOURCE="FP-2">TVA-6 Work Injury Illness System.</FP>
            <FP SOURCE="FP-2">TVA-7 Employee Accounts Receivable.</FP>
            <FP SOURCE="FP-2">TVA-8 Employee Alleged Misconduct Investigatory Files.</FP>
            <FP SOURCE="FP-2">TVA-9 Health Records.</FP>
            <FP SOURCE="FP-2">TVA-11 Payroll Records.</FP>
            <FP SOURCE="FP-2">TVA-12 Travel History Records.</FP>
            <FP SOURCE="FP-2">TVA-13 Employment Applicant Files.</FP>
            <FP SOURCE="FP-2">TVA-14 Grievance Records.</FP>
            <FP SOURCE="FP-2">TVA-18 Employee Supplementary Vacancy Announcement Records.</FP>
            <FP SOURCE="FP-2">TVA-19 Consultant and Contractor Records.</FP>
            <FP SOURCE="FP-2">TVA-21 Nuclear Quality Assurance Personnel Records.</FP>
            <FP SOURCE="FP-2">TVA-22 Questionnaire—Land Use Surveys in Vicinity of Proposed or Licensed Nuclear Power Plant.</FP>
            <FP SOURCE="FP-2">TVA-23 Radiation Dosimetry Personnel Monitoring Records.</FP>
            <FP SOURCE="FP-2">TVA-26 Retirement System Records.</FP>
            <FP SOURCE="FP-2">TVA-29 Energy Program Participant Records.</FP>
            <FP SOURCE="FP-2">TVA-31 OIG Investigative Records.</FP>
            <FP SOURCE="FP-2">TVA-32 Call Detail Records.</FP>
            <FP SOURCE="FP-2">TVA-34 Project/Tract Files.</FP>
            <FP SOURCE="FP-2">TVA-36 Section 26a Permit Application Records.</FP>
            <FP SOURCE="FP-2">TVA-37 U.S. TVA Police Records.</FP>
            <FP SOURCE="FP-2">TVA-38 Wholesale, Retail, and Emergency Data Files.</FP>
            <FP SOURCE="FP-2">TVA-39 Nuclear Access Authorization and Fitness for Duty Records—TVA</FP>
          </EXTRACT>
          <PRIACT>
            <HD SOURCE="HD1">TVA-1</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Apprentice Training Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Human Resource Information Systems, TVA, Knoxville, TN 37902-1499; Computer Operations, TVA, Chattanooga, TN 37402-2801; all TVA locations where apprentices are employed.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Current and former TVA apprentices.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Employment, qualifications, and evaluation information.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; National Apprenticeship Act of 1937, 50 Stat. 664.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To the Bureau of Apprenticeship and Training, the Veterans' Administration, Tennessee Valley Trades and Labor Council, and the State and local Government agencies for reporting and evaluation purposes.</P>
            <P>To respond to a request from a Member of Congress regarding the status of an apprentice.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>

            <P>To provide the following information to a prospective employer of a TVA or former TVA employee: Job description, dates of employment, reason for separation.<PRTPAGE P="1863"/>
            </P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information; and to request information from private individuals, if necessary, to obtain information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices, microfiche, and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name, craft, job code, union code, and social security number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. Files are kept in secured facilities.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA record retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Talent Sourcing &amp; Support Services, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals seeking to learn if information on them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name, craft, and location of employment.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking access to information about them in this system of records should contact the system manager named above. Access will not be granted to investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment. Federal contracts, or access to classified information 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence. Access will not be granted to testing or examination material used solely to determine individual qualification for appointment or promotion in the Federal service, the disclosure of which would compromise the objectivity or fairness of the testing or examination process.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains; General Aptitude Test Battery scores from State employment security office; references from employers, military and educational institutions; and evaluations from joint committee on apprenticeship.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (d); (e)(4)(H); and (f)(2), (3), and (4) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) to the extent that disclosure of 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence, and to the extent that disclosure of testing and examination material would compromise the objectivity of the testing or examination process. This exemption is pursuant to 5 U.S.C. 552a(k)(5) and (6) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-2</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Personnel Files—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Human Resources, Shared Services &amp; Employee Relations, TVA, Knoxville, TN 37902-1499; Human Resource Information Systems, TVA, Knoxville, TN 37902-1499; area human resources offices throughout TVA; Information Technology, TVA, Chattanooga, TN 37402-2801; National Personnel Records Center, St. Louis, MO 63118. Security/suitability investigatory files are located separately from other records in this system. Duplicate or certain specified temporary information may be maintained by human resources officers, supervisors, and administrative officers.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Current and former TVA employees, some contractors, applicants for employment, and applicants for employment by TVA contractors.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Information related to education; qualifications; work history; interests and skills; test results; performance evaluation; career counseling; personnel actions; job description; salary and benefit information; service dates, including other Federal and military service; replies to congressional inquiries; medical data; and security investigation data.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>

            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Executive Order 10577; Executive Order 10450; Executive Order 11478; Executive Order 11222; Equal Employment Opportunity<PRTPAGE P="1864"/>Act of 1972, Public Law 92-261, 86 Stat. 103; Veterans' Preference Act of 1944, 58 Stat. 387, as amended; various sections of title 5 of the United States Code related to employment by TVA.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES::</HD>
            <P>To disclose test results to State employment services.</P>
            <P>To a State employment security office in response to a request relating to a former employee's claim for unemployment compensation.</P>
            <P>To respond to a request from a Member of Congress regarding the status of an employee, former employee, or applicant.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To request from any pertinent source directly or through a TVA contractor engaged at TVA's direction, information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>To provide information or disclose to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>To provide the following information, as requested, to a prospective employer of a TVA or former TVA employee: job descriptions, dates of employment, and reasons for separation.</P>
            <P>To provide an official of another Federal agency information needed in the performance of official duties related to reconciling or reconstructing data files, in support of the functions for which the records were collected and maintained.</P>
            <P>To provide information to multi-employer health and welfare and pension funds as reasonably necessary and appropriate for proper administration of the plan of benefits.</P>
            <P>To provide information to TVA contractors engaged in making suitability determinations for their prospective employees under TVA contracts.</P>
            <P>To contractors and subcontractors engaged at TVA's direction in providing support services to TVA in connection with mailing materials to TVA employees or other related services.</P>
            <P>To provide information as requested to the Office of Personnel Management pursuant to Executive Orders 10450 and 10577 and other laws.</P>
            <P>To any agency of the Federal Government having oversight or review authority with regard to TVA activities.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To transfer information necessary to support a claim for life insurance benefits under Federal Employees' Group Life Insurance to Office of Federal Employees' Group Life Insurance.</P>
            <P>To transfer information regarding claims for health insurance benefits to health insurance carrier.</P>
            <P>To union representatives in exercising their responsibilities under TVA collective-bargaining agreements.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To TVA contractors and subcontractors engaged at TVA's direction in studies and evaluation of TVA personnel management and benefits; or the investigation of nuclear safety, reprisal, or other matters involving TVA personnel practices or policies; or the implementation of TVA personnel policies.</P>
            <P>To provide pertinent information to local school districts and other Government agencies in order to study TVA project impacts and to aid school districts in qualifying for assistance under Public Law 81-874 and other laws.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To commemorate the month and day of employee birthday anniversaries.</P>
            <P>To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services Federal Parent Locator System (FPLS) and Federal Tax Offset System for use in locating individuals and identifying their income sources to establish paternity, establish and modify orders of support, and for enforcement action.</P>
            <P>To the Office of Child Support Enforcement for release to the Social Security Administration for verifying social security numbers in connection with the operation of the FPLS by the Office of Child Support Enforcement.</P>
            <P>To the Office of Child Support Enforcement for release to the Department of Treasury for purposes of administering the Earned Income Tax Credit Program (Section 32, Internal Revenue Code of 1986) and verifying a claim with respect to employment in a tax return.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Information is stored electronically in the Human Resources Information System (HRIS), Personal Records Information System (PRIS), or on microfiche. Duplicate or certain specified temporary information may be maintained by human resource officers, supervisors, and administrative officers in a locked, secure location.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name and Employee Identification number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>

            <P>Access to and use of these records are limited to those persons whose official duties require such access. Access to systems storing these records must be approved by the Senior Manager of Employee Relations Support Services. All filing systems are locked when<PRTPAGE P="1865"/>unattended. Remote access facilities are secured through physical and system-based safeguards.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Employee Relations Support Services, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to learn if information on them is maintained in this system of records should address inquiries to the Manager, TVA Service Center, TVA, Knoxville, TN 37902-1499. Requests should include the individual's full name, job title, and date of birth. A Social Security number is not required but may expedite TVA's response; however, an Employee Identification Number may be included.</P>
            <P>Current employees should address inquiries also to their supervisors or the TVA Service Center.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking to gain access to information about them in this system of records should contact the Manager, TVA Service Center, TVA, Knoxville, TN 37901-1499. In addition, current employees may present requests for access to their supervisors or the personnel officer of the employing division. Requests should include the individual's full name, job title, and date of birth. A Social Security number is not required but may expedite TVA's response; however, an Employee Identification Number may be included. Access will not be granted to investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment or access to classified information 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence. Access will not be granted to testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal Service the disclosure of which would compromise the objectivity or fairness of the testing or examination process.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the Manager, TVA Service Center, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains; educational institutions; former employers; and other reference sources; State employment services; supervisors and other TVA personnel or personnel records; medical officers; other Federal agencies.</P>
            <P>In addition to the above sources, security/suitability investigatory files contain information from law enforcement agencies.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (d); (e)(4)(H); and (f)(2), (3) and (4) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) to the extent that disclosure of 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence, and to the extent that disclosure of testing or examination material would compromise the objectivity or fairness of the testing or examination process. This exemption is pursuant to 5 U.S.C. 552a(k)(5) and (6) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-5</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Discrimination Complaint Files—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>TVA Equal Opportunity Compliance Staff, Knoxville, TN 37902-1499. Duplicate copies may be maintained in the files of the TVA organization where the complaint originated.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees, former employees, or applicants who have received counseling or filed complaints of discrimination based on race, color, religion, sex, national origin, age, reprisal, disability, or genetic information.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>This system of records contains information or documents relating to a decision or determination made by TVA or the Equal Employment Opportunity Commission affecting an individual. The records consist of the complaint, letters or notices to the individual, record of hearings when received from the Equal Employment Opportunity Commission, materials placed into the record to support the decision or determination, affidavits or statements, testimonies of witnesses, investigative reports, and related correspondence, opinions, and recommendations. Also, if the case is appealed to the Federal District Court of Appeals, the records will contain a copy of the complaint on file with the Federal District Court.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Executive Order 11478; 42 U.S.C. 2000e-16; 29 U.S.C. 633a; Title VII of the Civil Rights Act of 1964; Age Discrimination in Employment Act of 1967; Rehabilitation Act of 1973; Genetic Information Nondiscrimination Act of 2008.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>If a hearing is requested and/or an administrative appeal is filed with the Equal Employment Opportunity Commission, a copy of the complaint file, containing a record of investigations and a correspondence file of each complaint, is forwarded to the Equal Employment Opportunity Commission.</P>
            <P>To the counselee's or complainant's representative.</P>
            <P>To respond to a request from a Member of Congress regarding the status of a complaint.</P>
            <P>To the parties of complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulations, or order issued pursuant thereto.</P>

            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery.<PRTPAGE P="1866"/>
            </P>
            <P>In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To TVA consultants, contractors, and subcontractors who are engaged in studies and evaluation of TVA's administration of its Equal Employment Opportunity program or who are providing support services to the program.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records in this system are kept in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records in this system are indexed by name.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those personnel whose official duties require such access.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Director of TVA Equal Opportunity Compliance, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals who have filed discrimination complaints are aware of that fact. However, inquiries may be addressed to the system manager named above. Individuals should provide their full name, the approximate date of their complaint, and their employing organization, if employed.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who have filed a discrimination complaint have been provided a copy of the record. However, an individual may gain access to a copy of their official complaint record by writing the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals who have filed a discrimination complaint have had an opportunity during the complaint procedure to timely amend their record. TVA management has the same opportunity during the complaint procedure to timely amend the applicable record. However, requests for amendment or correction of items not involving the complaint procedure may be addressed to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual to whom the record pertains; TVA personnel and other records; and witnesses.</P>
            <HD SOURCE="HD1">TVA-6</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Work Injury Illness System—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>TVA Safety Programs, TVA, Chattanooga, TN 37402-2801. Accident reports may also be maintained in the file of the employing organization.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees and Staff Augmented contractors who have sustained a work-related injury or illness.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Personal identifying information and information related to the accident, injury, or illness.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Executive Order 12196; Occupational Safety and Health Act of 1970, Public Law 93-237, 87 Stat. 1024.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To an injured employee's representative.</P>
            <P>To the Department of Labor as required by the Occupational Safety and Health Act.</P>
            <P>To the Office of Workers' Compensation Programs in relation to an individual's claim for compensation.</P>
            <P>To respond to a request from a Member of Congress regarding the status of an employee.</P>
            <P>To provide information to a Federal agency, in response to its request in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information, or other pertinent information; and to request information from private individuals, if necessary, to obtain information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purpose of this system of records.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>

            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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<PRTPAGE P="1867"/>TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Information in this system is maintained on automated data storage devices and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name, date of injury, and Employee Identification Number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those persons whose official duties require such access. All filing systems are locked when unattended. Remote access facilities are secured through physical and system-based safeguards.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Manager, Safety Process Support, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name, date of birth, and approximate date of injury.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who desire access to information about them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual to whom the record pertains; TVA medical records; witnesses of accidents and inquires, including appraisers of property damage.</P>
            <HD SOURCE="HD1">TVA-7</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Employee Accounts Receivable—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Financial Services, TVA, Knoxville, TN 37902-1499; Office of the General Counsel, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees or former employees who: Authorize a payment for specified purposes in their behalf; receive overpayment of earnings; receive duplicate payments; are otherwise indebted to TVA.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Personal identifying information and information concerning indebtedness and repayment.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; 5 U.S.C. Chapter 55.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">DISCLOSURE TO CONSUMER REPORTING AGENCIES:</HD>
            <P>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Debt Collection Act of 1982 (31 U.S.C. 3711(d)(4)).</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on printouts, invoices, microfiche, and posting documents.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by payroll number, social security number, badge number, name, or invoice number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. Files are kept in secured facilities.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Accounting Services, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name and employing organization. Provisions of the social security number is not required, but may expedite TVA's response and may prevent the erroneous retrieval of records for another individual with the same name.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who seek access to information about them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>

            <P>Individuals desiring to contest or amend information about them maintained in the system should direct their request to the system manager named above.<PRTPAGE P="1868"/>
            </P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individuals to whom the record pertains; TVA payroll records; TVA disbursement voucher records.</P>
            <HD SOURCE="HD1">TVA-8</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Employee Alleged Misconduct Investigatory Files—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Office of the General Counsel, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees or former employees about whom a complaint of misconduct during employment has been made.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Information regarding conduct during employment with TVA which may be in violation of law or regulations compiled prior to 1986. Information compiled after 1986 is maintained under TVA-31, “OIG Investigative Records.” TVA-8 will be phased out when the records are destroyed in accordance with established retention schedules.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Executive Order 10450; Executive Order 11222; Hatch Political Activity Act, 5 U.S.C. 7324-7327; 28 U.S.C. 535.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local charged with the responsibility of investigating and prosecuting such violation or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decisions on that matter.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA, grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information and to request information from private individuals if necessary, to obtain information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>To provide information as requested to the Office of Personnel Management pursuant to Executive Orders 10450 and 10577 and other laws.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed and retrieved by individual name or investigation number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>These records are stored in a locked GSA-approved security container. Access to the records is limited to TVA attorneys and their administrative assistants who have a need for them in the course of TVA business and to other TVA employees whose need is approved by Office of the General Counsel management.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>General Counsel, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempted from subsections (c)(3); (d); (e)(1); (4)(G), (4)(H), (4)(I); and (f) of 5 U.S.C. 552a (Section 3 of the Privacy Act of 1974) pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-9</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Health Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>TVA HR Health &amp; Safety, Chattanooga, TN 37402-2801; all TVA medical facilities; Computer Operations, TVA, Chattanooga, TN 37402-2801; National Personnel Records Center, St. Louis, MO 63118; District Offices, Office of Workers' Compensation Programs.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>

            <P>Applicants for TVA employment, employees, former employees, official visitors, contractual assignees to TVA, interns, externs, employees of TVA contractors, and other Federal agencies who are examined under contract.<PRTPAGE P="1869"/>
            </P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Health information pertinent to an individual's employment, official visit, or contractual work with TVA or other Federal agencies, including the basic Clinical Medical Record, Worker's Compensation and Rehabilitation claims and case files, Psychological and Fitness for Duty files including alcohol and drug testing information, clinical information received from outside sources, and information relative to an employee's claim for medical disability retirement. Health information includes paper documents, x-rays, microfiche, microfilm, and/or any automatic data processing media, regardless of the form or process by which it is maintained.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; 5 U.S.C. 7902; Federal Employees' Compensation Act, 5 U.S.C. chapter 81, 5 U.S.C. chapter 87 (Medical information relating to life insurance program); 5 U.S.C. 3301; Occupational Safety and Health Act of 1970, Public Law 93-237, 87 Stat. 1024, Public Law 91-616, Federal Civilian Employee Alcoholism Program and Public Law 92-255, Drug Abuse Among Federal Civilian Employees, which are amended in regard to confidentiality of records by Public Law 93-282; Public health laws (State and Federal) related to the reporting of health hazards, communicable diseases or other epidemiological information; Energy Reorganization Act of 1974, Public Law 93-438, 88 Stat. 1233; 49 CFR part 382 subpart D.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>Compensation claim records are used for adjudicating claims and providing therapy. Appropriate information is exchanged with physicians, hospitals, and rehabilitation agencies approved by the Office of Workers' Compensation Programs for service to injured employees.</P>
            <P>Alcohol and drug testing and psychological fitness for duty records may be exchanged with a physician or treatment center working with an employee, or in accordance with the provisions of Public Law 93-282.</P>
            <P>Information in the Health Records System provided to officials of other Federal agencies responsible for other Federal benefit programs administered by Office of Workers' Compensation Programs. Retired Military Pay Centers, Veterans' Administration, Social Security Administration, and private contractors engaged in providing benefits under Federal contracts.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, the issuance of a security clearance, the reporting of an investigation of an employee, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.</P>
            <P>To respond to a request from a Member of Congress regarding an employee.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority or a court of competent jurisdiction.</P>
            <P>To transfer information regarding claims for health insurance or disability benefits to the health insurance carrier or plan participant.</P>
            <P>To request information from a Government agency or private individual, if necessary, to obtain information relevant to a TVA decision within the purposes of this system of records.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To TVA consultants, contractors, and subcontractors who are engaged in studies and evaluation of TVA's administration of its medical and employee benefits program or who are providing support sources to the program.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To provide information to private physicians and other health care professionals or facilities designated by an employee.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Health information includes paper documents, x-rays, microfiche, microfilm, and/or any automatic data processing media, regardless of the form or process by which it is maintained.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name, social security number, date of birth, and/or case number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those persons whose official duties require such access. All filing systems are locked when unattended.</P>
            <P>Remote access facilities are secured through physical and system-based safeguards. Special instructions governing the medical staff employees assure the confidentiality of health records.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>

            <P>Records are maintained in accordance with TVA rules and regulations approved by the Archivist of the United States. Retention schedules specify the length of time various records are kept. Active clinical medical records are kept indefinitely. Specific retention schedules for various components of the records systems are contained in the Comprehensive Records Schedule (CRS) which has been approved by the National Archives and Records Administration (NARA) for use by Health Services. These dispositions are mandatory unless TVA requests a revision from NARA. Items in this CRS<PRTPAGE P="1870"/>should be cited as the disposition authority for transferring or destroying any records.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Manager, Occupational Health &amp; Nursing Services, Chattanooga, TN 37402-2801. Inquiries and requests for psychological fitness for duty and alcohol &amp; drug testing records should be sent to Manager, Non-Nuclear Fitness for Duty, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals should address inquiries to the system manager named above. Individuals should provide their full name, Employee Identification Number (EIN) or social security number, date of birth, employing organization, and date of last employment, and employee compensation case number, if any.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who desire access to information about them in this system of records should contact or address their inquiries to the system manager named above. Inquiries should be specific as to which component of the health records system is to be accessed. If inquiries are not specific to a particular component of the health records, it will be assumed the access is directed toward the individual's clinical medical record.</P>
            <HD SOURCE="HD2">CONTESTING RECORDS PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual to whom the record pertains; TVA medical staff; private physicians and medical institutions; Office of Workers' Compensation Programs; TVA personnel records; other health agencies and departments.</P>
            <HD SOURCE="HD1">TVA-11</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Payroll Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Financial Services, TVA, Knoxville, TN 37902-1499; garnishment files are located at the Office of the General Counsel, TVA, Knoxville, TN 37902-1499; duplicate copies of some records may also be maintained in the files of the employing organization; National Personnel Records Center, St. Louis, MO 63118.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>All employees and personal service contractors selected for certain training programs and applicants for employment.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Personal identifying information, pay, leave, and debt claim information.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Internal Revenue Code; Fair Labor Standards Act, 29 U.S.C. Chapter 8; 5 U.S.C. Chapter 63.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To report earnings and other required information to Federal, State, and local taxing authorities as required by law.</P>
            <P>To report earnings to the Civil Service Retirement System for members of that system.</P>
            <P>To transmit payroll deduction information to financial institutions and employee organizations.</P>
            <P>To report earnings to courts when garnishments are served or in bankruptcy or wage earner proceedings.</P>
            <P>To report earnings to the Department of Housing and Urban Development, State welfare agencies, and State employment security offices where an individual has made a claim for benefit with such agency.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To provide information or disclose to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>To disclose to any agency of the Federal Government having oversight or review authority with regard to TVA activities.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To transfer information necessary to support a claim for life insurance benefits under Federal Employee's Group Life Insurance to Office of Federal Employee's Group Life Insurance.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information; and to request information from private individuals, if necessary, to obtain information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>To transfer information regarding claims for health insurance benefits to health insurance carriers.</P>
            <P>To TVA contractors and subcontractors engaged in studies and evaluations of TVA payroll and personnel management.</P>
            <P>To union representatives exercising their responsibilities under TVA collective bargaining agreements.</P>
            <P>To report earnings to the Department of Housing and Urban Development, and State welfare agencies where an individual makes a claim for benefits, and to report earnings to State employment security offices in both manual and automated form for use by these offices in determining unemployment benefits.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services Federal Parent Locator System (FPLS) and Federal Tax Offset System for use in locating individuals and identifying their income sources to establish paternity, establish and modify orders of support, and for enforcement action.</P>

            <P>To the Office of Child Support Enforcement for release to the Social Security Administration for verifying social security numbers in connection<PRTPAGE P="1871"/>with the operation of the FPLS by the Office of Child Support Enforcement.</P>
            <P>To the Office of Child Support Enforcement for release to the Department of the Treasury for purposes of administering the Earned Income Tax Credit Program (Section 32, Internal Revenue Code of 1986) and verifying a claim with respect to employment in a tax return.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">DISCLOSURE TO CONSUMER REPORTING AGENCIES:</HD>
            <P>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Debt Collection Act of 1982 (31 U.S.C. 3711(d)(4)).</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices, hard-copy printouts, and in an optical scanned electronic file.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are primarily indexed by name. They may also be retrieved by reference to employing organization, date of end of pay period, social security or badge number, year of birth, or job title.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. Filing systems are locked when unattended. Remote access facilities are secured through physical and system-based safeguards.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Accounting Services, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to learn if information on them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name, employing organization, and date of last employment. The social security number is also required to expedite TVA's response and prevent the erroneous retrieval of records for another individual with the same name.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking access to information on them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals seeking to contest or amend information on them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains; TVA personnel records; employee's supervisor for report of hours worked.</P>
            <HD SOURCE="HD1">TVA-12</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Travel History Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Financial Services, TVA, Knoxville, TN 37902-1499. Duplicate copies of certain records may also be maintained in the files of the employing organization.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Current and former TVA employees who traveled on official business and filed travel expense vouchers, applied for a travel advance, or transferred between official stations; recently-hired employees who filed for reimbursement of relocation expenses; candidates for TVA positions who filed for reimbursement of travel expenses; and contractors with which there is an employer/employee relationship (i.e., personal services contractors).</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Travel advance requests, travel expense vouchers and supporting documentation, travel charge card program records and reports, and travel orders. Records supporting relocation expense claims also include real estate sales agreements and settlements, Federal Truth-In Lending disclosure statements, lease agreements, receipts for loss of rental deposit, and relocation income tax allowance documents.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; 5 U.S.C. 5701-5709, and related Federal travel regulations.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation or charged with enforcing or implementing the statute, rule regulation, or order issued pursuant thereto.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To respond to a request from a Member of Congress regarding the status of an employee, former employee, or applicant.</P>
            <P>To TVA contractors and subcontractors engaged at TVA's direction who are providing support services to TVA's travel charge card program.</P>

            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA or another agency or entity) that rely upon the compromised information; and (3) the<PRTPAGE P="1872"/>disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">DISCLOSURE TO CONSUMER REPORTING AGENCIES:</HD>
            <P>Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made from this system to “consumer reporting agencies” as defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Debt Collection Act of 1982 (31 U.S.C. 3711(d)(4)).</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on magnetic media, hard-copy printouts, microfiche, and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name and social security number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. Security will be provided by physical, administrative, and computer system safeguards. Files are kept in secured facilities not accessible to unauthorized individuals.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Accounting Services, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name and social security number.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who seek access to information about them in this system of records should contact the system manager named above. Requests should include the individual's full name and social security number.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above. Requests should include the individual's full name and social security number.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains; TVA disbursement voucher records; TVA application for travel advance; travel charge card program records and reports.</P>
            <HD SOURCE="HD1">TVA-13</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Employment Applicant Files—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Human Resources, Shared Services &amp; Employee Relations, TVA, Knoxville, TN 37902-1499; area and project employment offices; Information Technology, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Applicants for employment including former employees seeking reemployment.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Application forms and related correspondence.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; 5 U.S.C. 3101.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To respond to a request from a Member of Congress regarding the status of an individual's application.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To request from any pertinent source, directly or through a TVA contractor engaged at TVA's direction, information relevant to a TVA decision concerning the hiring of an employee, the issuance of a security clearance, or other decision within the purposes of this system or records.</P>
            <P>To disclose test results to State employment services.</P>
            <P>To provide information as requested to the Office of Personnel Management pursuant to Executive Orders 10450 and 10577 and other laws.</P>
            <P>To provide information to a Federal agency in response to its request in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>

            <P>Information is stored electronically in the Human Resources Information System (HRIS), Personnel Records Information System (PRIS), or on microfiche. Duplicate or certain specified temporary information may be maintained by human resource officers, supervisors, and administrative officers in a locked, secure location.<PRTPAGE P="1873"/>
            </P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name and Employee Identification number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those persons whose official duties require such access. Access to systems storing these records must be approved by the Senior Manager of Employee Relations Support Services. All filing systems are locked when unattended. Remote access facilities are secured through physical and system-based safeguards.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Employee Relations Support Services, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to learn if information on them is maintained in this system of records should address inquiries to the Senior Manager, Employee Relations Support Services, TVA, Knoxville, TN 37902-1499. Requests should include the individual's full name, social security number, date of birth, and approximate date of application.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals wishing to gain access to information on them in this system of records should contact the Senior Manager, Employee Relations Support Services, TVA, Knoxville, TN 37902-1499. Access will not be granted to investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment.</P>
            <P>Access will not be granted to Federal contracts, or access to classified information, 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence.</P>
            <P>Access will not be granted to testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal Service the disclosure of which would compromise the objectivity or fairness of the testing or examination process.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to Manager, TVA Service Center, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual on whom the record is maintained; educational institutions, employers, and other references; State employment services.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (d); (e)(4)(H); and (f)(2), (3), and (4) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) to the extent that disclosure of 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence and to the extent that disclosure of testing or examination material would compromise the objectivity or fairness of the testing or examination process. This exemption is pursuant to 5 U.S.C. 552a(k) (5) and (6) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-14</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Grievance Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Labor Relations Staff, TVA, Knoxville, TN 37902-1499. Original correspondence on the initial grievance steps below the Labor Relations level is maintained in the organization in which the grievance originated. Original correspondence on grievance appeals to the corporate level are maintained in the files of the Labor Relations office.</P>
            <P>Duplicate copies of such correspondence are also maintained in the files of the organization concerned with the grievance.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>TVA employees and former employees who have formally appealed to TVA for adjustment of their grievances.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Evidence and arguments relevant to the matter giving rise to the grievance and related correspondence.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To respond to a request from a Member of Congress regarding the status of an employee's grievance.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To request information from a Federal, State, or local agency, or private individual, if necessary, to obtain information relevant to a TVA decision within the purposes of this system of records.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulations, or order issued pursuant thereto.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>

            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.<PRTPAGE P="1874"/>
            </P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices in some organizations and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name or by craft.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those persons whose official duties require such access.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA record retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Vice President, Labor Relations, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals who have filed grievances are aware of that fact. Inquiries may, however, be addressed to the system manager named above. Requests should include the individual's full name, craft, and location of employment.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who have filed a grievance may gain access to the official copy of the grievance record by contacting the system manager named above. Requests should include the grievant's full name, craft, and location of employment.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>The contest, amendment, or correction of a grievance record is permitted during the prosecution of that grievance. However, an individual may address requests for amendment or correction of items not involved in prosecution of the grievance to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains; TVA personnel records; statements and testimony of witnesses and related correspondence.</P>
            <HD SOURCE="HD1">TVA-18</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Employee Supplementary Vacancy Announcement Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Human Resources, Knoxville and Chattanooga, Tennessee, and Muscle Shoals, Alabama; may also be maintained in other offices that issue or receive responses to supplementary vacancy announcements.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees applying for placement in positions covered by the supplementary vacancy announcement procedure.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Applications and supporting material submitted by employee.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Executive Order 11478; Equal Employment Opportunity Act of 1972, Public Law 92-261, 86 Stat. 103; 5 U.S.C. 3101.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES AND USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Information is stored electronically in the Human Resources Information System (HRIS), Personal Records Information System (PRIS), or on microfiche. Duplicate or certain specified temporary information may be maintained by human resources officers, supervisors, and administrative offices in a locked, secured location.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records is limited to persons whose official duties require such access. Access to systems storing these records must be approved by the Senior Manager of Employee Relations Support Services.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Employee Relations Support Services, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals upon whom records are maintained in this system are aware of that fact through filing an application. However, inquiries may be addressed to the name and address to which application was submitted. Requests should include the individual's full name, position applied for, and location of job.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals upon whom records are maintained in this system have supplied all information in this system. However, requests for access may be addressed to the name and address to which application was submitted.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the name and address to which application was submitted.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual upon whom the record is maintained.</P>
            <HD SOURCE="HD1">TVA-19</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Consultant and Contractor Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>

            <P>Human Resource Information System (HRIS) contains personal, employment, job, security restriction and training information. HRIS is located in Employee Relations Support Services, TVA, Knoxville, TN 37902-1499. The Contractor Workforce Management<PRTPAGE P="1875"/>Software (Elance) for contractor time and expense reporting records are located at TVA Supply Chain, Chattanooga, TN 37402.</P>
            <P>For contractors requiring unescorted access, records are located at TVA Nuclear Access Service, Chattanooga, TN 37402.</P>
            <P>TVA business organizations for records on individuals who provide services under a TVA contract with an organization are kept in the files of that organization.</P>
            <P>Payment records are located at the TVA Controller office: Knoxville, TN 37902-1499.</P>
            <P>Records related to personal service contractors employed under the Comprehensive Employment and Training Act of 1973, Public Law 93-203, are located at the National Personnel Records Center, St. Louis, MO 63118.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Individuals who perform work for and/or provide services to TVA and who are not TVA employees or volunteers. These individuals generally are the employees of a TVA supplier of services and are obtained through a contract with the supplier, but in some cases may be retained directly through a contract between TVA and the individual.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Each organization maintains its contracts, records of the qualifications, performance, and evaluation of the contractor, and related correspondence. For public service employment program participants, Human Resources maintains information related to job placement such as test scores, interest inventories, and supervisor's evaluations. Payment information is maintained by the Controller.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Comprehensive Employment and Training Act, Public Law 93-203, 87 Stat. 839; Executive Order 11222; Executive Order 10450; Executive Order 10577; provisions of 5 U.S.C. applicable to employment with TVA; Internal Revenue Code.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To transmit reports as requested to the Office of Personnel Management, pursuant to 5 U.S.C. 3323, Executive Orders 10577 and 10450, and other laws.</P>
            <P>To report earnings information to the Internal Revenue Service and the Social Security Administration.</P>
            <P>To respond to a request from a Member of Congress regarding the status of a contractor or consultant.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulations, or order issued pursuant thereto.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information; and to request information from private individuals if necessary to obtain information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>To transmit to the appropriate State contracting agency reports of hours worked by participants in the public service employment program, and to request reimbursement.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>To provide the following information to a prospective employer of a TVA or former TVA consultant or personal service contractor: Job descriptions, dates of employment, and reason for separation.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interest, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities and persons is reasonably necessary to assist in connection with TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained in file folders and on automated data storage devices.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name, social security number, or contract number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. All filing systems are locked when unattended.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA record retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Knowledge and Analytics, Supply Chain, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know if records on them are maintained in the system should address inquiries to the system manager named above. Requests shall include the individual's full name, employing or contracting organization, and whether the individual was a participant in the public service employment program. Social security numbers are not required but may expedite TVA's response.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>

            <P>Individuals wishing to gain access to information on them in this system of<PRTPAGE P="1876"/>records should contact the system manager named above. Access will not be granted to investigatory material compiled solely for the purpose of determining suitability, eligibility, or qualifications for Federal civilian employment, Federal contracts, or access to classified information, 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence. Access will not be granted to testing or examination material used solely to determine individual qualifications for appointment or promotion in the Federal Service, the disclosure of which would compromise the objectivity or fairness of the testing or examination process.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains; educational institutions, former employers, and other reference sources; State employment services; supervisors and other TVA personnel or personnel records; medical officers; other Federal agencies.</P>
            <P>In addition to the above sources, security/suitability investigatory files contain information from law enforcement agencies.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (d); (e)(4)(H); (f)(2), (3), and (4) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) to the extent that disclosure of 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence, and to the extent that disclosure of testing or examination material would compromise the objectivity of fairness of the testing or examination process. This exemption is pursuant to 5 U.S.C. 552a(k)(5) and (6) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-21</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Nuclear Quality Assurance Personnel Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Nuclear<E T="03">Quality</E>Assurance, TVA, Chattanooga, TN 37402-2801. Copies of records for Quality Assurance Auditors/Assessors are maintained in the office of Manager, Nuclear Assurance Corporate.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees or former employees involved in quality assurance work.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Information related to the qualifications of employees.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Energy Reorganization Act of 1974, Public Law 93-438, 88 Stat. 1233 as implemented at Nuclear Regulatory Commission Regulatory Guides 1.58.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To the Nuclear Regulatory Commission or its authorized representatives for inspection or evaluation of TVA Quality Assurance procedures.</P>
            <P>To respond to a request from a Member of Congress regarding the status of an employee.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information; and to request information from private individuals if necessary to obtain information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained in file folders and electronic files.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those persons whose official duties require such access. All filing systems are locked when unattended.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>

            <P>Records are maintained in accordance with established TVA records retention schedules.<PRTPAGE P="1877"/>
            </P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>General Manager, Nuclear Quality Assurance, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the system manager named above. Inquiries should include the individual's full name and employing organization.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURE:</HD>
            <P>Individuals who desire access to information about them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual on whom the record is maintained; TVA personnel records.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system of records is exempt from subsection (d); (e)(4)(H); (f)(2), (3), and (4) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) to the extent that disclosure of 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 September 27, 1975, under an implied promise that the identity of the source would be held in confidence. The exemption is pursuant to 5 U.S.C. 552a(k)(5) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-22</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Questionnaire-Land Use Surveys in Vicinity of Proposed or Licensed Nuclear Power Plant—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Environmental Radiological Monitoring and Instrumentation, WARL Facility, TVA, Muscle Shoals, AL 35662-1010.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Individuals living at the nearest residence in each of sixteen compass sections and individuals having vegetable gardens, irrigated land, dairy cows, and milk goats within a five-mile radius of a proposed or licensed nuclear plant site.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Personal identifying information and information related to agriculture, milk consumption, water resources, and farm product value. This information is not used for making determinations about the rights, benefits, or privileges of any individual.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; National Environmental Policy Act, Public Law 91-190, 83 Stat. 852; Energy Reorganization Act of 1974, Public Law 93-438, 88 Stat. 1233.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>Information in this system of records is used in developing environmental evaluations and impact statements. Certain relevant but nonsensitive information may be disclosed in these statements.</P>
            <P>Information may also be used:</P>
            <P>In administrative and licensing proceedings including the presentation of evidence and disclosure to opposing counsel in the course of discovery.</P>
            <P>To disclose to any agency of the Federal Government having oversight or review authority with regards to TVA activities.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices, microfilm, microfiche, and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by assigned number and aerial photo number and/or name of survey participant, plant site and year of survey.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. Security is provided by physical, administrative and computer system safeguards. Files are kept in secured facilities not accessible to unauthorized individuals or are locked when unattended.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Manager, Environmental Radiological Monitoring and Instrumentation, TVA, Muscle Shoals, AL 35662-1010.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals on whom information is maintained in this system are aware of that fact through response to the questionnaire. However, inquiries may be addressed to the system manager named above. Requests should include the individual's full name, address, and approximate date of survey.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who desire access to information about them in this system of records should contact the system manager named above. Requests should include the individual's full name, address, and approximate date of survey.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>

            <P>Individuals to whom the record pertains: The nearest resident, to a distance of 5 miles, in each of the 16 compass sectors around each TVA nuclear site; farms with dairy cows or milk goats within a five mile radius of each site and additional dairy farms used as control locations for environmental monitoring; and<PRTPAGE P="1878"/>individuals within a five mile radius of each site with home gardens meeting the survey criteria.</P>
            <HD SOURCE="HD1">TVA-23</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Radiation Dosimetry Personnel Monitoring Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Nuclear Operations Support, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Employees, former employees, and visitors who might be exposed or are exposed to radiation while in TVA installations.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS COVERED BY THE SYSTEM:</HD>
            <P>Information on the magnitude of exposure at TVA installations, exposure prior to employment.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Energy Reorganization Act of 1974, Public Law 93-438, 88 Stat. 1233; 10 CFR parts 19, 20.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To the Nuclear Regulatory Commission for its use in evaluating TVA radiological control measures.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>Radiation dosimetry records may be used for employee population health monitoring which includes routine clinical and epidemiological investigations. Such studies may require the transfer of selected items of radiation dosimetry data to health-related agencies, organizations, or professionals for the purpose of compiling vital health statistics, or conducting biomedical investigations.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices, microfilm, microfiche, and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by individual name and social security number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to persons whose official duties require such access. Security is provided by physical, administrative and computer system safeguards. Files are kept in secured facilities not accessible to unauthorized individuals or are locked when unattended.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Radiation Protection Oversight, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals should address inquiries to the system manager named above, or if a current employee, to the Radiological Control office at the TVA facility where employed. Requests should include the individual's full name, social security number and date of birth.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who desire access to information about them in this system of records should contact the system manager named above, or if a current employee, to the Radiological Control office at the TVA facility where employed. Requests should include the individual's full name, social security number and date of birth.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Information in this system of records comes from the subject individual; previous licensees where the individual was monitored for radiation exposure; and TVA personnel conducting radiation monitoring programs.</P>
            <HD SOURCE="HD1">TVA-26</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Retirement System Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Retirement Management, TVA, 400 W. Summit Hill Drive, Knoxville, TN</P>
            <P>37902-1499.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Active, retired, and former members of the TVA Retirement System; TVA employees and former employees who are members of the Civil Service Retirement System and the Federal Employees Retirement System; designated beneficiaries.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Personal identifying information; retirement, benefit, and investment information; related correspondence; and legal documents.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Internal Revenue Code.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To report earnings to the Internal Revenue Service.</P>
            <P>To disclose information to actuarial firms for valuation and projecting benefits.</P>
            <P>To disclose information to the Medical Board of the TVA Retirement System for determinations related to disability retirement.</P>

            <P>To certify insurance status to the Office of Personnel Management and the Office of Federal Employees' Group Life Insurance.<PRTPAGE P="1879"/>
            </P>
            <P>To respond to a request from a Member of Congress regarding the status of a system member.</P>
            <P>To disclose information to auditing firms for use in auditing benefit calculations and financial statements.</P>
            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant enforcement information or other pertinent information; and to request information from private individuals, if necessary, to obtain information relevant to a TVA decision within the purpose of this system of records.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility of investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the issuance of any benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To provide the following information on retirees to the TVA Retirees Association: Names, unique identification numbers assigned by the TVA Retirement System to each retiree, addresses, dates of birth, dates of termination of employment with TVA, retirement class (member, beneficiary, Civil Service, deferred), last official station, and dates of death (if applicable).</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To Contractors and subcontractors of TVA or the Retirement System who are provided records maintenance or other similar support service to the Retirement System.</P>
            <P>Retirement records may be used for employee population health monitoring which includes routine clinical and epidemiological investigations. Such studies may require the transfer of selected items to health-related agencies, organizations, or professionals for the purpose of compiling vital health statistics, or conducting biomedical investigations.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained in an electronic document management system.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name and social security number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to the electronic document management system requires a password and is limited to those persons whose official duties require such access.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Director, Retirement Management, TVA, 400 W. Summit Hill Drive, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the system manager named above. Inquiries should include the individual's full name, date of birth, and social security number.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals who desire access to information about them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information maintained on them in this system should address inquiries to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The individual on whom the record is maintained; TVA personnel and payroll records.</P>
            <HD SOURCE="HD1">TVA-29</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Energy Program Participant Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Commercial Operations &amp; Pricing, P.O. Box 292409, Nashville, TN 37229-2409.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Individuals participating in the energy right program and residential saturation surveys.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Customer name, address, account number, meter number, telephone number, characteristics of their dwelling, including type of heating and cooling systems and number and kind of appliances; and other characteristics of study participants relevant to patterns of residential electrical use.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To power distributors participating in the program.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>

            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies,<PRTPAGE P="1880"/>entities and persons is reasonably necessary to assist in connection with TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained in automated data storage devices and in file folders and locked file cabinets.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed and retrieved by contractor name and invoice date.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records is limited to those persons whose official duties require such access. All filing systems are locked when unattended.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>General Manager, Energy Efficiency Program Design, Commercial Operations &amp; Pricing, TVA, P.O. Box 292409, Nashville, TN 37229-2409.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals about whom information is maintained in this system of records are aware of that fact through participation in the program. However, inquiries may be addressed to the system manager named above. Request should include the individual's full name and address.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Requests for access may be directed to the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORDS SOURCE CATEGORIES:</HD>
            <P>The information in this system is solicited from the individual to whom the record pertains.</P>
            <HD SOURCE="HD1">TVA-31</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>OIG Investigative Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Office of the Inspector General, TVA, Knoxville, TN 37902-1499. Duplicate copies of certain documents may also be located in the files of other offices and divisions.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Individuals and entities who are or have been the subjects of investigations by the Office of the Inspector General (OIG), or who provide information in connection with such investigations, including but not limited to: Employees; former employees; current or former contractors and subcontractors and their employees; consultants; and other individuals and entities which have or are seeking to obtain business or other relations with TVA.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Information relating to investigations, including information provided by known or anonymous complainants; information provided by the subjects of investigations; information provided by individuals or entities with whom the subjects are associated (e.g., coworkers, business associates, relatives); information provided by Federal, State, or local investigatory, law enforcement, or other Government or non-Government agencies; information provided by witnesses and confidential sources; information from public source materials; information from commercial data bases or information resources; investigative notes; summaries of telephone calls; correspondence; investigative reports or prosecutive referrals; and information about referrals for criminal prosecutions, civil proceedings, and administrative actions taken with respect to the subjects.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Executive Order 10450; Executive Order 11222; Hatch Act, 5 U.S.C. 7324-7327; 28 U.S.C. 535; Proposed Plan for the Creation, Structure, Authority, and Function of the Office of Inspector General, Tennessee Valley Authority, approved by the TVA Board of Directors on October 18, 1985; TVA Code XIII INSPECTOR GENERAL, approved by the TVA Board of Directors on February 19, 1987; Inspector General Act Amendments of 1988, Public Law 100-504, 102 Stat. 2515, and 2000 amendments to the Inspector General Act, Public Law 106-422, 114 Stat. 1872.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To refer, where there is an indication of a violation of statute, regulation, order, or similar requirement, whether criminal, civil, or regulatory in nature, to the appropriate entity, including Federal, State, or local agencies or other entities charged with enforcement, investigative, or oversight responsibility.</P>
            <P>To provide information to a Federal, State, or local entity (1) in connection with the hiring or retention of an individual, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting entity to the extent that the information is relevant to a decision on such matters, or (2) in connection with any other matter properly within the jurisdiction of such other entity and related to its prosecutive, investigatory, regulatory, administrative, or other responsibilities.</P>
            <P>To the appropriate entity, whether Federal, State, or local, in connection with its oversight or review responsibilities or authorized law enforcement activities.</P>
            <P>To respond to a request from a Member of Congress regarding an individual, or to report to a Member on the results of investigations, audits, or other activities of OIG.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To the subjects of an investigation and their representatives in the course of a TVA investigation of misconduct; to any other person or entity that has or may have information relevant to the investigation to the extent necessary to assist in the conduct of the investigation, such as to request information.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To a consultant, private firm, or individual who contracts or subcontracts with TVA, to the extent necessary to the performance of the contract.</P>

            <P>To request information from a Federal, State, or local agency maintaining civil, criminal, or other relevant or potentially relevant information; and to request information from private individuals or entities, if necessary, to acquire information pertinent to the hiring, retention, or promotion of an employee; the issuance<PRTPAGE P="1881"/>of a security clearance; the conduct of a background or other investigation; or other matter within the purposes of this system of records.</P>
            <P>To the public when: (1) The matter under investigation has become public knowledge, or (2) when the Inspector General determines that such disclosure is necessary (a) to preserve confidence in the integrity of the OIG investigative process, or (b) to demonstrate the accountability of TVA officers, or employees, or other individuals covered by this system; unless the Inspector General determines that disclosure of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</P>
            <P>To the news media and public when there exists a legitimate public interest (e.g., to provide information on events in the criminal process, such as indictments), or when necessary for protection from imminent threat to life or property.</P>
            <P>To members of the Council of the Inspectors General on Integrity and Efficiency, for the preparation of reports to the President and Congress on the activities of the Inspectors General.</P>
            <P>To members of the Council of the Inspectors General on Integrity and Efficiency, the Department of Justice, the Federal Bureau of Investigation, or the U.S. Marshals Service, as necessary, for the purpose of conducting qualitative assessment reviews of the investigative operations of TVA OIG to ensure that adequate internal safeguards and management procedures are maintained.</P>
            <P>To appropriate agencies, entities, and persons when (a) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (b) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interest, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA or another agency or entity) that rely upon the compromised information; and (c) The disclosure made to such agencies, entities and persons is reasonably necessary to assist in connection with TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices, hard-copy printouts, and in file folders.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed and retrieved by individual name or case file number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of records is limited to authorized staff in OIG and to other authorized officials and employees of TVA on a need-to-know basis as determined by OIG management. Security will be provided by physical, administrative, and computer system safeguards. Files will be kept in secured facilities not accessible to unauthorized individuals.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Inspector General, TVA, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24. This system is exempt from subsections (c)(3), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H), and (I), (e)(5), (e)(8), and (g) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) pursuant to 5 U.S.C. 552a(j)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-32</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Call Detail Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Data Center, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>TVA employees, contractor personnel, and other individuals who make telephone calls from or charge telephone calls to TVA telephones.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Records relating to use of TVA telephones; records relating to long distance telephone calls charged to TVA; records relating to cellular telephone calls charged to TVA; records indicating assignment of telephone numbers and authorization numbers; records relating to locations of TVA telephones.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To respond to a request from a Member of Congress regarding an individual.</P>
            <P>To provide to the appropriate entity, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To refer, where there is an indication of a violation of statute, regulation, order, or similar requirement, whether criminal, civil, or regulatory in nature, to the appropriate entity, including Federal, State, or local agencies, or other entities charged with enforcement, investigative, or oversight responsibility.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an individual, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant to the requesting agency's decision on that matter.</P>

            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment<PRTPAGE P="1882"/>procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To a telecommunications company as well as to other TVA contractors providing telecommunications support to permit servicing the account.</P>
            <P>To TVA contractors engaged at TVA's direction in investigations of abuse of TVA telephone service or other related issues.</P>
            <P>To TVA contractors and contractor personnel to determine individual responsibility for telephone calls.</P>
            <P>To TVA contractors in connection with amounts due TVA for telecommunications services provided to them.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained in file folders and on automated data storage devices.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are retrieved by name, authorization number, or telephone number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records is limited to persons whose official duties require such access. Files are kept in secured facilities. Automated data is secured through physical and system-based safeguards.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Manager, IT Vendor Management, TVA, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to learn if information on them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name, employing division, job title, and official TVA telephone number and authorization number.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking to gain access to information about them in this system of records should contact the system manager named above. Requests should include the individual's full name, employing division, job title, and official TVA telephone number and authorization number.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>TVA Telecommunication Control System; telecommunications companies with which TVA contracts for telephone service; telephone and authorization number assignment records; results of administrative inquiries relating to assignment of responsibility for placement of specific long distance calls.</P>
            <HD SOURCE="HD1">TVA-34</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Project/Tract Files—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Realty Services, TVA, Chattanooga, TN 37402-2801, and secured off-site storage facility.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>Individuals or business entities from/to whom TVA is in the process of or has (1) acquired, transferred, or sold land or landrights, (2) made payment for construction, maintenance, or other damage to real property, or (3) made payment for relocation assistance. A project/tract file may name more than one individual and/or business entity involved in a transaction. (The system records that pertain to individuals and reflect personal information are subject to the Privacy Act. Noncovered records include public information and records on corporations and other business entities.)</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Maps, property descriptions, appraisal reports, and title documents on real property; reports on contracts and transaction progress; contracts and options; records of investigations, claims, and/or payments related to land transactions, damage restitution, and relocation assistance; related correspondence and reports.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; Public Law 87-852, 76 Stat. 1129; Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To respond to a request from a Member of Congress regarding an individual.</P>
            <P>To lienholders as necessary to secure subordinations or releases of liens or to protect lienholders rights.</P>
            <P>To county clerk and register of deeds offices to document and put on record the title acquired by TVA.</P>
            <P>To landowners, prospective landowners, claimants, or trespassers to establish or cure titles, to resolve encroachments, to resolve boundary disputes, or to resolve questions about easement rights or the application of Section 26a of the TVA Act 16 U.S.C. 831y-1.</P>
            <P>To contractors to secure appraisals and title abstracts.</P>
            <P>To request information from a Federal, State, or local agency or from private individuals, as necessary, to obtain information relevant to a TVA decision to acquire or dispose of property or to pay claims or make payments related to land transactions, damage restitution, and relocation assistance.</P>
            <P>To refer, where there is an indication of a violation of statute, regulation, order, or similar requirement, whether criminal, civil, or regulatory in nature, to the appropriate entity, including Federal, State, or local agencies, or other entities charged with enforcement, investigative, or oversight responsibility.</P>
            <P>To provide information to a Federal agency, in response to its request, in connection with the hiring or retention of an individual, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant to the requesting agency's decision on that matter.</P>

            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any<PRTPAGE P="1883"/>purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To provide to the appropriate entity, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To report any required information to Federal, State, and local taxing authorities as required by law.</P>
            <P>To genealogical researchers, relevant portions of maps, descriptions, appraisals, and title documents on real property, after 20 years, to establish historical records.</P>
            <P>To archaeological researchers, relevant portions of maps, descriptions, appraisals, and title documents on real property, after 20 years, to reconstruct historical settings.</P>
            <P>To respond to a request from a Member of Congress regarding the status of a matter relating to a specific project or tract.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on registers, aperture cards, microfilm, in file folders, and/or on automated data storage devices.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are primarily indexed by tract number and project symbol. Records may also be retrieved by cross-index reference to individual and business entity names.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records is limited to persons whose official duties require such access. Files are kept in secured facilities. Remote access facilities are secured through physical and system-based safeguards.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Senior Manager, Realty Services, TVA, 1101 Market Street, SP 3L, Chattanooga, TN 37402-2801.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to know whether information about them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name and, to the extent known, any project/tract identifying information such as the project name, tract number, address, or related data.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking to gain access to information about them in this system of records should contact the system manager named above. Requests should include the individual's full name, and to the extent known, any project/tract identifying information such as project name, tract number, address, or related data. Access will be granted only to individually segregable personal information about the requester and to segregable nonpersonal information in accordance with TVA regulations on release of records relating to negotiations in progress involving contracts or agreements for the acquisition or disposal of real or personal property by TVA prior to the conclusion of such negotiations.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their requests to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Public records and directories, landowners, tenants, and other individuals and business entities (including financial institutions) having an interest in or knowledge related to land ownership, appraisal, or title history; TVA personnel and contractors including independent appraisers and commercial title companies.</P>
            <HD SOURCE="HD1">TVA-36</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Section 26a Permit Application Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>For applications involving private facilities located on TVA reservoirs, such as boathouses, piers, docks, launching ramps, marine railways, beaches, utilities, and ground improvements, the records are maintained in the following locations:</P>
            <P>Manager, Holston-Cherokee-Douglas Watershed Team, TVA, (Cherokee, Douglas, and Nolichucky Reservoirs)—3726 E. Morris Boulevard, Morristown, TN 37813-1270; (Boone, Fort Patrick Henry, Bristol Project, South Holston, Watauga, and Wilber Reservoirs)—106 Tri-Cities Business Park Drive, Gray, TN 37615.</P>
            <P>Manager, Watts Bar-Clinch Watershed Team, TVA, (Great Falls, Melton Hill, Norris, and Watts Bar Reservoirs)—260 Interchange Park Dr., Lenoir City, TN 37772-5664.</P>
            <P>Manager, Little Tennessee Watershed Team, TVA, (Fontana, Fort Loudoun, and Tellico Reservoirs)—260 Interchange Park Dr., Lenoir City, TN 37772-5664.</P>
            <P>Manager, Chickamauga-Hiwassee Watershed Team, TVA, (Chickamauga and Nickajack Reservoirs)—1101 Market St., Chattanooga, TN 37402-2801; (Apalachia, Blue Ridge, Chatuge, Hiwassee, Ocoees, and Nottely Reservoirs)—4800 US Highway 64 West, Suite 102, Murphy, NC 28906.</P>
            <P>Manager, Guntersville-Tims Ford Watershed Team, TVA, (Guntersville, Normandy, and Tims Ford Reservoirs)—3696 Alabama Highway 69, Guntersville, AL 35976-7196.</P>
            <P>Manager, Pickwick-Wheeler Watershed Team, TVA, (Bear Creek, Cedar Creek, Little Bear Creek, Project, Pickwick, Upper Bear Creek, Wheeler, and Wilson Reservoirs)—P.O. Box 1010, Muscle Shoals, AL 35662-1010.</P>
            <P>Manager, Kentucky Watershed Team, TVA, (Beech River Project, Kentucky Reservoir)—2835-A East Wood Street, Paris, TN 38242-5948.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>This system includes individuals who have filed a Section 26a application for approval of construction of such structures as boat ramps, docks, bridges, and dams located along, across, or in the Tennessee River and its tributaries. Also included in this system may be individuals whose structures do not have Section 26a permits, or whose approved structures have deteriorated so as to pose a threat to navigation, flood control, public lands or reservations.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>

            <P>Section 26a permit applications made by individuals, businesses and<PRTPAGE P="1884"/>industries, utilities, and Federal, State, county and city Government agencies.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee.</P>
            <HD SOURCE="HD2">PURPOSE(S):</HD>
            <P>Section 26a of the Tennessee Valley Authority Act of 1933, as amended, requires that TVA review and approve plans for the construction, operation, and maintenance of any dam, appurtenant works, or other obstruction affecting navigation, flood control, or public lands or reservations across, along, or in the Tennessee River or any of its tributaries. The information collected is used to assess the impact of the proposed project on the statutory TVA programs and the environment and determine if the project can be approved. Rules on the application for review and approval of such plans are published in 18 CFR part 1304, Approval of Construction in the Tennessee River System and Regulation of Structures.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To State or other Federal agencies for use in program evaluation, providing assistance to program participants, or engaged at TVA's direction in providing support services to the program, to the extent necessary to the performance of those services.</P>
            <P>To TVA consultants, contractors, subcontractors or individuals who contract or subcontract with TVA, who are engaged in studies and evaluation of TVA's administration or other matters involving its Section 26a program or who are providing support services to the program, to the extent necessary to the performance of the contract.</P>
            <P>To provide information to a Federal, State, or local entity in response to its request, in connection with the letting of a contract, or issuance of a license, grant, or other benefit by the requesting entity to the extent that the information is relevant and necessary to the requesting agency's decision on such matters.</P>
            <P>To respond to a request from a Member of Congress regarding the status of a specific application.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To refer, where there is an indication of a violation of statute, regulation, order, or similar requirement, whether criminal, civil, or regulatory in nature, to the appropriate entity, including Federal, State, or local agencies or other entities charged with enforcement, investigative, or oversight responsibility.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices, on microfilm, and in hard copy files.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records may be retrieved by personal identifier (name of applicant), land tract number, or Section 26a application number, stream location, reservoir, county, or subdivision. Records in field offices are interfiled with land tract records and are retrieved by land tract number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited through physical, administrative, and computer system safeguards to those persons whose official duties require such access.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Vice President, Land &amp; Shoreline Management, TVA, 400 West Summit Hill Drive, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals seeking to learn if information on them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name. A land tract number, Section 26a permit application number, stream location or legal property description is not required but may expedite TVA's response.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking access to information about them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Information in this system is solicited from the individual to whom the record pertains. Information may also be obtained from other Federal, State, county or city Government agencies; public records and directories; landowners, tenants, and other individuals and business entities, including financial institutions, having an interest in or knowledge related to land ownership, appraisal, or title history; and TVA personnel and contractors including independent appraisers and commercial title companies.</P>
            <HD SOURCE="HD1">TVA-37</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>U.S. TVA Police Records—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>U.S. TVA Police, TVA, 400 West Summit Hill Drive, WT-2D, Knoxville, Tennessee 37902-1499. Duplicate copies of certain documents may also be located in the field offices of the various U.S. TVA Police Districts.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>A. Individuals who relate in any manner to official U.S. TVA Police investigations into incidents or events occurring within the jurisdiction of TVA, including but not limited to suspects, victims, witnesses, close relatives, medical personnel, and associates who have relevant information to an investigation.</P>
            <P>B. Individuals who are the subject of unsolicited information or who offer unsolicited information, and law enforcement personnel who request assistance and/or make inquiries concerning records.</P>

            <P>C. Individuals including, but not limited to, current or former employees;<PRTPAGE P="1885"/>current or former contractor and subcontractor personnel; visitors and other individuals that have or are seeking to obtain business or other relations with TVA; individuals who have requested and/or have been granted access to TVA buildings or property, or secured areas within a building or property.</P>
            <P>D. Individuals who are the subject of research studies including, but not limited to, crime profiles, scholarly journals, and news media references.</P>
            <P>E. Individuals who respond to emergency situations at TVA.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Information related to case investigation reports on all forms of incidents or events, visitor and employee registers, TVA forms authorizing access for individuals into TVA buildings or secured areas within a building, and historical information on an individual's building access or denial of access; U.S. TVA Police Uniform Incident Reports (UIRs) on incidents or events; visitor and employee registers, TVA forms, or permits authorizing access for individuals into TVA buildings, property, or secured areas within buildings or property, and historical information on an individual's access or denial of access within buildings or property; the U.S. TVA Police confrontational data base; emergency personnel information data bases; permit applications under the Archaeological Resources Protection Act (ARPA); risk, security, emergency preparedness, and fire protection assessments conducted by the U.S. TVA Police on facilities, property, or officials; research studies, scholarly journal articles, textbooks, training materials, and news media references of interest to U.S. TVA Police personnel; an index of all detected trends, patterns, profiles and methods of operation of known and unknown criminals whose records are maintained in the system; an index of the names, address, and contact telephone numbers of professional individuals and organizations who are in a position to furnish assistance to the U.S. TVA Police; an index of public record sources for historical, statistical, geographic, and demographic data; and an alphabetical name index of all individuals whose records are maintained in the system.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; 5 U.S.C. 552a; and 28 U.S.C. 534.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To the appropriate official agency, whether Federal, State, or local, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature.</P>
            <P>In litigation where TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, information may be disclosed to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To provide information to a Federal, State, or local entity in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on that matter, or in connection with any other matter properly within the jurisdiction of such other agency and related to its responsibilities to prosecute, investigate, regulate, and administrate, or other responsibilities.</P>
            <P>To any Federal, State, local or foreign Government agency directly engaged in the criminal justice process where access is directly related to a law enforcement function of the recipient agency in connection with the tracking, identification, and apprehension of persons believed to be engaged in criminal activity.</P>
            <P>To an organization or individual in both the public or private sector pursuant to an appropriate legal proceeding or if deemed necessary, to elicit information or cooperation from the recipient for use by TVA in the performance of an authorized activity.</P>
            <P>To an organization or individual in the public or private sector where there is reason to believe the recipient is or could become the target of a particular criminal activity or conspiracy and to the extent the information is relevant to the protection of life or property.</P>
            <P>To the news media and general public where there exists a legitimate public interest such as obtaining public or media assistance in the tracking, identifying, and apprehending of persons believed to be engaged in repeated acts of criminal behavior; notifying the public and/or media of arrests; protecting the public from imminent threat to life or property where necessary; and disseminating information to the public and/or media to obtain cooperation with research, evaluation, and statistical programs.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in proceedings under the TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures.</P>
            <P>To appropriately respond to congressional inquiries on behalf of constituents.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interest, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are stored manually in locked file cabinets, either in hard copy or on microfilm at the U.S. TVA Police offices in Knoxville, TN. The active main files are maintained in hard copy form and some inactive records are maintained on microfilm. In addition, some of the information is stored in computerized data storage devices at the U.S. TVA Police offices in Knoxville, TN. Investigative information which is maintained in computerized form may be stored in memory, on disk storage, on computer tape, or on computer printed listings.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>On-line computer access to U.S. TVA Police files is achieved by using the following search descriptors:</P>
            <P>A. The names of individuals, their birth dates, physical descriptions, social security numbers, and other identification numbers, such as Uniform Incident Report numbers.</P>

            <P>B. As previously described, summary variables contained on Uniform Incident Reports submitted to the U.S. TVA Police.<PRTPAGE P="1886"/>
            </P>
            <P>C. Key word citations to research studies, scholarly journals, textbooks, training materials, and news media references.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Records are maintained in restricted areas and are accessed only by U.S. TVA Police employees. Security is provided by a comprehensive program of physical, administrative, personnel, and computer system safeguards. Access to and use of records is limited to authorized U.S. TVA Police personnel and to other authorized officials and employees of TVA on a need-to-know basis. Sensitive or classified information in electronic form is encrypted prior to transmission to ensure confidentiality, security, and to prevent interception and interpretation.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules. As deemed necessary, certain records may be subject to restricted examinations by 44 U.S.C. 2104.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>Vice President, TVA Police &amp; Physical Security, TVA, 400 West Summit Hill Drive, WT-2D, Knoxville, TN 37902-1499.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>This system of records is exempt from this requirement pursuant to 5 U.S.C. 552a(j)(2) and (k)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a (section 3 of the Privacy Act of 1974) pursuant to 5 U.S.C. 552a(k)(2) and TVA regulations at 18 CFR 1301.24. This system of records is exempt from subsections (c)(3); (d); (e)(1); (e)(2); (e)(3); (e)(4)(G), (H), and (I); (e)(5); (e)(8); and (g) pursuant to 5 U.S.C. 552(j)(2) and TVA regulations at 18 CFR 1301.24.</P>
            <HD SOURCE="HD1">TVA-38</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>
            <P>Wholesale, Retail, and Emergency Data System—TVA.</P>
            <HD SOURCE="HD2">SYSTEM LOCATION:</HD>
            <P>Customer Relations, Nashville, TN 37229-2409, and Customer Service Centers.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:</HD>
            <P>TVA wholesale and retail customers' key personnel and governing bodies.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Name, address, telephone number, emergency numbers, interests, key dates, associates, immediate family members, and credentials of TVA's wholesale and retail customers and their officers and other personnel.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To respond to a referral from a Member of Congress.</P>
            <P>To contact customer personnel during system emergencies.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Records are maintained on automated data storage devices. Hard copies of power distributor managers' key information are given to TVA staff working with distributor managers.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are organized by wholesale and retail customer name and indexed by individual's name.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records is limited to persons whose official duties require such access. Files are kept in a secured database. Access requires a login ID and password.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEM MANAGER(S) AND ADDRESS:</HD>
            <P>General Manager, Customer Service Support, TVA, P.O. Box 292409, Nashville, TN 37229-2409.</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals seeking to learn if information on them is maintained in this system of records should address inquiries to the system manager named above. Requests should include the individual's full name and employer.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURES:</HD>
            <P>Individuals seeking access to information about them in this system of records should contact the system manager named above.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the system manager named above.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>The information for this system is obtained from TVA's wholesale and retail customers and their personnel.</P>
            <HD SOURCE="HD1">TVA-39</HD>
            <HD SOURCE="HD2">SYSTEM NAME:</HD>

            <P>Nuclear Access Authorization and Fitness for Duty Records—TVA.<PRTPAGE P="1887"/>
            </P>
            <HD SOURCE="HD2">SYSTEM LOCATIONS:</HD>
            <P>Nuclear Access Services, TVA, Chattanooga, Tennessee 37402-2801; various contractor locations.</P>
            <HD SOURCE="HD2">CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEMS:</HD>
            <P>Current and former TVA employees, contractors, applicants for employment, applicants for employment by contractors who have been employed or sought to be employed in TVA Nuclear.</P>
            <HD SOURCE="HD2">CATEGORIES OF RECORDS IN THE SYSTEM:</HD>
            <P>Education; qualification; work history; residence history; citizenship; employment and military history; financial history; spouse/cohabitation and relatives; personal references; information received from various law enforcement agencies, federal, state and local; fingerprints; background investigation reports; psychological assessment files, drug and alcohol testing schedules and results; personnel identifying information; and additional security investigation data.</P>
            <HD SOURCE="HD2">AUTHORITY FOR MAINTENANCE OF THE SYSTEM:</HD>
            <P>Tennessee Valley Authority Act of 1933, 16 U.S.C. 831-831ee; EO 9397; EO 12038; EO 13467; Atomic Energy Act of 1954 as amended; Title II of the Energy Reorganization Act of 1974; 10 CFR 26; 10 CFR 72.56, 73.57.</P>
            <HD SOURCE="HD2">ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:</HD>
            <P>To respond to a request from a member of Congress regarding the status of an employee, former employee or applicant made at the request of that individual.</P>
            <P>To refer, where there is an indication of a violation or potential violation of law, whether criminal, civil, or regulatory in nature, to the appropriate agency, whether Federal, State, or local, charged with the responsibility if investigating and prosecuting such violation, or charged with enforcing or implementing the statute, rule, regulation or order issued pursuant thereto.</P>
            <P>To request from any pertinent source directly or through a TVA contractor engaged at TVA's direction, information relevant to a TVA decision concerning the hiring, retention, or promotion of an employee, the issuance of a security clearance, or other decision within the purposes of this system of records.</P>
            <P>To provide information or disclose to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract or the issuance of a license, grant, or other benefit by the requesting agency to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.</P>
            <P>To another licensee, contractor or vendor or their authorized representatives legitimately seeking the information as required by this section for unescorted access decisions and who have obtained a signed release from the individual.</P>
            <P>To representatives of the NRC to determine compliance with the applicable regulations and law.</P>
            <P>To the appropriate agency, whether Federal, State, or local, in connection with its oversight review responsibilities or authorized law enforcement activities.</P>
            <P>To the parties or complainants, their representatives, and impartial referees, examiners, administrative judges, or other decision makers in the proceedings under TVA grievance adjustment procedures, Equal Employment Opportunity procedures, Merit Systems Protection Board, or similar procedures, but only to the extent such records document processes or procedures used in making access determinations.</P>
            <P>To those licensee representatives who have a need to have access to the information in performing assigned duties including audits of licensee's, contractor's, and vendors programs, determining clearance or access authorization eligibility, and reviewing access authorization determinations on appeal.</P>
            <P>In litigation to which TVA is a party or in which TVA provides legal representation for a party by TVA attorneys or otherwise, for any use for any purpose including the presentation of evidence and disclosure in the course of discovery. In all other litigation, to respond to process issued under color of authority of a court of competent jurisdiction.</P>
            <P>To persons deciding matters on review or appeal.</P>
            <P>To appropriate agencies, entities, and persons when (1) TVA suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) TVA has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by TVA 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 TVA's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
            <P>This section does not authorize the licensee, contractor or vendor to withhold evidence of criminal conduct from law enforcement officials.</P>
            <HD SOURCE="HD2">POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSSING, RETAINING AND DISPOSING OF RECORDS IN THE SYSTEM</HD>
            <HD SOURCE="HD2">STORAGE:</HD>
            <P>Information is stored in hard copy files or electronically in the EDMS system.</P>
            <HD SOURCE="HD2">RETRIEVABILITY:</HD>
            <P>Records are indexed by name and employee social security number.</P>
            <HD SOURCE="HD2">SAFEGUARDS:</HD>
            <P>Access to and use of these records are limited to those persons whose official duties require such access and with the appropriate background investigation in accordance with 10 CFR 73.22. All filing systems are located in a secured area.</P>
            <HD SOURCE="HD2">RETENTION AND DISPOSAL:</HD>
            <P>Records are maintained in accordance with established TVA records retention schedules.</P>
            <HD SOURCE="HD2">SYSTEMS MANAGER(S) AND ADDRESS:</HD>
            <P>Manager, Nuclear Access and Fitness for Duty, TVA, Chattanooga, Tennessee 37402-2801</P>
            <HD SOURCE="HD2">NOTIFICATION PROCEDURE:</HD>
            <P>Individuals wishing to learn if information on them is maintained in this system of records should address inquires to the Manager, Nuclear Access and Fitness for Duty, TVA, Chattanooga, Tennessee, 37402-2801. Requests should include the individual's full name, and date of birth. A Social Security Number is not required but may expedite TVA's response; additionally, an Employee Identification Number may be included.</P>
            <HD SOURCE="HD2">RECORD ACCESS PROCEDURE:</HD>

            <P>Individuals seeking to gain access to information about them in this system of records should contact the Manager, Nuclear Access and Fitness for Duty, TVA, Chattanooga, Tennessee 37402-2801. Requests should include the individual's full name and date of birth. A Social Security Number is not required but may expedite TVA's response; additionally an Employee Identification Number may be included. Access will not be granted to investigatory material compiled solely for the purpose of determining access authorization to the extent that the disclosure of such material would reveal<PRTPAGE P="1888"/>the identity of a source who furnished the information to the Government under an express promise that the identity of the source would be held in confidence, or prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence. Access will not be granted to testing or examination material to the extent such disclosure would compromise the objectivity or fairness of the testing or examination process or would compromise business sensitive or Trade Secrets Act material.</P>
            <HD SOURCE="HD2">CONTESTING RECORD PROCEDURES:</HD>
            <P>Individuals desiring to contest or amend information about them maintained in this system should direct their request to the Manager, Nuclear Access and Fitness for Duty, TVA, Chattanooga, Tennessee 37402-2801.</P>
            <HD SOURCE="HD2">RECORD SOURCE CATEGORIES:</HD>
            <P>Individual to whom the record pertains, educational institutions, former employees, and other reference sources, Federal, state, and local law enforcement agencies, physicians and psychologists, military and credit agencies.</P>
            <HD SOURCE="HD2">SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:</HD>
            <P>This system is exempt from subsections (d); (e)(4)(H); and (f)(2), (3) and (4) of 5 U.S.C. 522a (section 3 of the Privacy Act of 1974) to the extent that disclosure of 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, and to the extent that disclosure of testing or examination material would compromise the objectivity or fairness of the testing or examination process. This exemption is pursuant to 5 U.S.C. 552a(k)(5) and (6).</P>
          </PRIACT>
          <SIG>
            <NAME>James W. Sample,</NAME>
            <TITLE>Director, Enterprise Information Security &amp; Policy.</TITLE>
          </SIG>
        </SUPLINF>
        <FRDOC>[FR Doc. 2011-150 Filed 1-10-11; 8:45 am]</FRDOC>
        <BILCOD>BILLING CODE 8120-08-P</BILCOD>
      </NOTICE>
    </NOTICES>
  </NEWPART>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Proposed Rules</UNITNAME>
  <NEWPART>
    <PTITLE>
      <PRTPAGE P="1889"/>
      <PARTNO>Part IV</PARTNO>
      <AGENCY TYPE="SMALL">Department of the Treasury</AGENCY>
      <SUBAGY>Office of the Comptroller of the Currency</SUBAGY>
      <CFR>12 CFR Part 3</CFR>
      <HRULE/>
      <AGENCY TYPE="SMALL">Federal Reserve System</AGENCY>
      <CFR>12 CFR Parts 208 and 225</CFR>
      <HRULE/>
      <AGENCY TYPE="SMALL">Federal Deposit Insurance Corporation</AGENCY>
      <CFR>12 CFR Part 325</CFR>
      <TITLE>Risk-Based Capital Guidelines: Market Risk; Proposed Rule</TITLE>
    </PTITLE>
    <PRORULES>
      <PRORULE>
        <PREAMB>
          <PRTPAGE P="1890"/>
          <AGENCY TYPE="S">DEPARTMENT OF THE TREASURY</AGENCY>
          <SUBAGY>Office of the Comptroller of the Currency</SUBAGY>
          <CFR>12 CFR Part 3</CFR>
          <DEPDOC>[Docket ID: OCC-2010-0003]</DEPDOC>
          <RIN>RIN 1557-AC99</RIN>
          <AGENCY TYPE="O">FEDERAL RESERVE SYSTEM</AGENCY>
          <CFR>12 CFR Parts 208 and 225</CFR>
          <DEPDOC>[Regulations H and Y; Docket No. R-1401]</DEPDOC>
          <RIN>RIN No. 7100-AD61</RIN>
          <AGENCY TYPE="O">FEDERAL DEPOSIT INSURANCE CORPORATION</AGENCY>
          <CFR>12 CFR Part 325</CFR>
          <RIN>RIN 3064-AD70</RIN>
          <SUBJECT>Risk-Based Capital Guidelines: Market Risk</SUBJECT>
          <AGY>
            <HD SOURCE="HED">AGENCY:</HD>
            <P>Office of the Comptroller of the Currency, Department of the Treasury; Board of Governors of the Federal Reserve System; and Federal Deposit Insurance Corporation.</P>
          </AGY>
          <ACT>
            <HD SOURCE="HED">ACTION:</HD>
            <P>Notice of proposed rulemaking with request for public comment.</P>
          </ACT>
          <SUM>
            <HD SOURCE="HED">SUMMARY:</HD>
            <P>The Office of the Comptroller of the Currency (OCC), Board of Governors of the Federal Reserve System (Board), and Federal Deposit Insurance Corporation (FDIC) are requesting comment on a proposal to revise their market risk capital rules to modify their scope to better capture positions for which the market risk capital rules are appropriate; reduce procyclicality in market risk capital requirements; enhance the rules' sensitivity to risks that are not adequately captured under the current regulatory measurement methodologies; and increase transparency through enhanced disclosures. The proposal does not include the methodologies adopted by the Basel Committee on Banking Supervision for calculating the specific risk capital requirements for debt and securitization positions due to their reliance on credit ratings, which is impermissible under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposal, therefore, retains the current specific risk treatment for these positions until the agencies develop alternative standards of creditworthiness as required by the Act. The proposed rules are substantively the same across the agencies.</P>
          </SUM>
          <EFFDATE>
            <HD SOURCE="HED">DATES:</HD>
            <P>Comments on this notice of proposed rulemaking must be received by April 11, 2011.</P>
          </EFFDATE>
          <ADD>
            <HD SOURCE="HED">ADDRESSES:</HD>
            <P>Comments should be directed to:</P>
            <P>
              <E T="03">OCC:</E>Because paper mail in the Washington, DC area and at the Agencies is subject to delay, commenters are encouraged to submit comments by the Federal eRulemaking Portal or e-mail, if possible. Please use the title “Risk-Based Capital Guidelines: Market Risk” to facilitate the organization and distribution of the comments. You may submit comments by any of the following methods:</P>
            <P>•<E T="03">Federal eRulemaking Portal—“regulations.gov”:</E>Go to<E T="03">http://www.regulations.gov.</E>Select “Document Type” of “Proposed Rules,” and in “Enter Keyword or ID Box,” enter Docket ID “OCC-2010-0003,” and click “Search.” On “View By Relevance” tab at bottom of screen, in the “Agency” column, locate the proposed rule for OCC, in the “Action” column, click on “Submit a Comment” or “Open Docket Folder” to submit or view public comments and to view supporting and related materials for this rulemaking action.</P>
            <P>• Click on the “Help” tab on the Regulations.gov home page to get information on using Regulations.gov, including instructions for submitting or viewing public comments, viewing other supporting and related materials, and viewing the docket after the close of the comment period.</P>
            <P>•<E T="03">E-mail: regs.comments@occ.treas.gov.</E>
            </P>
            <P>•<E T="03">Mail:</E>Office of the Comptroller of the Currency, 250 E Street, SW., Mail Stop 2-3, Washington, DC 20219.</P>
            <P>•<E T="03">Fax:</E>(202) 874-5274.</P>
            <P>•<E T="03">Hand Delivery/Courier:</E>250 E Street, SW., Mail Stop 2-3, Washington, DC 20219.</P>
            <P>
              <E T="03">Instructions:</E>You must include “OCC” as the agency name and “Docket ID OCC-2010-0003” in your comment. In general, OCC will enter all comments received into the docket and publish them on the Regulations.gov Web site without change, including any business or personal information that you provide such as name and address information, e-mail addresses, or phone numbers. Comments received, including attachments and other supporting materials, are part of the public record and subject to public disclosure. Do not enclose any information in your comment or supporting materials that you consider confidential or inappropriate for public disclosure.</P>
            <P>You may review comments and other related materials that pertain to this proposed rule by any of the following methods:</P>
            <P>•<E T="03">Viewing Comments Electronically:</E>Go to<E T="03">http://www.regulations.gov.</E>Select “Document Type” of “Public Submissions,” in “Enter Keyword or ID Box,” enter Docket ID “OCC-2010-0003,” and click “Search.” Comments will be listed under “View By Relevance” tab at bottom of screen. If comments from more than one agency are listed, the “Agency” column will indicate which comments were received by the OCC.</P>
            <P>•<E T="03">Viewing Comments Personally:</E>You may personally inspect and photocopy comments at the OCC, 250 E Street, SW., Washington, DC. For security reasons, the OCC requires that visitors make an appointment to inspect comments. You may do so by calling (202) 874-4700. Upon arrival, visitors will be required to present valid government-issued photo identification and to submit to security screening in order to inspect and photocopy comments.</P>
            <P>•<E T="03">Docket:</E>You may also view or request available background documents and project summaries using the methods described above.</P>
            <P>
              <E T="03">Board:</E>You may submit comments, identified by Docket No. R-1401 and RIN No. 7100-AD61, by any of the following methods:</P>
            <P>•<E T="03">Agency Web Site:  http://www.federalreserve.gov.</E>Follow the instructions for submitting comments at<E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm.</E>
            </P>
            <P>•<E T="03">Federal eRulemaking Portal:  http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
            <P>•<E T="03">E-mail: regs.comments@federalreserve.gov.</E>Include docket number in the subject line of the message.</P>
            <P>•<E T="03">Federal eRulemaking Portal:</E>“Regulations.gov”: Go to<E T="03">http://www.regulations.gov</E>and follow the instructions for submitting comments.</P>
            <P>•<E T="03">FAX:</E>(202) 452-3819 or (202) 452-3102.</P>
            <P>•<E T="03">Mail:</E>Jennifer J. Johnson, Secretary, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.</P>

            <P>All public comments are available from the Board's Web site at<E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm</E>as submitted, unless modified for technical reasons. Accordingly, your comments will not be edited to remove any identifying or contact information. Public comments may also be viewed electronically or in paper form in Room MP-500 of the Board's Martin Building (20th and C<PRTPAGE P="1891"/>Street, NW.) between 9 a.m. and 5 p.m. on weekdays.</P>
            <P>
              <E T="03">FDIC:</E>You may submit comments by any of the following methods:</P>
            <P>•<E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
            <P>•<E T="03">Agency Web site: http://www.FDIC.gov/regulations/laws/Federal/propose.html.</E>
            </P>
            <P>•<E T="03">Mail:</E>Robert E. Feldman, Executive Secretary, Attention: Comments/Legal ESS, Federal Deposit Insurance Corporation, 550 17th Street, NW., Washington, DC 20429.</P>
            <P>•<E T="03">Hand Delivered/Courier:</E>The guard station at the rear of the 550 17th Street Building (located on F Street), on business days between 7 a.m. and 5 p.m.</P>
            <P>•<E T="03">E-mail: comments@FDIC.gov.</E>
            </P>
            <P>
              <E T="03">Instructions:</E>Comments submitted must include “FDIC” and “RIN [3064-AD70].” Comments received will be posted without change to<E T="03">http://www.FDIC.gov/regulations/laws/Federal/propose.html,</E>including any personal information provided.</P>
          </ADD>
          <FURINF>
            <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
            <P SOURCE="NPAR">
              <E T="03">OCC:</E>Roger Tufts, Senior Economic Advisor, Capital Policy Division, (202) 874-4925, or Ron Shimabukuro, Senior Counsel, Carl Kaminski, Senior Attorney, or Hugh Carney, Attorney, Legislative and Regulatory Activities Division, (202) 874-5090, Office of the Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.</P>
            <P>
              <E T="03">Board:</E>Anna Lee Hewko, (202) 530-6260, Assistant Director, Capital and Regulatory Policy, or Connie Horsley, (202) 452-5239, Senior Supervisory Financial Analyst, Division of Banking Supervision and Regulation; or April C. Snyder, Counsel, (202) 452-3099, or Benjamin W. McDonough, Counsel, (202) 452-2036, Legal Division. For the hearing impaired only, Telecommunication Device for the Deaf (TDD), (202) 263-4869.</P>
            <P>
              <E T="03">FDIC:</E>Bobby R. Bean, Chief, Policy Section, (202) 898-6705; Karl Reitz, Senior Capital Markets Specialist, (202) 898-6775; Jim Weinberger, Senior Policy Analyst, (202) 898-7034, Division of Supervision and Consumer Protection; or Mark Handzlik, Counsel, (202) 898-3990; or Michael Phillips, Counsel, (202) 898-3581, Supervision Branch, Legal Division.</P>
          </FURINF>
        </PREAMB>
        <SUPLINF>
          <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
          <HD SOURCE="HD1">Table of Contents</HD>
          <EXTRACT>
            <FP SOURCE="FP-2">I. Introduction</FP>
            <FP SOURCE="FP1-2">A. Background</FP>
            <FP SOURCE="FP1-2">B. Summary of the Current Market Risk Capital Rule</FP>
            <FP SOURCE="FP1-2">1. Covered Positions</FP>
            <FP SOURCE="FP1-2">2. Capital Requirement for Market Risk</FP>
            <FP SOURCE="FP1-2">3. Internal Models-Based Capital Requirement</FP>
            <FP SOURCE="FP1-2">4. Specific Risk</FP>
            <FP SOURCE="FP1-2">5. Calculation of the Risk-Based Capital Ratio</FP>
            <FP SOURCE="FP-2">II. Proposed Revisions to the Market Risk Capital Rule</FP>
            <FP SOURCE="FP1-2">A. Objectives of the Proposed Revisions</FP>
            <FP SOURCE="FP1-2">B. Description of the Proposed Revisions to the Market Risk Capital Rule</FP>
            <FP SOURCE="FP1-2">1. Scope</FP>
            <FP SOURCE="FP1-2">2. Reservation of Authority</FP>
            <FP SOURCE="FP1-2">3. Modification of the Definition of Covered Position</FP>
            <FP SOURCE="FP1-2">4. Requirements for the Identification of Trading Positions and Management of Covered Positions</FP>
            <FP SOURCE="FP1-2">5. General Requirements for Internal Models</FP>
            <FP SOURCE="FP1-2">Model Approval and Ongoing Use Requirements</FP>
            <FP SOURCE="FP1-2">Risks Reflected in Models</FP>
            <FP SOURCE="FP1-2">Control, Oversight, and Validation Mechanisms</FP>
            <FP SOURCE="FP1-2">Internal Assessment of Capital Adequacy</FP>
            <FP SOURCE="FP1-2">Documentation</FP>
            <FP SOURCE="FP1-2">6. Capital Requirement for Market Risk</FP>
            <FP SOURCE="FP1-2">Determination of the Multiplication Factor</FP>
            <FP SOURCE="FP1-2">7. VaR-Based Capital Requirement</FP>
            <FP SOURCE="FP1-2">Quantitative Requirements for VaR-based Measure</FP>
            <FP SOURCE="FP1-2">8. Stressed VaR-Based Capital Requirement</FP>
            <FP SOURCE="FP1-2">Quantitative Requirements for Stressed VaR-based Measure</FP>
            <FP SOURCE="FP1-2">9. Revised Modeling Standards for Specific Risk</FP>
            <FP SOURCE="FP1-2">10. Standardized Specific Risk Capital Requirement</FP>
            <FP SOURCE="FP1-2">Debt Positions</FP>
            <FP SOURCE="FP1-2">Equity Positions</FP>
            <FP SOURCE="FP1-2">Securitization Positions</FP>
            <FP SOURCE="FP1-2">11. Incremental Risk Capital Requirement</FP>
            <FP SOURCE="FP1-2">12. Comprehensive Risk Capital Requirement</FP>
            <FP SOURCE="FP1-2">13. Disclosure Requirements</FP>
            <FP SOURCE="FP-2">III. Regulatory Flexibility Act Analysis</FP>
            <FP SOURCE="FP-2">IV. OCC Unfunded Mandates Reform Act of 1995 Determination</FP>
            <FP SOURCE="FP-2">V. Paperwork Reduction Act</FP>
            <FP SOURCE="FP-2">VI. Plain Language</FP>
          </EXTRACT>
          <HD SOURCE="HD1">I. Introduction</HD>
          <HD SOURCE="HD2">A. Background</HD>
          <P>The first international capital framework for banks<SU>1</SU>
            <FTREF/>entitled<E T="03">International Convergence of Capital Measurement and Capital Standards</E>(1988 Capital Accord) was developed by the Basel Committee on Banking Supervision (BCBS)<SU>2</SU>
            <FTREF/>and endorsed by the G-10 governors in 1988. The OCC, the Board, and the FDIC (collectively, the agencies) implemented the 1988 Capital Accord in 1989 through the issuance of the general risk-based capital rules.<SU>3</SU>
            <FTREF/>In 1996, the BCBS amended the 1988 Capital Accord to require banks to measure and hold capital to cover their exposure to market risk associated with foreign exchange and commodity positions and positions located in the trading account (the Market Risk Amendment (MRA) or market risk framework).<SU>4</SU>
            <FTREF/>The agencies implemented the MRA with an effective date of January 1, 1997 (market risk capital rule).<SU>5</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>1</SU>For simplicity, and unless otherwise indicated, the preamble to this notice of proposed rulemaking uses the term “bank” to include banks, savings associations, and bank holding companies (BHCs). The terms “bank holding company” and “BHC” refer only to bank holding companies regulated by the Board.</P>
          </FTNT>
          <FTNT>
            <P>

              <SU>2</SU>The BCBS is a committee of banking supervisory authorities, which was established by the central bank governors of the G-10 countries in 1975. It consists of senior representatives of bank supervisory authorities and central banks from Argentina, Australia, Belgium, Brazil, Canada, China, France, Germany, Hong Kong SAR, India, Indonesia, Italy, Japan, Korea, Luxembourg, Mexico, the Netherlands, Russia, Saudi Arabia, Singapore, South Africa, Spain, Sweden, Switzerland, Turkey, the United Kingdom, and the United States. Documents issued by the BCBS are available through the Bank for International Settlements Web site at<E T="03">http://www.bis.org.</E>
            </P>
          </FTNT>
          <FTNT>
            <P>
              <SU>3</SU>The agencies' general risk-based capital rules are at 12 CFR part 3, Appendix A (OCC); 12 CFR part 208, Appendix A and 12 CFR part 225, Appendix A (Board); and 12 CFR part 325, Appendix A (FDIC).</P>
          </FTNT>
          <FTNT>
            <P>

              <SU>4</SU>In 1997, the BCBS modified the MRA to remove a provision pertaining to the specific risk capital charge under the internal models approach (<E T="03">see http://www.bis.org/press/p970918a.htm</E>).</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>5</SU>61 FR 47358 (September 6, 1996). The agencies' market risk capital rules are at 12 CFR part 3, Appendix B (OCC), 12 CFR part 208, Appendix E and 12 CFR part 225, Appendix E (Board), and 12 CFR part 325, Appendix C (FDIC).</P>
          </FTNT>
          <P>In June 2004, the BCBS issued a document entitled<E T="03">International Convergence of Capital Measurement and Capital Standards: A Revised Framework</E>(New Accord or Basel II), which was intended for use by individual countries as the basis for national consultation and implementation. The New Accord sets forth a “three-pillar” framework that includes (i) risk-based capital requirements for credit risk, market risk, and operational risk (Pillar 1); (ii) supervisory review of capital adequacy (Pillar 2); and (iii) market discipline through enhanced public disclosures (Pillar 3).</P>

          <P>The New Accord retained much of the MRA; however, after its release, the BCBS announced that it would develop improvements to the market risk framework, especially with respect to the treatment of specific risk, which refers to the risk of loss on a position due to factors other than broad-based movements in market prices. As a result, in July 2005, the BCBS and the International Organization of Securities Commissions (IOSCO) published<E T="03">The Application of Basel II to Trading Activities and the Treatment of Double Default Effects.</E>The BCBS incorporated the July 2005 changes into the June 2006 comprehensive version of the New Accord and follow its “three-pillar” structure. Specifically, the Pillar 1<PRTPAGE P="1892"/>changes narrow the types of positions that are subject to the market risk framework and revise modeling standards and procedures for calculating minimum regulatory capital requirements; the Pillar 2 changes require banks to conduct internal assessments of their capital adequacy with respect to market risk, taking into account the output of their internal models, valuation adjustments, and stress tests; and the Pillar 3 changes require banks to disclose certain quantitative and qualitative information, including their valuation techniques for covered positions, the soundness standard used for modeling purposes, and their internal capital adequacy assessment methodologies.</P>
          <P>In September 2006, the agencies issued a joint notice of proposed rulemaking (2006 proposal) in which they proposed amendments to their market risk capital rules that would implement the BCBS's changes to the market risk framework.<SU>6</SU>

            <FTREF/>The BCBS began work on significant changes to the market risk framework in 2007 due to issues highlighted by the financial crisis. As a result, the agencies did not finalize the 2006 proposal. This joint notice of proposed rulemaking (proposed rule) incorporates aspects of the agencies' 2006 proposal as well as further revisions to the New Accord (and associated guidance) published by the BCBS in July 2009. These publications include<E T="03">Revisions to the Basel II Market Risk Framework, Guidelines for Computing Capital for Incremental Risk in the Trading Book,</E>and<E T="03">Enhancements to the Basel II Framework</E>(collectively, the 2009 revisions).</P>
          <FTNT>
            <P>
              <SU>6</SU>71 FR 55958, (September 25, 2006). The 2006 proposal was issued jointly by the agencies and the Office of Thrift Supervision (OTS). In the proposal, the OTS, which had not previously adopted the MRA, proposed adopting a market risk capital rule.</P>
          </FTNT>
          <P>The 2009 revisions to the market risk framework place additional prudential requirements on banks' internal models for measuring market risk and require enhanced qualitative and quantitative disclosures, particularly with respect to banks' securitization activities. The revisions also introduce an incremental risk capital requirement to capture default and credit quality migration risk for non-securitization credit products. With respect to securitizations, the 2009 revisions require banks to apply the standardized measurement method for specific risk to these positions, except for “correlation trading” positions (described further below), for which banks may choose to model all material price risks. The 2009 revisions also add a stressed Value-at-Risk (VaR)-based capital requirement to banks' VaR-based capital requirement under the existing framework. In June, 2010, the BCBS published additional revisions to the market risk framework that included establishing a floor on the risk-based capital requirement for modeled correlation trading positions.<SU>7</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>

              <SU>7</SU>The June 2010 revisions can be found, in their entirety, at<E T="03">http://bis.org/press/p100618/annex.pdf.</E>
            </P>
          </FTNT>
          <P>These revisions to the market risk framework and other proposed revisions are discussed more fully below. Part I.B. of this preamble summarizes and provides background on the current market risk capital rule. Part II describes the proposed revisions to the market risk capital rule that incorporate aspects of the BCBS 2005 and 2009 revisions to the market risk framework.</P>
          <P>
            <E T="03">Question 1: The agencies request comment on all aspects of the proposed rule and specifically on whether and for what reasons certain aspects of the proposed rule present particular implementation challenges. Responses should be detailed as to the nature and impact of such challenges. What, if any, specific approaches (for example, transitional arrangements) should the agencies consider to address such challenges and why?</E>
          </P>
          <HD SOURCE="HD2">B. Summary of the Current Market Risk Capital Rule</HD>
          <P>The current market risk capital rule supplements both the agencies' general risk-based capital rules and the advanced capital adequacy guidelines (advanced approaches rules) (collectively, the credit risk capital rules)<SU>8</SU>
            <FTREF/>by requiring any bank subject to the market risk capital rule to adjust its risk-based capital ratios to reflect market risk in its trading activities. The rule applies to a bank with worldwide, consolidated trading activity equal to 10 percent or more of total assets, or $1 billion or more. The primary Federal supervisor of a bank may apply the market risk capital rule to a bank if the supervisor deems it necessary or appropriate for safe and sound banking practices. In addition, the supervisor may exempt a bank that meets the threshold criteria from application of the rule if the supervisor determines the bank meets such criteria as a consequence of accounting, operational, or similar considerations, and the supervisor deems such an exemption to be consistent with safe and sound banking practices.</P>
          <FTNT>
            <P>
              <SU>8</SU>The agencies' advanced approaches rules are at 12 CFR part 3, Appendix C (OCC); 12 CFR part 208, Appendix F and 12 CFR part 225, Appendix G (Board); and 12 CFR part 325, Appendix D (FDIC). For purposes of this preamble, the term “credit risk capital rules” refers to the general risk-based capital rules and the advanced approaches rules (that also apply to operational risk), as applicable to the bank using the proposed rule.</P>
          </FTNT>
          <HD SOURCE="HD3">1. Covered Positions</HD>
          <P>The current market risk capital rule requires a bank to maintain regulatory capital against the market risk of its covered positions. Covered positions are defined as all on- and off-balance sheet positions in the bank's trading account (as defined in the instructions to the Consolidated Reports of Condition and Income (Call Report) or to the FR Y-9C Consolidated Financial Statements for Bank Holding Companies (FR Y-9C)), and all foreign exchange and commodity positions, whether or not they are in the trading account. Covered positions exclude all positions in the trading account that, in form or substance, act as liquidity facilities that provide liquidity support to asset-backed commercial paper.</P>
          <HD SOURCE="HD3">2. Capital Requirement for Market Risk</HD>
          <P>The current market risk capital rule defines market risk as the risk of loss resulting from movements in market prices. Market risk consists of general market risk and specific risk components. General market risk is defined as changes in the market value of positions resulting from broad market movements, such as changes in the general level of interest rates, equity prices, foreign exchange rates, or commodity prices. Specific risk is defined as changes in the market value of a position due to factors other than broad market movements and includes event and default risk, as well as idiosyncratic risk.<SU>9</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>9</SU>Idiosyncratic risk is the risk of loss in the value of a position that arises from changes in risk factors unique to that position. Event risk is the risk of loss on a position that could result from sudden and unexpected large changes in market prices or specific events other than the default of the issuer. Default risk is the risk of loss on a position that could result from the failure of an obligor to make timely payments of principal or interest on its debt obligation, and the risk of loss that could result from bankruptcy, insolvency, or similar proceeding. For credit derivatives, default risk means the risk of loss on a position that could result from the default of the reference exposure(s).</P>
          </FTNT>
          <P>A bank that is subject to the market risk capital rule is required to use an internal model to calculate a VaR-based measure of its exposure to market risk. A bank's total risk-based capital requirement for covered positions generally consists of a VaR-based capital requirement plus an add-on for specific risk, if specific risk is not captured in the bank's internal VaR model.<SU>10</SU>
            <FTREF/>The VaR-based capital requirement is based<PRTPAGE P="1893"/>on an estimate of the amount that the value of one or more positions could decline over a stated time horizon and at a stated confidence level. A bank may determine its capital requirement for specific risk using a standardized method or, with supervisory approval, may use internal models to measure its minimum capital requirement for specific risk.</P>
          <FTNT>
            <P>

              <SU>10</SU>The primary Federal supervisor of a bank may also permit the use of alternative techniques to measure the market risk of<E T="03">de minimis</E>exposures, if the techniques adequately measure associated market risk.</P>
          </FTNT>
          <HD SOURCE="HD3">3. Internal Models-Based Capital Requirement</HD>
          <P>In calculating the capital requirement for market risk, a bank is required to use an internal model that meets specified qualitative and quantitative criteria. The qualitative requirements reflect basic components of sound market risk management. For example, the current market risk capital rule requires an independent risk control unit that reports directly to senior management and an internal risk measurement model that is integrated into the daily management process. The quantitative criteria include the use of a VaR-based measure based on a 99.0 percent, one-tailed confidence level. The VaR-based measure must be based on a price shock equivalent to a 10-business-day movement in rates or prices. Price changes estimated using shorter time periods must be adjusted to the 10-business-day standard. The minimum effective historical observation period for deriving the rate or price changes is one year and data sets must be updated at least every three months or more frequently if market conditions warrant. In all cases, under the current rule, a bank must have the capability to update its data sets more frequently than every three months in anticipation of market conditions that would require such updating.</P>
          <P>A bank need not use a single model to calculate its VaR-based measure. A bank's internal model may use any generally accepted approach, such as variance-covariance models, historical simulations, or Monte Carlo simulations. However, the level of sophistication of the bank's internal model must be commensurate with the nature and size of the positions it covers. The internal model must use risk factors sufficient to measure the market risk inherent in all covered positions. The risk factors must address interest rate risk, equity price risk, foreign exchange rate risk, and commodity price risk.</P>

          <P>The current market risk capital rule imposes backtesting requirements that must be calculated quarterly. A bank must compare its daily VaR-based measure for each of the preceding 250 business days to its actual daily trading profit or loss, which typically includes realized and unrealized gains and losses on portfolio positions as well as fee income and commissions associated with trading activities. If the quarterly backtesting shows that the bank's daily net trading loss exceeded its corresponding daily VaR-based measure, a backtesting exception has occurred. If a bank experiences more than four backtesting exceptions over the preceding 250 business days, it is generally required to apply a multiplication factor in excess of 3 when it calculates its risk-based capital ratio (<E T="03">see</E>section I.B.5 of this preamble).</P>
          <P>A bank subject to the market risk capital rule is also required to conduct stress tests to assess the impact of adverse market events on its positions. The market risk capital rule does not prescribe specific stress-testing methodologies.</P>
          <HD SOURCE="HD3">4. Specific Risk</HD>
          <P>Under the current market risk capital rule, a bank may use an internal model to measure its exposure to specific risk if it has demonstrated to its primary Federal supervisor that the model measures the specific risk, including event and default risk, as well as idiosyncratic risk, of its debt and equity positions. A bank that incorporates specific risk in its internal model but fails to demonstrate that the model adequately measures all aspects of specific risk is subject to a specific risk add-on. In this case, if the bank can validly separate its VaR-based measure into a specific risk portion and a general market risk portion, the add-on is equal to the previous day's specific risk portion. If the bank cannot separate the VaR-based measure into a specific risk portion and a general market risk portion, the add-on is equal to the sum of the previous day's VaR-based measures for subportfolios of debt and equity positions that contain specific risk.</P>
          <P>If the bank does not model specific risk, it must calculate its specific risk capital requirement, or “add-on,” using a standardized method.<SU>11</SU>
            <FTREF/>Under this method, the specific risk add-on for debt positions is calculated by multiplying the absolute value of the current market value of each net long and net short position in a debt instrument by the appropriate specific risk-weighting factor in the rule. These specific risk-weighting factors range from zero to 8.0 percent and are based on the identity of the obligor and, in the case of some positions, the credit rating and remaining contractual maturity of the position. Derivative instruments are risk-weighted according to the market value of the effective notional amount of the underlying position. A bank may net long and short debt positions (including derivatives) in identical debt issues or indices. A bank may also offset a “matched” position in a derivative and its corresponding underlying instrument.</P>
          <FTNT>
            <P>
              <SU>11</SU>
              <E T="03">See</E>section 5(c) of the agencies' market risk capital rules for a description of this method.</P>
          </FTNT>
          <P>Under the standardized method, the specific risk add-on for equity positions is the sum of the bank's net long and short positions in an equity, multiplied by a specific risk-weighting factor. A bank may net long and short positions (including derivatives) in identical equity issues or equity indices in the same market. The specific risk add-on is 8.0 percent of the net equity position, unless the bank's portfolio is both liquid and well-diversified, in which case the specific risk add-on is 4.0 percent. For positions that are index contracts comprising a well-diversified portfolio of equities, the specific risk add-on is 2.0 percent of the net long or net short position in the index.<SU>12</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>12</SU>In addition, for futures contracts on broadly based indices that are matched by offsetting equity baskets, a bank may apply a 2.0 percent specific risk requirement to the futures and stock basket positions if the basket comprises at least 90 percent of the capitalization of the index. The 2.0 percent specific risk requirement applies to only one side of certain futures-related arbitrage strategies when either: (i) The long and short positions are in exactly the same index at different dates or in different markets; or (ii) the long and short positions are in different but similar indices at the same date.</P>
          </FTNT>
          <HD SOURCE="HD3">5. Calculation of the Risk-Based Capital Ratio</HD>
          <P>A bank subject to the current market risk capital rule must calculate its adjusted risk-based capital ratios as follows. First, the bank must calculate its adjusted risk-weighted assets, which equals its risk-weighted assets calculated under the general risk-based capital rule excluding the risk-weighted amounts of covered positions (except foreign exchange positions outside the trading account and over-the-counter derivative instruments)<SU>13</SU>
            <FTREF/>and cash-secured securities borrowing receivables that meet the criteria of the market risk capital rule.</P>
          <FTNT>
            <P>
              <SU>13</SU>Foreign exchange positions outside the trading account and all over-the-counter derivative positions, regardless of whether they are in the trading account, must be included in a bank's risk-weighted assets as determined under the general risk-based capital rules.</P>
          </FTNT>

          <P>The bank then must calculate its measure for market risk, which equals the sum of the VaR-based capital requirement for market risk, the specific risk add-on (if any), and the capital<PRTPAGE P="1894"/>requirement for<E T="03">de minimis</E>exposures (if any). The VaR-based capital requirement equals the greater of (i) the previous day's VaR-based measure; or (ii) the average of the daily VaR-based measures for each of the preceding 60 business days multiplied by three, or such higher multiplier as may be required under the backtesting requirements of the market risk capital rule. The measure for market risk is multiplied by 12.5 to calculate market-risk-equivalent assets. The market-risk-equivalent assets are added to adjusted risk-weighted assets to compute the denominator of the bank's risk-based capital ratio.</P>
          <P>To calculate the numerator, the bank must allocate tier 1 and tier 2 capital equal to 8.0 percent of adjusted risk-weighted assets, and further allocate excess tier 1, excess tier 2, and tier 3<SU>14</SU>
            <FTREF/>capital equal to the measure for market risk. The sum of tier 2 and tier 3 capital allocated for market risk may not exceed 250 percent of tier 1 capital. As a result, tier 1 capital must equal at least 28.6 percent of the measure for market risk. The sum of tier 2 (both allocated and excess) and allocated tier 3 capital may not exceed 100 percent of tier 1 capital (both allocated and excess). Term subordinated debt and intermediate-term preferred stock and related surplus included in tier 2 capital (both allocated and excess) may not exceed 50 percent of tier 1 capital (both allocated and excess). The sum of tier 1 and tier 2 capital (both allocated and excess) and allocated tier 3 capital is the numerator of the bank's total risk-based capital ratio.</P>
          <FTNT>
            <P>
              <SU>14</SU>Tier 1 and tier 2 capital are defined in the general risk-based capital rules. Tier 3 capital is subordinated debt that is unsecured, is fully paid up, has an original maturity of at least two years, is not redeemable before maturity without prior approval by the primary Federal supervisor, includes a lock-in clause precluding payment of either interest or principal (even at maturity) if the payment would cause the issuing bank's risk-based capital ratio to fall or remain below the minimum required under the credit risk capital rules, and does not contain and is not covered by any covenants, terms, or restrictions that are inconsistent with safe and sound banking practices.</P>
          </FTNT>
          <HD SOURCE="HD1">II. Proposed Revisions to the Market Risk Capital Rule</HD>
          <HD SOURCE="HD2">A. Objectives of the Proposed Revisions</HD>
          <P>The key objectives of the proposed revisions to the current market risk capital rule are to enhance the rule's sensitivity to risks that are not adequately captured by the current rule; to enhance modeling requirements in a manner that is consistent with advances in risk management since the initial implementation of the rule; to modify the definition of covered position to better capture positions for which treatment under the rule is appropriate; to address shortcomings in the modeling of certain risks; to address certain procyclicality concerns; and to increase transparency through enhanced disclosures. The objective of enhancing the risk sensitivity of the rule is particularly important because of banks' increased exposure to traded credit products, such as credit default swaps (CDSs) and asset-backed securities, in other structured products, and in less liquid products. The risks of these products are generally not fully captured in current VaR models, which rely on a 10-business-day, one-tail, 99.0 percent confidence level soundness standard.</P>
          <P>For example, the growth in traded credit products has increased default and credit migration risks that should be captured in a regulatory capital requirement for specific risk but have proved difficult to capture adequately within current specific risk models. The agencies did not contemplate risks associated with less liquid credit products when the market risk capital rule was first adopted. Therefore, the agencies propose to implement an incremental risk capital requirement that would apply to a bank that models specific risk for one or more portfolios of debt or, if applicable, equity positions, and to incorporate explicit measures of liquidity.</P>
          <P>In addition, to address the agencies' concerns about the appropriate treatment of covered positions that have limited price transparency, the agencies propose to require banks to have a well-defined valuation process for all covered positions. The specific proposals are discussed below.</P>
          <HD SOURCE="HD2">B. Description of the Proposed Revisions to the Market Risk Capital Rule</HD>
          <HD SOURCE="HD3">1. Scope</HD>
          <P>The proposed market risk capital rule does not change the set of banks to which the rule applies. That is, the proposed rule continues to apply to any bank with aggregate trading assets and trading liabilities equal to 10 percent or more of total assets, or $1 billion or more. The proposed rule applies to a bank that meets the market risk capital rule applicability threshold regardless of whether the bank uses the general risk-based capital rules or the advanced approaches rules.</P>
          <P>The primary Federal supervisor of a bank that does not meet the threshold criteria may apply the market risk capital rule to the bank if the supervisor deems it necessary or appropriate given the level of market risk of the bank or to ensure safe and sound banking practices. The primary Federal supervisor may also exclude a bank that meets the threshold criteria from application of the rule if the supervisor determines that the exclusion is appropriate based on the level of market risk of the bank and is consistent with safe and sound banking practices.</P>
          <P>
            <E T="03">Question 2: The agencies seek comment on the appropriateness of the proposed applicability thresholds. What, if any, alternative thresholds should the agencies consider and why?</E>
          </P>
          <HD SOURCE="HD3">2. Reservation of Authority</HD>
          <P>The proposed rule contains a reservation of authority that affirms the authority of a bank's primary Federal supervisor to require the bank to hold an overall amount of capital greater than would otherwise be required under the rule if the supervisor determines that the bank's risk-based capital requirements under the rule are not commensurate with the market risk of the bank's covered positions. In addition, the agencies anticipate that there may be instances when the proposed rule would generate a risk-based capital requirement for a specific covered position or portfolio of covered positions that is not commensurate with the risks of the covered position or portfolio. In these cases, a bank's primary Federal supervisor may require the bank to assign a different risk-based capital requirement to the covered position or portfolio of covered positions that better reflects the risk of the position or portfolio. The proposed rule also provides authority for a bank's primary Federal supervisor to require the bank to calculate capital requirements for specific positions or portfolios under the market risk capital rule or under either the general risk-based capital rules or advanced approaches rules, as appropriate, to more appropriately reflect the risks of the positions.</P>
          <HD SOURCE="HD3">3. Modification of the Definition of Covered Position</HD>

          <P>The proposed rule modifies the definition of a covered position to include trading assets and trading liabilities (as reported on schedule RC-D of the Call Report or Schedule HC-D of the Consolidated Financial Statements for Bank Holding Companies) that are trading positions. Under the proposal, a trading position is defined as a position that is held by the bank for the purpose of short-term resale or with the intent of benefiting from actual or expected short-term price movements, or to lock in arbitrage profits. Thus, the characterization of an<PRTPAGE P="1895"/>asset or liability as “trading” for purposes of U.S. Generally Accepted Accounting Principles (GAAP) will not necessarily determine whether the asset or liability is a “trading position” for purposes of the proposed rule. Commenters on the 2006 proposal expressed concerns that the proposed covered position definition would create inconsistencies between the regulatory capital treatment of certain trading assets and trading liabilities and the treatment of those positions under GAAP. The agencies, however, continue to believe that relying on the accounting definition of trading assets and trading liabilities, without modification, would not be appropriate because it includes positions that are not held with the intent or ability to trade.</P>
          <P>The proposed covered position definition includes trading assets and trading liabilities that hedge covered positions. In addition, the trading asset or trading liability must be free of any restrictive covenants on its tradability or the bank must be able to hedge its material risk elements in a two-way market. A trading asset or trading liability that hedges a trading position is a covered position only if the hedge is within the scope of the bank's hedging strategy (discussed below). The agencies encourage the sound risk management of trading positions. Therefore, the agencies include in the definition of a covered position any hedges that offset the risk of trading positions. The agencies are concerned, however, that a bank could craft its hedging strategies in order to bring non-trading positions that are more appropriately treated under the credit risk capital rules into the bank's covered positions. The agencies will review a bank's hedging strategies to ensure that they are not being manipulated in this manner. For example, mortgage-backed securities that are not held with the intent to trade, but that are hedged with interest rate swaps to mitigate interest rate risk, would be subject to the credit risk capital rules.</P>
          <P>Consistent with the current definition of covered position, under the proposed rule, a covered position also includes any foreign exchange or commodity position, whether or not it is a trading asset or trading liability. With prior supervisory approval, a bank may exclude from its covered positions any structural position in a foreign currency, which is defined as a position that is not a trading position and that is (i) a subordinated debt, equity, or minority interest in a consolidated subsidiary that is denominated in a foreign currency; (ii) capital assigned to foreign branches that is denominated in a foreign currency; (iii) a position related to an unconsolidated subsidiary or another item that is denominated in a foreign currency and that is deducted from the bank's tier 1 and tier 2 capital; or (iv) a position designed to hedge a bank's capital ratios or earnings against the effect of adverse exchange rate movements on (i), (ii), or (iii).</P>
          <P>Also consistent with the current rule, the proposed definition of a covered position explicitly excludes any position that, in form or substance, acts as a liquidity facility that provides support to asset-backed commercial paper. In addition, the definition of covered position excludes all intangible assets, including servicing assets. Intangible assets are excluded because their risks are explicitly addressed in the credit risk capital rules, often through a deduction from capital.</P>
          <P>The proposed covered position definition excludes any equity position that is not publicly traded, other than a derivative that references a publicly traded equity; any direct real estate holding; and any position that a bank holds with the intent to securitize. Equity positions that are not publicly traded would include private equity investments, most hedge fund investments, and other such closely-held and non-liquid investments that are not easily marketable. Direct real estate holdings include real estate for which the bank holds title, such as “other real estate owned” held from foreclosure activities, and bank premises used by a bank as part of its ongoing business activities. With such real estate holdings, marketability and liquidity are uncertain or even impractical as the assets are an integral part of the bank's ongoing business. Indirect investments in real estate, such as through real estate investment trusts or special purpose vehicles, must meet the definition of a trading position in order to be a covered position. Positions that a bank holds with the intent to securitize include a “pipeline” or “warehouse” of loans being held for securitization; the agencies do not view the intent to securitize these positions as synonymous with the intent to trade them. Consistent with the 2009 revisions, the agencies believe all of these excluded positions have significant constraints in terms of a bank's ability to liquidate them readily and value them reliably on a daily basis.</P>
          <P>The proposed covered position definition excludes a credit derivative that the bank recognizes as a guarantee for purposes of calculating the amount of risk-weighted assets under the credit risk capital rules<SU>15</SU>
            <FTREF/>if it is used to hedge a position that is not a covered position (for example, a credit derivative hedge of a loan that is not a covered position). This requires the bank to include the credit derivative in its risk-weighted assets for credit risk and exclude it from its VaR-based measure for market risk. This proposed treatment of a credit derivative hedge avoids the mismatch that arises when the hedged position (for example, a loan) is not a covered position and the credit derivative hedge is a covered position. This mismatch has the potential to overstate the VaR-based measure of market risk if only one side of the transaction were reflected in that measure.</P>
          <FTNT>
            <P>
              <SU>15</SU>See 12 CFR part 3, section 3 (OCC); 12 CFR part 208, Appendix A, section II.B and 12 CFR part 225, Appendix A, section II.B (Board); and 12 CFR part 325, Appendix A, section II.B.3 (FDIC). The treatment of guarantees is described in sections 33 and 34 of the advanced approaches rules.</P>
          </FTNT>
          <P>
            <E T="03">Question 3: The agencies request comment on all aspects of the proposed definition of covered position.</E>
          </P>
          <P>Under the proposed rule, in addition to commodities and foreign exchange positions, covered positions include debt positions, equity positions and securitization positions. The proposal defines a debt position as a covered position that is not a securitization position or a correlation trading position and that has a value that reacts primarily to changes in interest rates or credit spreads. Examples of debt positions include corporate and government bonds, certain nonconvertible preferred stock, certain convertible bonds, and derivatives (including written and purchased options) for which the underlying instrument is a debt position.</P>
          <P>The proposal defines an equity position as a covered position that is not a securitization position or a correlation trading position and that has a value that reacts primarily to changes in equity prices. Examples of equity positions include voting or nonvoting common stock, certain convertible bonds, commitments to buy or sell equity instruments, equity indices, and a derivative for which the underlying instrument is an equity position.</P>

          <P>Under the proposal, a securitization is a transaction in which: (i) All or a portion of the credit risk of one or more underlying exposures is transferred to one or more third parties; (ii) the credit risk associated with the underlying exposures has been separated into at least two tranches that reflect different levels of seniority; (iii) performance of the securitization exposures depends upon the performance of the underlying exposures; (iv) all or substantially all of<PRTPAGE P="1896"/>the underlying exposures are financial exposures (such as loans, commitments, credit derivatives, guarantees, receivables, asset-backed securities, mortgage-backed securities, other debt securities, or equity securities); (v) for non-synthetic securitizations, the underlying exposures are not owned by an operating company;<SU>16</SU>
            <FTREF/>(vi) the underlying exposures are not owned by a small business investment company described in section 302 of the Small Business Investment Act of 1958 (15 U.S.C. 682); and (vii) the underlying exposures are not owned by a firm an investment in which qualifies as a community development investment under 12 U.S.C. 24 (Eleventh). Further, a bank's primary Federal supervisor may determine that a transaction in which the underlying exposures are owned by an investment firm that exercises substantially unfettered control over the size and composition of its assets, liabilities, and off-balance sheet exposures is not a securitization based on the transaction's leverage, risk profile, or economic substance. Generally, the agencies would consider investment firms that can easily change the size and composition of their capital structure, as well as the size and composition of their assets and off-balance sheet exposures as eligible for exclusion from the securitization definition under this provision. Based on a particular transaction's leverage, risk profile, or economic substance, a bank's primary Federal supervisor may deem an exposure to a transaction to be a securitization exposure, even if the exposure does not meet the criteria in provisions (v), (vi), or (vii) above. A securitization position is a covered position that is (i) an on-balance sheet or off-balance sheet credit exposure (including credit-enhancing representations and warranties) that arises from a securitization (including a resecuritization); or (ii) an exposure that directly or indirectly references a securitization exposure described in (i) above.</P>
          <FTNT>
            <P>
              <SU>16</SU>In a synthetic securitization, a company uses credit derivatives or guarantees to transfer a portion of the credit risk of one or more underlying exposures to third-party protection providers. The credit derivative or guarantee may be collateralized or uncollateralized.</P>
          </FTNT>
          <P>A securitization position includes nth-to-default credit derivatives and resecuritization positions. The proposal defines an nth-to-default credit derivative as a credit derivative that provides credit protection only for the nth-defaulting reference exposure in a group of reference exposures. In addition, under the proposal, a resecuritization is a securitization in which one or more of the underlying exposures is a securitization exposure. A resecuritization position is (i) an on- or off-balance sheet exposure to a resecuritization; or (ii) an exposure that directly or indirectly references a resecuritization exposure described in (i).</P>
          <P>The proposal defines a correlation trading position as (i) a securitization position for which all or substantially all of the value of the underlying exposures is based on the credit quality of a single company for which a two-way market exists, or on commonly traded indices based on such exposures for which a two-way market exists on the indices; or (ii) a position that is not a securitization position and that hedges a position described in clause (i) above. Under the proposed definition, a correlation trading position does not include a resecuritization position, a derivative of a securitization position that does not provide a pro rata share in the proceeds of a securitization tranche, or a securitization position for which the underlying assets or reference exposures are retail exposures, residential mortgage exposures, or commercial mortgage exposures. Correlation trading positions are typically not rated by external credit rating agencies and may include CDO index tranches, bespoke CDO tranches, and nth-to-default credit derivatives. Standardized CDS indices and single-name CDSs are examples of instruments used to hedge these positions. While banks typically hedge correlation trading positions, hedging frequently does not reduce a bank's net exposure to a position because the hedges often do not perfectly match the position.</P>
          <HD SOURCE="HD3">4. Requirements for the Identification of Trading Positions and Management of Covered Positions</HD>
          <P>Section 3 of the proposal introduces new requirements for the identification of trading positions and the management of covered positions. The agencies believe that these new requirements are warranted based on the inclusion of more credit risk-related, less liquid, and less actively traded products in banks' covered positions. The risks of these positions may not be fully reflected in the requirements of the market risk capital rule and may be more appropriately captured under credit risk capital rules.</P>
          <P>The proposed rule requires a bank to have clearly defined policies and procedures for determining which of its trading assets and trading liabilities are trading positions as well as which of its trading positions are correlation trading positions. In determining the scope of trading positions, the bank must consider (i) the extent to which a position (or a hedge of its material risks) can be marked-to-market daily by reference to a two-way market; and (ii) possible impairments to the liquidity of a position or its hedge.</P>
          <P>In addition, the bank must have clearly defined trading and hedging strategies. The bank's trading and hedging strategies for its trading positions must be approved by senior management. The trading strategy must articulate the expected holding period of, and the market risk associated with, each portfolio of trading positions. The hedging strategy must articulate for each portfolio the level of market risk the bank is willing to accept and must detail the instruments, techniques, and strategies the bank will use to hedge the risk of the portfolio. The hedging strategy should be applied at the level at which trading positions are risk managed at the bank (for example, trading desk, portfolio levels).</P>
          <P>The proposed rule requires a bank to have clearly defined policies and procedures for actively managing all covered positions. In the context of non-traded commodities and foreign exchange positions, active management includes managing the risks of those positions within the bank's risk limits. For all covered positions, these policies and procedures, at a minimum, must require (i) marking positions to market or model on a daily basis; (ii) assessing on a daily basis the bank's ability to hedge position and portfolio risks and the extent of market liquidity; (iii) establishment and daily monitoring of limits on positions by a risk control unit independent of the trading business unit; (iv) daily monitoring by senior management of the information described in (i) through (iii) above; (v) at least annual reassessment by senior management of established limits on positions; and (vi) at least annual assessments by qualified personnel of the quality of market inputs to the valuation process, the soundness of key assumptions, the reliability of parameter estimation in pricing models, and the stability and accuracy of model calibration under alternative market scenarios.</P>

          <P>The proposed rule introduces new requirements for the prudent valuation of covered positions that include maintaining policies and procedures for valuation, marking positions to market or to model, independent price verification, and valuation adjustments or reserves. The valuation process must consider, as appropriate, unearned credit spreads, close-out costs, early termination costs, investing and funding<PRTPAGE P="1897"/>costs, future administrative costs, liquidity, and model risk. These new valuation requirements reflect the agencies' concerns about deficiencies in banks' valuation of less liquid trading positions, especially in light of the historical focus of the market risk capital rule on a 10-business-day time horizon and a one-tail, 99.0 percent confidence level, which has proved to be inadequate at times to reflect the full extent of the risks of less liquid positions.</P>
          <HD SOURCE="HD3">5. General Requirements for Internal Models</HD>
          <P>
            <E T="03">Model Approval and Ongoing Use Requirements.</E>Under the proposed rule, a bank must receive the prior written approval of its primary Federal supervisor before using any internal model to calculate its market risk capital requirement. The 2006 proposal included a requirement that a bank receive prior written approval from its primary Federal supervisor before extending the use of an approved model to an additional business line or product type. Some commenters raised concerns that this requirement might unduly impede a new product launch pending regulatory approval. The agencies have not included this requirement in the proposed rule. Instead, the proposal requires that a bank promptly notify its primary Federal supervisor when the bank plans to extend the use of a model that the primary Federal supervisor has approved to an additional business line or product type.</P>
          <P>The proposed rule also requires a bank to notify its primary Federal supervisor promptly if it makes any change to its internal models that would result in a material change in the bank's amount of risk-weighted assets for a portfolio of covered positions or when the bank makes any material change to its modeling assumptions. The bank's primary Federal supervisor may rescind its approval, in whole or in part, of the use of any internal model, and determine an appropriate regulatory capital requirement for the covered positions to which the model would apply, if it determines that the model no longer complies with the market risk capital rule or fails to reflect accurately the risks of the bank's covered positions. For example, if adverse market events or other developments reveal that a material assumption in a bank's approved model is flawed, the bank's primary Federal supervisor may require the bank to revise its model assumptions and resubmit the model specifications for review by the supervisor.</P>
          <P>Financial markets evolve rapidly, and internal models that were state-of-the-art at the time they were approved for use in risk-based capital calculations can become less relevant as the risks of covered positions evolve and as the industry develops more sophisticated modeling techniques that better capture material risks. The proposed rule therefore requires a bank to review its internal models periodically, but no less frequently than annually, in light of developments in financial markets and modeling technologies, and to enhance those models as appropriate to ensure that they continue to meet the agencies' standards for model approval and employ risk measurement methodologies that are most appropriate for the bank's covered positions. It is essential that a bank continually improve its models to ensure that its market risk capital requirement reflects the risk of the bank's covered positions. A bank's primary Federal supervisor will closely scrutinize the bank's model review practices as a matter of safety and soundness.</P>
          <P>To support the model review and enhancement requirement discussed above, the agencies are considering imposing a capital supplement in circumstances in which a bank's internal model continues to meet the qualification requirements of the rule, but develops specific shortcomings in risk identification, risk aggregation and representation, or validation. The regulatory capital supplement would reflect the materiality of these shortcomings associated with the bank's current model and could result in a risk-weighted assets surcharge that would apply until such time that the bank enhances its model to the satisfaction of its primary Federal supervisor. For example, the capital supplement could take the form of a model risk multiplier similar to the backtesting multiplier for VaR-type models in section 4 of the proposed rule. Depending on the materiality of the shortcomings, the supervisor could increase the multiplier on any model above three, generally subject to the restriction that the resulting capital requirement not exceed the capital requirement that would apply under the proposed rule's standardized measurement method for specific risk.</P>
          <P>
            <E T="03">Question 4: Under what circumstances should the agencies require a model-specific capital supplement? What criteria could the agencies use to apply capital supplements consistently across banks? Aside from a capital supplement or withdrawal of model approval, how else could the agencies address concerns about outdated models?</E>
          </P>
          <P>
            <E T="03">Risks Reflected in Models.</E>Under the proposed rule, a bank must incorporate its internal models into its risk management process and integrate the internal models used for calculating its VaR-based measure into its daily risk management process. The level of sophistication of a bank's models must be commensurate with the complexity and amount of its covered positions. To measure market risk, a bank's internal models may use any generally accepted modeling approach, including but not limited to variance-covariance models, historical simulations, or Monte Carlo simulations. A bank's internal models must properly measure all material risks in the covered positions to which they are applied. The proposed rule requires that risks arising from less liquid positions and positions with limited price transparency be modeled conservatively under realistic market scenarios. The proposed rule also requires a bank to have a rigorous process for reestimating, reevaluating and updating its models to ensure continued applicability and relevance.</P>
          <P>
            <E T="03">Control, Oversight, and Validation Mechanisms.</E>The proposed rule maintains the current requirement that a bank have a risk control unit that reports directly to senior management and is independent of its business trading units. In addition, the proposed rule provides specific model validation standards that are similar to those in the advanced approaches rules. Specifically, the proposal requires a bank to validate its internal models initially and on an ongoing basis. The validation process must be independent of the internal models' development, implementation, and operation, or the validation process must be subjected to an independent review of its adequacy and effectiveness. The review personnel do not necessarily have to be external to the bank in order to achieve the required independence. A bank should ensure that individuals who perform the review are not biased in their assessment due to their involvement in the development, implementation, or operation of the models.</P>

          <P>Under the proposed rule, validation must include an evaluation of the conceptual soundness of the internal models. This evaluation should include evaluation of empirical evidence and documentation supporting the methodologies used; important model assumptions and their limitations; adequacy and robustness of empirical data used in parameter estimation and model calibration; and evidence of a model's strengths and weaknesses.<PRTPAGE P="1898"/>Validation also must include an ongoing monitoring process that includes a review and verification of processes and the comparison of the bank's model outputs with relevant internal and external data sources or estimation techniques. The results of this comparison provide a valuable diagnostic tool for identifying potential weaknesses in a bank's models. As part of this comparison, the bank should investigate the source of any differences between the model estimates and the relevant internal or external data or estimation techniques and whether the extent of the differences is appropriate.</P>
          <P>Validation of internal models must include an outcomes analysis process that includes backtesting. Consistent with the 2009 revisions, the proposed rule requires a bank's validation process for internal models used to calculate its VaR-based measure to include an outcomes analysis process that includes a comparison of the changes in the bank's portfolio value that would have occurred were end-of-day positions to remain unchanged (therefore, excluding fees, commissions, reserves, net interest income, and intraday trading) with VaR-based measures during a sample period not used in model development.</P>
          <P>The proposed rule expands upon the current market risk rule's stress-testing requirement. Specifically, the proposal requires a bank to stress test the market risk of its covered positions at a frequency appropriate to each portfolio, and in no case less frequently than quarterly. The stress tests must take into account concentration risk, illiquidity under stressed market conditions, and other risks arising from the bank's trading activities that may not be captured adequately in the bank's internal models. For example, it may be appropriate for a bank to include in its stress testing the gapping of prices, one-way markets, nonlinear or deep out-of-the-money products, jumps-to-default, and significant changes in correlation. Relevant types of concentration risk include concentration by name, industry, sector, country, and market. Market concentration occurs when a bank holds a position that represents a concentrated share of the market for a security, and thus requires a longer than usual liquidity horizon to liquidate the position without impacting the market. A bank's primary Federal supervisor would evaluate the robustness and appropriateness of a bank's stress tests through the supervisory review process.</P>
          <P>The proposed rule requires a bank to have an internal audit function independent of business-line management that at least annually assesses the effectiveness of the controls supporting the bank's market risk measurement systems, including the activities of the business trading units and independent risk control unit, compliance with policies and procedures, and the calculation of the bank's measure for market risk. The internal audit function should review the bank's validation processes, including validation procedures, responsibilities, results, timeliness, and responsiveness to findings. Further, the internal audit function should evaluate the depth, scope, and quality of the risk management system review process and conduct appropriate testing to ensure that the conclusions of these reviews are well-founded. At least annually, the internal audit function must report its findings to the bank's board of directors (or a committee thereof).</P>
          <P>
            <E T="03">Internal Assessment of Capital Adequacy.</E>The proposed rule requires that a bank have a rigorous process for assessing its overall capital adequacy in relation to its market risk. The assessment must take into account market concentration and liquidity risks under stressed market conditions, as well as other risks that may not be captured fully in the VaR-based measure.</P>
          <P>
            <E T="03">Documentation.</E>Under the proposal, a bank must document adequately all material aspects of its internal models, the management and valuation of covered positions, its control, oversight, validation and review processes and results, and its internal assessment of capital adequacy. This documentation would facilitate the supervisory review process as well as the bank's internal audit or other review procedures.</P>
          <HD SOURCE="HD3">6. Capital Requirement for Market Risk</HD>

          <P>As under the current rule, the proposed rule requires a bank to calculate its risk-based capital ratio denominator as the sum of its adjusted risk-weighted assets and market risk equivalent assets. To calculate market risk equivalent assets, a bank must multiply its measure for market risk by 12.5. Under the proposed rule, a bank's measure for market risk equals the sum of its VaR-based capital requirement, its stressed VaR-based capital requirement, any specific risk add-ons, any incremental risk capital requirement, any comprehensive risk capital requirement, and any capital requirement for<E T="03">de minimis</E>exposures, each calculated according to the requirements of the proposed rule as discussed further below. No adjustments are permitted to address potential double counting among any of these components of a bank's measure for market risk.</P>
          <P>Also, consistent with the current rule, under the proposed rule a bank's VaR-based capital requirement equals the greater of (i) the previous day's VaR-based measure, or (ii) the average of the daily VaR-based measures for each of the preceding 60 business days multiplied by three, or such higher multiplication factor required based on backtesting results determined according to section 4 of the proposed rule and discussed further below. Similarly, under the proposed rule, a bank's stressed VaR-based capital requirement equals the greater of (i) the most recent stressed VaR-based measure; or (ii) the average of the weekly VaR-based measures for each of the preceding 12 weeks multiplied by three, or such higher multiplication factor as required based on backtesting results determined according to section 4 of the proposed rule. The multiplication factor applicable to the stressed-VaR based measure for purposes of this calculation is based on the backtesting results for its VaR-based measure; there is no separate backtesting requirement for the stressed VaR-based measure for purposes of calculating a bank's measure for market risk.</P>

          <P>The proposed rule requires a bank to include in its measure for market risk any specific risk add-on as required under section 7(c) of the proposed rule, determined using the standardized measurement method described in section 10 of the proposed rule. The proposed rule also requires a bank to include in its measure for market risk any capital requirement for<E T="03">de minimis</E>exposures. Specifically, a bank must add to its measure for market risk the absolute value of the market value of those<E T="03">de minimis</E>exposures that are not captured in the bank's VaR-based measure unless the bank has obtained prior written approval from its primary Federal supervisor to calculate a capital requirement for the<E T="03">de minimis</E>exposures using alternative techniques that appropriately measure the market risk associated with those exposures. With regard to a bank's total risk-based capital numerator, the proposed rule eliminates tier 3 capital and the associated allocation methodologies.</P>
          <P>
            <E T="03">Determination of the Multiplication Factor.</E>The proposed rule modifies the current rule's regulatory backtesting framework for determining the multiplication factor based on the number of backtesting exceptions. Under the current market risk capital rule, a bank must compare its daily VaR-based measure to its actual daily trading profit or loss, which typically includes realized and unrealized gains and losses<PRTPAGE P="1899"/>on portfolio positions as well as fee income and commissions associated with trading activities. Under the proposed rule, each quarter, a bank must compare each of its most recent 250 business days' trading losses (excluding fees, commissions, reserves, intra-day trading, and net interest income) with the corresponding daily VaR-based measure calibrated to a one-day holding period and at a one-tail, 99.0 percent confidence level. The excluded components of trading profit and loss are not modeled as part of the VaR-based measure. Therefore, excluding them from the regulatory backtesting framework will improve the accuracy of the backtesting and provide a better assessment of the bank's internal model. Some commenters on the 2006 proposal raised concerns with this requirement; however, the agencies continue to believe that banks' trading and reporting systems are sufficiently sophisticated to allow this type of backtesting.</P>
          <P>
            <E T="03">Question 5: The agencies request comment on any challenges banks may face in formulating the measure of trading loss as proposed, particularly for smaller portfolios. More specifically, which, if any, of the items to be excluded from a bank's measure of trading loss (fees, commissions, reserves, intra-day trading, or net interest income) present difficulties and what is the nature of such difficulties?</E>
          </P>
          <HD SOURCE="HD3">7. VaR-Based Capital Requirement</HD>
          <P>Consistent with the current rule, section 5 of the proposed rule requires a bank to use one or more internal models to calculate a daily VaR-based measure that reflects general market risk for all covered positions. The daily VaR-based measure also may reflect the bank's specific risk for one or more portfolios of debt or equity positions and must reflect the specific risk for any portfolios of correlation trading positions that are modeled under section 9 of the proposed rule.</P>
          <P>The proposal adds credit spread risk to the list of risk categories required to be captured in a bank's VaR-based measure (that is, in addition to interest rate risk, equity price risk, foreign exchange rate risk, and commodity price risk). The VaR-based measure may incorporate empirical correlations within and across risk categories, provided the bank validates and justifies the reasonableness of its process for measuring correlations. If the VaR-based measure does not incorporate empirical correlations across risk categories, the bank must add the separate measures from its internal models used to calculate the VaR-based measure for the appropriate market risk categories to determine the bank's aggregate VaR-based measure. The proposed rule continues to require models to include risks arising from the nonlinear price characteristics of option positions or positions with embedded optionality.</P>
          <P>Consistent with the 2009 revisions, under the proposed rule, a bank must be able to justify to the satisfaction of its primary Federal supervisor the omission of any risk factors from the calculation of its VaR-based measure that the bank includes in its pricing models. In addition, a bank must demonstrate to the satisfaction of its primary Federal supervisor the appropriateness of any proxies it uses to capture the risks of the bank's actual positions for which such proxies are used.</P>
          <P>
            <E T="03">Quantitative Requirements for VaR-based Measure.</E>The proposed rule includes the same quantitative requirements for the daily VaR-based measure as the current market risk capital rule. These include the one-tail, 99.0 percent confidence level, a ten-business-day holding period, and a historical observation period of at least one year.</P>
          <P>To calculate VaR-based measures using a 10-day holding period, the bank may calculate 10-business-day measures directly, or may convert VaR-based measures using holding periods other than 10 business days to the equivalent of a 10-business-day holding period. A bank that converts its VaR-based measure in this manner must be able to justify the reasonableness of its approach to the satisfaction of its primary Federal supervisor. For example, a bank that computes its VaR-based measure by multiplying a daily VaR amount by the square root of 10 (that is, using the square root of time) should demonstrate that daily changes in portfolio value do not exhibit significant mean reversion, autocorrelation, or volatility clustering.<SU>17</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>17</SU>Using the square root of time assumes that daily portfolio returns are independent and identically distributed (IID). When the IID assumption is violated, the square root of time approximation is not appropriate.</P>
          </FTNT>
          <P>The proposed rule requires a bank's VaR-based measure to be based on data relevant to the bank's actual exposures and of sufficient quality to support the calculation of risk-based capital requirements. The bank must update data sets at least monthly, or more frequently as changes in market conditions or portfolio composition warrant. For banks that use a weighting scheme or other method for identifying the historical observation period, the bank must either: (i) Use an effective observation period of at least one year in which the average time lag of the observations is at least six months; or (ii) demonstrate to its primary Federal supervisor that the method used is more effective than that described in (i) at representing the volatility of the bank's trading portfolio over a full business cycle. In the latter case, a bank must update its data more frequently than monthly and in a manner appropriate for the type of weighting scheme. In general, a bank using a weighting scheme should update its data daily. Because the most recent observations typically are the most heavily weighted it is important to include these observations in the bank's VaR-based measure.</P>
          <P>The proposed rule requires a bank to retain and make available to its primary Federal supervisor model performance information on significant subportfolios. Taking into account the value and composition of a bank's covered positions, the subportfolios must be sufficiently granular to inform a bank and its supervisor about the ability of the bank's VaR model to reflect risk factors appropriately. A bank's primary Federal supervisor must approve the number of subportfolios it uses for subportfolio backtesting. While the proposed rule does not prescribe the basis for determining significant subportfolios, the primary Federal supervisor may consider the bank's evaluation of certain factors such as trading volume, product types and number of distinct traded products, business lines, and number of traders or trading desks.</P>
          <P>The proposed rule requires a bank to retain and make available to its primary Federal supervisor, with no less than a 60 day lag, information for each subportfolio for each business day over the previous two years (500 business days) that includes (i) A daily VaR-based measure for the subportfolio calibrated to a one-tail, 99.0 percent confidence level; (ii) the daily profit or loss for the subportfolio (that is, the net change in price of the positions held in the portfolio at the end of the previous business day); and (iii) the p-value of the profit or loss on each day (that is, the probability of observing a loss greater than reported in (ii) above, based on the model used to calculate the VaR-based measure described in (i) above).</P>

          <P>Daily information on the probability of observing a loss greater than that which occurred on any day is a useful metric for banks and supervisors to assess the quality of a bank's VaR model. For example, if a bank that used a historical simulation VaR model using the most recent 500 business days<PRTPAGE P="1900"/>experienced a loss equal to the second worst day of the 500, it would assign a probability of 0.004 (2/500) to that loss based on its VaR model. Applying this process over a given period provides information about the adequacy of the VaR model's ability to characterize the whole distribution of losses, including information on the size and number of backtesting exceptions. The requirement to create and retain this information at the subportfolio level may help identify particular products or business lines for which the model is not adequately measuring risk.</P>
          <P>
            <E T="03">Question 6: The agencies request comment on what, if any, challenges exist with the proposed subportfolio backtesting requirements described above. How might banks determine significant subportfolios of covered positions that would be subject to these requirements? What basis could be used to determine an appropriate number of subportfolios? Is the p-value a useful statistic for evaluating the efficacy of a bank's VaR model in gauging market risk? What, if any, other statistics should the agencies consider and why?</E>
          </P>
          <P>The current market risk capital rule requires a bank to include in its VaR-based measure only covered positions. In contrast, the proposed rule allows a bank to include term repo-style transactions in its VaR-based measure even though these positions may not meet the definition of a covered position, provided the bank includes all such term repo-style transactions consistently over time. Under the proposed rule, a term repo-style transaction is a repurchase or reverse repurchase transaction, or a securities borrowing or securities lending transaction, including a transaction in which the bank acts as agent for a customer and indemnifies the customer against loss, that has an original maturity in excess of one business day, provided that it meets certain requirements, including being based solely on liquid and readily marketable securities or cash and subject to daily marking-to-market and daily margin maintenance requirements.<SU>18</SU>
            <FTREF/>While repo-style transactions typically are close adjuncts to trading activities, GAAP traditionally has not permitted companies to report them as trading assets or trading liabilities. Repo-style transactions included in the VaR-based measure will continue to be subject to the requirements of the credit risk capital rules for calculating capital for counterparty credit risk.</P>
          <FTNT>
            <P>
              <SU>18</SU>
              <E T="03">See</E>Section 2, “Definitions,” of the proposed rule for a full definition of a term repo-style transaction.</P>
          </FTNT>
          <HD SOURCE="HD3">8. Stressed VaR-based Capital Requirement</HD>
          <P>Under section 6 of the proposed rule, a bank must calculate at least weekly a stressed VaR-based measure using the same internal model(s) used to calculate its VaR-based measure. The stressed VaR-based measure supplements the VaR-based measure, which, due to inherent limitations, proved inadequate in producing capital requirements appropriate to the level of losses incurred at many banks during the financial market crisis that began in mid-2007. The stressed VaR-based measure mitigates the procyclicality of the minimum capital requirements for market risk and contributes to a more appropriate measure of the risks of a bank's covered positions.</P>
          <P>
            <E T="03">Quantitative Requirements for Stressed VaR-based Measure.</E>To determine the stressed VaR-based measure, a bank must use the same model(s) used to calculate its VaR-based measure, but with model inputs calibrated to reflect historical data from a continuous 12-month period that reflects a period of significant financial stress appropriate to the bank's current portfolio. The stressed VaR-based measure must be calculated at least weekly and be no less than the bank's VaR-based measure. The agencies generally expect that a bank's stressed VaR-based measure will be substantially greater than its VaR-based measure.</P>
          <P>The proposed rule requires a bank to have policies and procedures that describe how it determines the period of significant financial stress used to calculate the bank's stressed VaR-based measure, and to be able to provide empirical support for the period used. These policies and procedures must address (i) how the bank links the period of significant financial stress used to calculate the stressed VaR-based measure to the composition and directional bias of the bank's current portfolio; and (ii) the bank's process for selecting, reviewing, and updating the period of significant financial stress used to calculate the stressed VaR-based measure and for monitoring the appropriateness of the 12-month period in light of the bank's current portfolio. The bank must obtain the prior approval of its primary Federal supervisor for, and notify its primary Federal supervisor if the bank makes any material changes to, these policies and procedures. A bank's primary Federal supervisor may require it to use a different period of significant financial stress in the calculation of the bank's stressed VaR-based measure.</P>
          <HD SOURCE="HD3">9. Revised Modeling Standards for Specific Risk</HD>
          <P>The proposed rule more clearly specifies the modeling standards for specific risk and eliminates the current option for a bank to model some but not all material aspects of specific risk for an individual portfolio of debt or equity positions. As under the current market risk capital rule, a bank may use one or more internal models to measure the specific risk of a portfolio of debt or equity positions with specific risk. A bank must also use one or more internal models to measure the specific risk of a portfolio of correlation trading positions with specific risk that are modeled under section 9 of the proposed rule. A bank may not, however, model the specific risk of securitization positions that are not modeled under section 9 of the proposed rule. This treatment addresses regulatory arbitrage opportunities as well as deficiencies in the modeling of securitization positions that became more evident during the course of the financial market crisis that began in mid-2007.</P>
          <P>Under the proposed rule, the internal models must explain the historical price variation in the portfolio, be responsive to changes in market conditions, be robust to an adverse environment, and capture all material aspects of specific risk for the debt and equity positions. Specifically, the proposed revisions require that a bank's internal models capture event risk and idiosyncratic risk; capture and demonstrate sensitivity to material differences between positions that are similar but not identical; and capture and demonstrate sensitivity to changes in portfolio composition and concentrations. If a bank calculates an incremental risk measure for a portfolio of debt or equity positions under section 8 of the proposed rule, the bank is not required to capture default and credit migration risks in its internal models used to measure the specific risk of those portfolios.</P>

          <P>Under the current market risk capital rule, if a bank incorporates specific risk in its internal model but fails to demonstrate to its primary Federal supervisor that its internal model adequately measures all aspects of specific risk for a portfolio of debt and equity positions, the bank is subject to an internal models-based specific risk add-on for that portfolio. In contrast, the proposed rule requires a bank that does not have an approved internal model that captures all material aspects of specific risk for a particular portfolio of<PRTPAGE P="1901"/>debt, equity, or correlation trading positions to use the standardized measurement method (described in section 10 of the proposed rule) to calculate a specific risk add-on for that portfolio. This proposed change reflects the agencies' interest in creating incentives for more robust specific risk modeling. Due to concerns about the ability of a bank to model the specific risk of certain securitization positions, the proposed rule requires a bank to calculate a specific risk add-on under the standardized measurement method for all of its securitization positions that are not correlation trading positions modeled under section 9 of the proposed rule. The agencies note that not all debt, equity, or securitization positions have specific risk (for example, certain interest rate swaps). Under the proposed rule, there is no specific risk capital requirement for positions without specific risk. A bank should have clear policies and procedures for determining whether a position has specific risk.</P>
          <P>While the proposed rule continues to provide for flexibility and a combination of approaches to measure market risk, including the use of different models to measure the general market risk and the specific risk of one or more portfolios of debt and equity positions, the agencies strongly encourage banks to develop and implement models that integrate the measurement of VaR for general market risk and specific risk. A bank's use of a combination of approaches would be subject to supervisory review to ensure that the overall capital requirement for market risk is commensurate with the risks of the bank's covered positions.</P>
          <HD SOURCE="HD3">10. Standardized Specific Risk Capital Requirement</HD>
          <P>The proposed rule requires a bank to calculate a total specific risk add-on for each portfolio of debt and equity positions for which the bank's VaR-based measure does not capture all material aspects of specific risk and for each of its securitization positions that is not modeled under section 9 of the proposed rule. A bank must calculate each specific risk add-on in accordance with the requirements of the proposed rule. The bank must add the total specific risk add-on for each portfolio of positions to the bank's measure for market risk. The specific risk add-on for an individual debt or securitization position that represents purchased credit protection is capped at the market value of the protection.</P>
          <P>For debt, equity, and securitization positions that are derivatives with linear payoffs (for example, futures, equity swaps), a bank must apply a risk weighting factor to the market value of the effective notional amount of the underlying instrument or index portfolio. For debt, equity, and securitization positions that are derivatives with nonlinear payoffs (for example, options, interest rate caps, tranched positions), a bank must apply a risk weighting factor to the market value of the effective notional amount of the underlying instrument or portfolio multiplied by the derivative's delta (that is, the change of the derivative's value relative to changes in the price of the reference exposure). For a standard interest rate derivative, the effective notional amount refers to the apparent or stated notional principal amount. If the contract contains a multiplier or other leverage enhancement, the apparent or stated notional principal amount must be adjusted to reflect the effect of the multiplier or leverage enhancement in order to determine the effective notional amount. A swap must be included as an effective notional position in the underlying debt, equity, or securitization instrument or portfolio, with the receiving side treated as a long position and the paying side treated as a short position. Consistent with the current rules, a bank may net long and short positions (including derivatives) in identical issues or identical indices. A bank may also net positions in depositary receipts against an opposite position in an identical equity in different markets, provided that the bank includes the costs of conversion.</P>
          <P>The proposed rule also expands the recognition of hedging effects for debt and securitization positions. A set of transactions consisting of either a debt position and its credit derivative hedge or a securitization position and its credit derivative hedge has a specific risk add-on of zero if the debt or securitization position is fully hedged by a total return swap (or similar instrument where there is a matching of payments and changes in market value of the position) and there is an exact match between the reference obligation, the maturity, and the currency of the swap and the debt or securitization position.</P>
          <P>If a set of transactions consisting of either a debt position and its credit derivative hedge or a securitization position and its credit derivative hedge does not meet the criteria for no specific risk add-on, the specific risk add-on for the set of transactions is equal to 20.0 percent of the specific risk add-on for the side of the transaction with the higher specific risk add-on, provided that the credit risk of the position is fully hedged by a credit default swap (or similar instrument), and there is an exact match between the reference obligation of the credit derivative hedge and the debt or securitization position, the maturity of the credit derivative hedge and the debt or securitization position, and the currency of the credit derivative hedge and the debt or securitization position. For a set of transactions that consists of either a debt position and its credit derivative hedge or a securitization position and its credit derivative hedge that does not meet the criteria for full offset or the 80.0 percent offset described above (for example, there is mismatch in the maturity of the credit derivative hedge and that of the debt or securitization position), but in which all or substantially all of the price risk has been hedged, the specific risk add-on is equal to the specific risk add-on for the side of the transaction with the larger specific risk add-on.</P>
          <P>
            <E T="03">Debt and Securitization Positions.</E>While most securitization positions are considered debt positions under the current market risk capital rule, the agencies distinguish between securitization positions and debt positions in the proposed rule because of new proposed requirements that are uniquely applicable to securitization positions. Under the proposed rule, the total specific risk add-on for a portfolio of debt or securitization positions is the sum of the specific risk add-ons for individual debt or securitization positions, which are determined by multiplying the absolute value of the current market value of each net long or net short debt or securitization position by an appropriate risk-weighting factor for the position.</P>

          <P>The 2005 revisions to the market risk framework incorporated changes to the standardized measurement method used for calculating the specific risk add-ons for debt positions. For example, the “government” category was expanded to include all sovereign debt, and the specific risk-weighting factor for sovereign debt was changed from zero percent to a range from zero to 12.0 percent based on the external rating of the obligor and the remaining contractual maturity of the debt position. Table 1 below provides an illustrative representation of the specific risk-weighting factors applicable to debt positions in the “government,” “qualifying,” and “other” categories under the market risk framework.<PRTPAGE P="1902"/>
          </P>
          <GPOTABLE CDEF="s50,r100,r100,7.2" COLS="4" OPTS="L2,i1">
            <TTITLE>Table 1—Specific Risk-Weighting Factors for Debt Positions</TTITLE>
            <BOXHD>
              <CHED H="1">Category</CHED>
              <CHED H="1">Illustrative external rating description</CHED>
              <CHED H="1">Remaining contractual maturity</CHED>
              <CHED H="1">Specific risk<LI>(%) weight factor</LI>
              </CHED>
            </BOXHD>
            <ROW>
              <ENT I="01">Government</ENT>
              <ENT>Highest investment grade to second highest investment grade (for example, AAA to AA−)</ENT>
              <ENT/>
              <ENT>0.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>Third highest investment grade to lowest investment grade (for example, A+ to BBB−)</ENT>
              <ENT>Residual term to final maturity 6 months or less</ENT>
              <ENT>0.25</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT>Residual term to final maturity greater than 6 and up to and including 24 months</ENT>
              <ENT>1.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT>Residual term to final maturity exceeding 24 months</ENT>
              <ENT>1.60</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>One category below investment grade to two categories below investment grade (for example, BB+ to B−)</ENT>
              <ENT/>
              <ENT>8.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>More than two categories below investment grade</ENT>
              <ENT/>
              <ENT>12.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>Unrated</ENT>
              <ENT/>
              <ENT>8.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Qualifying</ENT>
              <ENT>Not applicable</ENT>
              <ENT>Residual term to final maturity 6 months or less</ENT>
              <ENT>0.25</ENT>
            </ROW>
            <ROW>
              <ENT I="01" O="xl"/>
              <ENT O="xl"/>
              <ENT>Residual term to final maturity greater than 6 and up to and including 24 months</ENT>
              <ENT>1.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT O="xl"/>
              <ENT>Residual term to final maturity exceeding 24 months</ENT>
              <ENT>1.60</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Other</ENT>
              <ENT>One category below investment grade to two categories below investment grade (for example, BB+ to B−)</ENT>
              <ENT/>
              <ENT>8.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>More than two categories below investment grade, or equivalent based on a bank's internal ratings</ENT>
              <ENT/>
              <ENT>12.00</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>Unrated</ENT>
              <ENT/>
              <ENT>8.00</ENT>
            </ROW>
          </GPOTABLE>
          <P>The 2009 revisions to the market risk framework also incorporated changes to the specific risk-weighting factors under the standardized measurement method for rated securitization and re-securitization positions as well as other treatments for unrated securitization and re-securitization positions. For rated positions, the revisions apply risk weights according to whether the positions' external rating represents a long-term credit rating or a short-term credit rating and generally apply higher risk weights to rated re-securitization positions than to other rated securitization positions. Tables 2 and 3 below provide illustrative representations of the specific risk-weighting factors applicable to rated securitization and re-securitization position under the market risk framework. This treatment was designed to address regulatory arbitrage opportunities as well as deficiencies in the modeling of securitization positions that became more evident during the course of the financial market crisis that began in mid-2007. This revised treatment also assigns a more risk-sensitive capital requirement to securitization positions than applied previously.</P>
          <GPOTABLE CDEF="s100,xs64,16,16" COLS="4" OPTS="L2,i1">
            <TTITLE>Table 2—Long-Term Credit Rating Specific Risk-Weighting Factors for Securitization and Re-Securitization Positions</TTITLE>
            <BOXHD>
              <CHED H="1">Illustrative external rating description</CHED>
              <CHED H="1">Example</CHED>
              <CHED H="1">Securitization exposure (that is not a<LI>resecuritization</LI>
                <LI>exposure) risk-</LI>
                <LI>weighting factor</LI>
                <LI>(%)</LI>
              </CHED>
              <CHED H="1">Resecuritization<LI>exposure risk-</LI>
                <LI>weighting factor</LI>
                <LI>(%)</LI>
              </CHED>
            </BOXHD>
            <ROW>
              <ENT I="01">Highest investment grade rating</ENT>
              <ENT>AAA</ENT>
              <ENT>1.60</ENT>
              <ENT>3.20</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Second-highest investment grade rating</ENT>
              <ENT>AA</ENT>
              <ENT>1.60</ENT>
              <ENT>3.20</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Third-highest investment grade rating</ENT>
              <ENT>A</ENT>
              <ENT>4.00</ENT>
              <ENT>8.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Lowest investment grade rating</ENT>
              <ENT>BBB</ENT>
              <ENT>8.00</ENT>
              <ENT>18.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">One category below investment grade</ENT>
              <ENT>BB</ENT>
              <ENT>28.00</ENT>
              <ENT>52.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Two categories below investment grade</ENT>
              <ENT>B</ENT>
              <ENT>100.00</ENT>
              <ENT>100.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Three categories or more below investment grade</ENT>
              <ENT>CCC</ENT>
              <ENT>100.00</ENT>
              <ENT>100.00</ENT>
            </ROW>
          </GPOTABLE>
          <PRTPAGE P="1903"/>
          <GPOTABLE CDEF="s100,xs32,16,16" COLS="4" OPTS="L2,i1">
            <TTITLE>Table 3—Short-Term Credit Rating Specific Risk-Weighting Factors for Securitization and Re-Securitization Positions</TTITLE>
            <BOXHD>
              <CHED H="1">Illustrative external rating description</CHED>
              <CHED H="1">Example</CHED>
              <CHED H="1">Securitization exposure (that is not a<LI>resecuritization</LI>
                <LI>exposure) risk-</LI>
                <LI>weighting factor</LI>
                <LI>(%)</LI>
              </CHED>
              <CHED H="1">Resecuritization<LI>exposure risk-</LI>
                <LI>weighting factor</LI>
                <LI>(%)</LI>
              </CHED>
            </BOXHD>
            <ROW>
              <ENT I="01">Highest investment grade rating</ENT>
              <ENT>A-1/P-1</ENT>
              <ENT>1.60</ENT>
              <ENT>3.20</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Second-highest investment grade rating</ENT>
              <ENT>A-2/P-2</ENT>
              <ENT>4.00</ENT>
              <ENT>8.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Third-highest investment grade rating</ENT>
              <ENT>A-3/P-3</ENT>
              <ENT>8.00</ENT>
              <ENT>18.00</ENT>
            </ROW>
            <ROW>
              <ENT I="01">All other ratings</ENT>
              <ENT>N/A</ENT>
              <ENT>100.00</ENT>
              <ENT>100.00</ENT>
            </ROW>
          </GPOTABLE>
          <P>As a result of the recent enactment in the United States of the Dodd-Frank Wall Street Reform and Consumer Protection Act<SU>19</SU>
            <FTREF/>(the Act), the agencies may not reference or require reliance on credit ratings in the assessment of the creditworthiness of a security or money market instrument. The Act provides that each Federal agency, after a required review of its regulations, must remove from each of its regulations any reference to or requirement of reliance on credit ratings and substitute a standard of creditworthiness the agency determines is appropriate for the regulation.<SU>20</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>19</SU>
              <E T="03">See</E>Public Law 111-203 (July 21, 2010).</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>20</SU>
              <E T="03">See</E>section 939A of the Act.</P>
          </FTNT>
          <P>The 2005 and 2009 BCBS revisions include provisions that rely on credit ratings for determining the specific risk-weighting factors for debt, securitization, and re-securitization positions. These provisions would need to be revised when implemented in the U.S. in order to conform to the Act. The agencies acknowledge that the specific risk treatment for debt, securitization and re-securitization positions outlined in Tables 1 through 3 would provide a more risk-sensitive treatment for these positions than exists under the current rule; however, pending the agencies' development of appropriate standards of creditworthiness to replace use of credit ratings as required by the Act, the proposed rule retains as a placeholder the current rule's method for determining specific risk add-ons applicable to debt and securitization positions. More specifically, the “government,” “qualifying,” and “other” categories as described in the current market risk capital rule and associated risk-weighting factors would continue to apply to a bank's debt and securitization positions until the agencies develop a substitute standard of creditworthiness to replace reliance on credit ratings. For completeness and to ensure uniformity of regulatory text across the agencies' rules, the proposed rule includes in section 10(b) the current standardized measurement method for these positions. The agencies acknowledge the shortcomings of the current treatment and recognize that it will have to be amended in accordance with the requirements of the Act. To the extent possible, the amended treatment would seek to establish comparable capital requirements for the affected positions in order to ensure international consistency and competitive equity. At the same time, the agencies believe it is important to move forward with the revisions to the market risk rules contained in this proposal.<SU>21</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>21</SU>The agencies also note that certain other provisions of the Act may affect the market risk capital rules. For example, the credit risk retention requirements of the Act may affect whether a securitization position retained by a bank pursuant to the requirements meets the definition of a trading position or a covered position.</P>
          </FTNT>
          <P>When the agencies determine a substitute standard of creditworthiness for external ratings as required by the Act, they intend to incorporate the new standard into their capital rules, including the market risk rule. The agencies are currently reviewing alternative approaches to the use of credit ratings across all of the agencies' regulations and requirements with the goal of establishing a uniform alternative credit-worthiness standard. The agencies have asked for public input on this process through an advance notice of proposed rulemaking (ANPR).<SU>22</SU>
            <FTREF/>The agencies noted in the ANPR that in evaluating any standard of creditworthiness for purpose of determining risk-based capital requirements, the agencies will, to the extent practicable and consistent with the other objectives, consider whether the standard would:</P>
          <FTNT>
            <P>
              <SU>22</SU>75 FR 52283 (August 25, 2010).</P>
          </FTNT>
          <P>• Appropriately distinguish the credit risk associated with a particular exposure within an asset class;</P>
          <P>• Be sufficiently transparent, unbiased, replicable, and defined to allow banking organizations of varying size and complexity to arrive at the same assessment of creditworthiness for similar exposures and to allow for appropriate supervisory review;</P>
          <P>• Provide for the timely and accurate measurement of negative and positive changes in creditworthiness;</P>
          <P>• Minimize opportunities for regulatory capital arbitrage;</P>
          <P>• Be reasonably simple to implement and not add undue burden on banking organizations; and</P>
          <P>• Foster prudent risk management.</P>
          <P>
            <E T="03">Question 7: What specific standards of creditworthiness that meet the agencies' suggested criteria for a creditworthiness standard outlined above should the agencies consider for these positions?</E>
          </P>
          <P>Under the proposed rule, the total specific risk add-on for a portfolio of nth-to-default credit derivatives is the sum of the specific risk add-ons for individual nth-to-default credit derivatives, as computed therein. A bank must calculate a specific risk add-on for each nth-to-default credit derivative position regardless of whether the bank is a net protection buyer or net protection seller.</P>

          <P>For first-to-default credit derivatives, the specific risk add-on is the lesser of (i) the sum of the specific risk add-ons for the individual reference credit exposures in the group of reference exposures, and (ii) the maximum possible credit event payment under the credit derivative contract. Where a bank has a risk position in one of the reference credit exposures underlying a first-to-default credit derivative and this credit derivative hedges the bank's risk position, the bank is allowed to reduce both the specific risk add-on for the reference credit exposure and that part of the specific risk add-on for the credit derivative that relates to this particular reference credit exposure such that its specific risk add-on for the pair reflects the bank's net position in the reference credit exposure. Where a bank has multiple risk positions in reference credit exposures underlying a first-to-default credit derivative, this offset is allowed only for the underlying<PRTPAGE P="1904"/>reference credit exposure having the lowest specific risk add-on.</P>
          <P>For second-or-subsequent-to-default credit derivatives, the specific risk add-on is the lesser of: (i) The sum of the specific risk add-ons for the individual reference credit exposures in the group of reference exposures, but disregarding the (n-1) obligations with the lowest specific risk add-ons; or (ii) the maximum possible credit event payment under the credit derivative contract. For second-or-subsequent-to-default credit derivatives, no offset of the specific risk add-on with an underlying reference credit exposure is allowed under the proposed rule.</P>
          <P>
            <E T="03">Equity Positions.</E>Under the proposed rule, the total specific risk add-on for a portfolio of equity positions is the sum of the specific risk add-ons of the individual equity positions, which are determined by multiplying the absolute value of the current market value of each net long or short equity position by an appropriate risk-weighting factor.</P>
          <P>The proposed rule retains the specific risk add-ons applicable to equity positions under the current market risk capital rule, with one exception. Consistent with the 2009 revisions, the proposed rule eliminates the provision that allows a bank to apply a specific risk-weighting factor of 4.0 to an equity position held in a portfolio that is both liquid and well-diversified. Instead, a bank must multiply the absolute value of the current market value of each net long or short equity position by a risk-weighting factor of 8.0 percent. For equity positions that are index contracts comprising a well-diversified portfolio of equity instruments, the absolute value of the current market value of each net long or short position is multiplied by a risk-weighting factor of 2.0 percent. A portfolio is well-diversified if it contains a large number of individual equity positions, with no single position representing a substantial portion of the portfolio's total market value.</P>
          <P>The proposed rule retains the specific risk treatment in the current market risk capital rule for equity positions arising from futures-related arbitrage strategies where long and short positions are in exactly the same index at different dates or in different market centers, or where long and short positions are in index contracts at the same date in different but similar indices. The proposed rule also retains the current treatment for futures contracts on main indices that are matched by offsetting positions in a basket of stocks comprising the index.</P>
          <P>
            <E T="03">Due Diligence Requirements for Securitization Positions.</E>The proposed rule incorporates requirements from the 2009 revisions that banks perform due diligence on securitization positions. The due diligence requirements apply to all securitization positions and emphasize the need for banks to conduct their own due diligence of borrower creditworthiness, in addition to any use of third-party assessments, and not place undue reliance on external credit ratings.</P>
          <P>In order to meet the proposed due diligence requirements, a bank must be able to demonstrate, to the satisfaction of its primary Federal supervisor, a comprehensive understanding of the features of a securitization position that would materially affect the performance of the bank's securitization position. The bank's analysis must be commensurate with the complexity of the securitization position and the materiality of the position in relation to capital.</P>
          <P>To support the demonstration of its comprehensive understanding, for each securitization position, the bank must conduct and document an analysis of the risk characteristics of a securitization position prior to acquiring the position, considering: (i) Structural features of the securitization that would materially impact the performance of the position, for example, the contractual cash flow waterfall, waterfall-related triggers, credit enhancements, liquidity enhancements, market value triggers, the performance of organizations that service the position, and deal-specific definitions of default; (ii) relevant information regarding the performance of the underlying credit exposure(s), for example, the percentage of loans 30, 60, and 90 days past due; default rates; prepayment rates; loans in foreclosure; property types; occupancy; average credit score or other measures of creditworthiness; average LTV ratio; and industry and geographic diversification data on the underlying exposure(s); (iii) relevant market data of the securitization, for example, bid-ask spreads, most recent sales price and historical price volatility, trading volume, implied market rating, and size, depth and concentration level of the market for the securitization; and (iii) for resecuritization positions, performance information on the underlying securitization exposures, for example, the issuer name and credit quality, and the characteristics and performance of the exposures underlying the securitization exposures. On an on-going basis, but no less frequently than quarterly, the bank must also evaluate, review, and update as appropriate the analysis required above for each securitization position.</P>
          <P>
            <E T="03">Question 8: What, if any, specific challenges are involved with meeting the proposed due diligence requirements and for what types of securitization positions? How might the agencies address these challenges while still ensuring that a bank conducts an appropriate level of due diligence commensurate with the risks of its covered positions? For example, would it be appropriate to scale the requirements according to a position's expected holding period? How would such scaling affect a bank's ability to demonstrate a comprehensive understanding of the risk characteristics of a securitization position? What are the benefits and drawbacks of requiring public disclosures regarding a bank's processes for performing due diligence on its securitization positions?</E>
          </P>
          <P>The agencies are considering alternative methodologies to the standardized measurement method for determining the specific risk capital requirement for securitization positions to better recognize the risk reduction benefits of hedging. Conceptually, such a methodology could recognize some degree of offsetting between positions that reference the same pool of assets but have different levels of seniority, or between positions that reference similar but not identical assets. For example, it could use a formulaic approach to determine a degree of offset between securitization positions that are similar to an index. Inputs to the formula could include factors such as the attachment and detachment points of an individual securitization position, the aggregate capital requirement of its underlying exposures, and the percentage of underlying obligors common to the securitization exposure and the index.</P>
          <P>
            <E T="03">Question 9: What alternative non-models-based methodologies could the agencies use to determine the specific risk add-ons for securitization positions? Please provide specific details on the mechanics of and rationale for any suggested methodology. Please also describe how the methodology conservatively recognizes some degree of hedging benefits, yet captures the basis risk between non-identical positions. To what types of securitization positions would such a methodology apply and why?</E>
          </P>
          <HD SOURCE="HD3">11. Incremental Risk Capital Requirement</HD>

          <P>Under section 8 of the proposed rule, a bank that measures the specific risk of a portfolio of debt positions using internal models must calculate an incremental risk measure for that portfolio using an internal model<PRTPAGE P="1905"/>(incremental risk model). Incremental risk consists of the default risk of a position (that is, the risk of loss on the position upon an event of default (for example, the failure of the obligor to make timely payments of principal or interest), including bankruptcy, insolvency, or similar proceeding) and the credit migration risk of a position (that is, price risk that arises from significant changes in the underlying credit quality of the position).</P>
          <P>With the prior approval of its primary Federal supervisor, a bank may also include portfolios of equity positions in its incremental risk model, provided that it consistently includes such equity positions in a manner that is consistent with how the bank internally measures and manages the incremental risk for such positions at the portfolio level. Default is deemed to occur with respect to any equity position that is included in the bank's incremental risk model upon the default of any debt of the issuer of the equity position. A bank may not include correlation trading positions or securitization positions in its incremental risk model.</P>
          <P>Under the proposed rule, a bank's model to measure the incremental risk of a portfolio of debt positions (and equity positions, if applicable) must meet certain requirements and be approved by the bank's primary Federal supervisor before the bank may use it to calculate its risk-based capital requirement. The model must measure incremental risk over a one-year time horizon and at a one-tail, 99.9 percent confidence level, either under the assumption of a constant level of risk, or under the assumption of constant positions.</P>
          <P>The liquidity horizon of a position is the time that would be required for a bank to reduce its exposure to, or hedge all of the material risks of, the position(s) in a stressed market. The liquidity horizon for a position may not be less than the lower of three months or the contractual maturity of the position.</P>
          <P>A position's liquidity horizon is a key risk attribute for purposes of calculating the incremental risk measure because it puts a bank's overall risk exposure to an actively managed portfolio into context. Positions with longer (that is, less liquid) liquidity horizons are more difficult to hedge and result in more exposure to both default and credit migration risk over any fixed time horizon. In particular, two positions with differing liquidity horizons but exactly the same amount of default risk if held in a static portfolio over a one-year horizon may exhibit significantly different amounts of default risk if held in a dynamic portfolio in which hedging can occur in response to observable changes in credit quality. The position with the shorter liquidity horizon can be hedged more rapidly and with less cost in the event of a change in credit quality, which leads to a different exposure to default risk over a one-year horizon than the position with the longer liquidity horizon.</P>
          <P>A constant level of risk assumption assumes that the bank rebalances, or rolls over, its trading positions at the beginning of each liquidity horizon over a one-year horizon in a manner that maintains the bank's initial risk level. The bank must determine the frequency of rebalancing in a manner consistent with the liquidity horizons of the positions in the portfolio. A constant position assumption assumes that a bank maintains the same set of positions throughout the one-year horizon. If a bank uses this assumption, it must do so consistently across all portfolios for which it models incremental risk. A bank has flexibility in whether it chooses to use a constant risk or constant position assumption in its incremental risk model; however, the agencies expect that the assumption will remain fairly constant once selected. As with any material change to modeling assumptions, the proposed rule requires a bank must promptly notify its primary Federal supervisor if the bank changes from a constant risk to a constant position assumption or vice versa. Further, to the extent a bank estimates a comprehensive risk measure under section 9 of the proposed rule, the bank's selection of a constant position or a constant risk assumption must be consistent between the bank's incremental risk model and comprehensive risk model. Similarly, the bank's treatment of liquidity horizons must be consistent between a bank's incremental risk model and comprehensive risk model.</P>
          <P>The proposed rule requires a bank's incremental risk model to meet the conditions described below. The model must recognize the impact of correlations between default and credit migration events among obligors. In particular, the existence of an aggregate, economy-wide credit cycle implies some degree of correlation between the default and credit migration events across different issuers. The degree of correlation between default and credit migration events of different issuers may also depend on other issuer attributes such as industry sector or region of domicile. The model must also reflect the effect of issuer and market concentrations, as well as concentrations that can arise within and across product classes during stressed conditions.</P>
          <P>The bank's incremental risk model must reflect netting only of long and short positions that reference the same financial instrument and must also reflect any material mismatch between a position and its hedge. Examples of such mismatches include maturity mismatches as well as mismatches between an underlying position and its hedge, (for example, the use of an index position to hedge a single name security).</P>
          <P>The bank's incremental risk model must also recognize the effect that liquidity horizons have on hedging strategies. When a bank's hedging strategy requires continual rebalancing of the hedge position, the constraints on rebalancing imposed by the liquidity horizon of the hedge must be recognized. As an example, if a position is being hedged with an instrument with a liquidity horizon of three months, no rebalancing of the hedge can occur within a three month period. Accordingly, any divergence in the value of the position and its hedge that occurs because the hedge cannot be rebalanced within the three month liquidity horizon must be recognized. Moreover, in order to reflect the effect of hedging in the incremental risk measure, the bank must (i) Choose to model the rebalancing of the hedge consistently over the relevant set of trading positions; (ii) demonstrate that the inclusion of rebalancing results in a more appropriate risk measurement; (iii) demonstrate that the market for the hedge is sufficiently liquid to permit rebalancing during periods of stress; and (iv) capture in the incremental risk model any residual risks arising from such hedging strategies.</P>
          <P>The incremental risk model must reflect the nonlinear impact of options and other positions with material nonlinear behavior with respect to default and credit migration changes. In light of the one-year horizon of the incremental risk measure and the extremely high confidence level required, it is important that nonlinearities be explicitly recognized. Price changes resulting from defaults or credit migrations can be large and the resulting nonlinear behavior of the position can be material. The bank's incremental risk model must also maintain consistency with the bank's internal risk management methodologies for identifying, measuring, and managing risk.</P>

          <P>A bank that calculates an incremental risk measure under section 8 of the proposed rule must calculate its incremental risk capital requirement at<PRTPAGE P="1906"/>least weekly. This capital requirement is the greater of: (i) The average of the incremental risk measures over the previous 12 weeks; or (ii) the most recent incremental risk measure.</P>
          <HD SOURCE="HD3">12. Comprehensive Risk Capital Requirement</HD>
          <P>Under section 9 of the proposed rule, with its primary Federal supervisor's prior approval, a bank may measure all material price risks of one or more portfolios of correlation trading positions (comprehensive risk measure) using a model (comprehensive risk model). If the bank uses a comprehensive risk model for a portfolio of correlation trading positions, the bank must also measure the specific risk of that portfolio using internal models that meet the requirements in section 7(b) of the proposed rule. If the bank does not use a comprehensive risk model to calculate the price risk of a portfolio of correlation trading positions, it must calculate a specific risk add-on for the portfolio under section 7(c) of the proposed rule, determined using the standardized measurement method for specific risk described in section 10 of the proposed rule.</P>
          <P>A bank's comprehensive risk model must meet several requirements under the proposed rule. The model must measure comprehensive risk (that is, all price risk) consistent with a one-year time horizon and at a one-tail, 99.9 percent confidence level, under the assumption of either a constant level of risk or constant positions. As mentioned under the incremental risk measure discussion, while a bank has flexibility in whether it chooses to use a constant risk or constant position assumption, the agencies expect that the assumption will remain fairly constant once selected. The bank's selection of a constant position assumption or a constant risk assumption must be consistent between the bank's comprehensive risk model and its incremental risk model. Similarly, the bank's treatment of liquidity horizons must be consistent between the bank's comprehensive risk model and its incremental risk model.</P>
          <P>The proposed rule requires that a bank's comprehensive risk model capture all material price risk of included positions, including, but not limited to: (i) The risk associated with the contractual structure of cash flows of the position, its issuer, and its underlying exposures (for example, the risk arising from multiple defaults, including the ordering of defaults, in tranched products); (ii) credit spread risk, including nonlinear price risks; (iii) volatility of implied correlations, including nonlinear price risks such as the cross-effect between spreads and correlations; (iv) basis risks (for example, the basis between the spread of an index and the spread on its constituents and the basis between implied correlation of an index tranche and that of a bespoke tranche); (v) recovery rate volatility as it relates to the propensity for recovery rates to affect tranche prices; and (vi) to the extent the comprehensive risk measure incorporates benefits from dynamic hedging, the static nature of the hedge over the liquidity horizon.</P>
          <P>The risks above have been identified as risks that are particularly important for correlation trading positions; however, the comprehensive risk model is intended to capture all material price risks related to those correlation trading positions that are included in the comprehensive risk model. Accordingly, additional risks that are not explicitly discussed above but are a material source of price risk must be included in the comprehensive risk model.</P>
          <P>The proposed rule also requires that a bank have sufficient market data to ensure that it fully captures the material price risks of the correlation trading positions in its comprehensive risk measure. Moreover, the bank must be able to demonstrate that its model is an appropriate representation of comprehensive risk in light of the historical price variation of its correlation trading positions. The agencies will scrutinize the positions a bank identifies as correlation trading positions and will also review whether the correlation trading positions have sufficient market data available to support reliable modeling of material risks. If there is insufficient market data to support reliable modeling for certain positions (such as new products), the agencies may require the bank to exclude these positions from the comprehensive risk model and, instead, require the bank to calculate specific risk add-ons for these positions under the standardized measurement method for specific risk. Again, the proposed rule requires a bank to promptly notify its primary Federal supervisor if the bank plans to extend the use of a model that has been approved by the supervisor to an additional business line or product type.</P>
          <P>In addition to these requirements, a bank must at least weekly apply to its portfolio of correlation trading positions a set of specific, supervisory stress scenarios that capture changes in default rates, recovery rates, and credit spreads; correlations of underlying exposures; and correlations of a correlation trading position and its hedge. A bank must retain and make available to its primary supervisor the results of the supervisory stress testing, including comparisons with the capital requirements generated by the bank's comprehensive risk model. A bank also must promptly report to its primary Federal supervisor any instances where the stress tests indicate any material deficiencies in the comprehensive risk model.</P>
          <P>The agencies are evaluating the appropriate bases for supervisory stress scenarios to be applied to a bank's portfolio of correlation trading positions. There are inherent difficulties in prescribing stress scenarios that would be universally applicable and relevant across all banks and across all products contained in banks' correlation trading portfolios. The agencies believe a level of comparability is important for assessing the sufficiency and appropriateness of banks' comprehensive risk models, but also recognize that specific scenarios may not be relevant for certain products or for certain modeling approaches. The agencies are considering various options for stress scenarios, including an approach that would involve specifying stress scenarios based on credit spread shocks to certain correlation trading positions (for example, single-name CDSs, CDS indexes, index tranches), which may replicate historically observed spreads. Another approach would require a bank to calibrate its existing valuation model to certain specified stress periods by adjusting credit-related risk factors to reflect a given stress period. The credit-related risk factors, as adjusted, would then be used to revalue the bank's correlation trading portfolio under one or more stress scenarios.</P>
          <P>
            <E T="03">Question 10: What are the benefits and drawbacks of the supervisory stress scenario requirements described above and what other specific stress scenario approaches for the correlation trading portfolio should the agencies consider? For which products and model types are widely applicable stress scenarios most appropriate, and for which product and model types is a more tailored stress scenario most appropriate? What other stress scenario approaches could consistently reflect the risks of the entire portfolio of correlation trading positions?</E>
          </P>

          <P>The agencies have identified prudential challenges associated with relying solely on banks' comprehensive risk models for determining risk-based capital requirements for correlation trading positions. For example, a bank's ability to perform robust validation of<PRTPAGE P="1907"/>its comprehensive risk model using standard backtesting methods is limited in light of the proposed requirements for the model to measure potential losses on correlation trading positions due to all price risk at a one-year time horizon and high-percentile confidence level. As a result, banks will need to use indirect model validation methods, such as stress tests, scenario analysis or other methods to assess their models. The agencies anticipate that banks' comprehensive risk model validation approaches will evolve over time; however, to address near-term modeling challenges while still giving consideration to sound risk management practices, the agencies are proposing a floor on the modeled correlation trading position capital requirements in the form of a capital surcharge as described below.</P>
          <P>A bank approved to measure comprehensive risk for one or more portfolios of correlation trading positions must calculate at least weekly a comprehensive risk measure. The comprehensive risk measure equals the sum of the output from the bank's approved comprehensive risk model plus a surcharge on the bank's modeled correlation trading positions. The agencies propose setting the surcharge equal to 15.0 percent of the total specific risk add-on that would apply to the bank's modeled correlation trading positions under the standardized measurement method for specific risk in section 10 of the proposed rule.</P>
          <P>The agencies propose that banks initially be required to calculate the comprehensive risk measure under the surcharge approach while banks and supervisors gain experience with the banks' comprehensive risk models. Over time, with approval from its primary Federal supervisor, a bank may be permitted to use a floor approach to calculate its comprehensive risk measure as the greater of: (1) The output from the bank's approved comprehensive risk model; or (2) 8.0 percent of the total specific risk add-on that would apply to the bank's modeled correlation trading positions under the standardized measurement method for specific risk, provided the bank has met the comprehensive risk modeling requirements in the proposed rule for a period of at least one year and can demonstrate the effectiveness of its comprehensive risk model through the results of ongoing validation efforts, including robust benchmarking. Such results may incorporate a comparison of the banks' internal model results to those from an alternative model for certain portfolios and other relevant data. The agencies may also consider a benchmarking approach that uses banks' internal models to determine capital requirements for a portfolio specified by the supervisors to allow for a relative assessment of models across banks. A bank's primary Federal supervisor will monitor the appropriateness of the floor approach on an ongoing basis and may rescind its approval of this approach if it determines that the bank's comprehensive risk model may not sufficiently reflect the risks of the bank's modeled correlation trading positions.</P>
          <P>The agencies believe the proposed approach provides a prudential backstop on modeled capital requirements as well as appropriate incentives for ongoing model improvement. Another potential approach would be a stress-test based floor that would, for instance, require a bank to value its correlation trading positions using prescribed instantaneous price and correlation shocks in the models it uses to price its correlation trading positions. For example, such a floor could require a bank's comprehensive risk capital requirement to be at least as great as the largest loss the bank would experience for its correlation trading positions under a scenario of instantaneous price changes for the underlying positions within a range of plus and minus 15.0 percent combined with instantaneous correlation changes within a range of plus or minus 5.0 percent.</P>
          <P>
            <E T="03">Question 11: What, if any, specific challenges exist with respect to the proposed modeling requirements for correlation trading positions? What additional criteria and benchmarking methods should the agencies consider that would provide an objective basis for evaluating whether to allow a bank to apply a lower surcharge percentage in calculating its comprehensive risk measure? What are the advantages and disadvantages of the proposed floor approach and the other potential floor approaches described above? What other alternatives should the agencies consider to address the uncertainties identified above while ensuring safe and sound risk-based capital requirements for correlation trading positions?</E>
          </P>
          <P>A bank that calculates a comprehensive risk measure under section 9 of the proposed rule must calculate its comprehensive risk capital requirement at least weekly. This capital requirement is the greater of (i) the average of the comprehensive risk measures over the previous 12 weeks; or (ii) the most recent comprehensive risk measure. Separate from the proposed requirements for calculating a comprehensive risk measure, as discussed previously, the proposed rule contains an explicit reservation of authority providing that a bank's primary Federal supervisor may require a bank to assign a different risk-based capital requirement than would otherwise apply to a covered position or portfolio of covered positions that better reflects the risk of the position or portfolio. For example, regardless of a modeled capital requirement, a primary Federal supervisor may require a bank to increase its risk-weighted asset amount for correlation trading positions to ensure that it reflects the risk to which the bank is exposed. Because banks' comprehensive risk models use many different methodologies, there is no uniform appropriate supervisory adjustment to risk-weighted assets. An adjustment may take the form of a multiplier, a floor, a fixed add-on, or another adjustment consistent with the risk of the portfolio and the bank's modeling practices.</P>
          <HD SOURCE="HD3">13. Disclosure Requirements</HD>
          <P>The proposed rule imposes disclosure requirements designed to increase transparency and improve market discipline on the top-tier consolidated legal entity that is subject to the market risk capital rule. The disclosure requirements, discussed further below, include a breakdown of certain components of a bank's market risk capital requirement, information on a bank's modeling approaches, and qualitative and quantitative disclosures relating to a bank's securitization activities.</P>
          <P>The agencies recognize the importance of market discipline in encouraging sound risk management practices and fostering financial stability. With enhanced information, market participants can better evaluate a bank's risk management performance, earnings potential, and financial strength. Many of the proposed disclosure requirements reflect information already disclosed publicly by the banking industry. A bank is encouraged, but not required, to make these disclosures in a central location on its web site.</P>

          <P>Consistent with the advanced approaches rules, the proposed rule requires a bank to comply with the disclosure requirements of section 11 of the proposed rule unless it is a consolidated subsidiary of another depository institution or bank holding company that is subject to the disclosure requirements. A bank subject to section 11 is required to adopt a formal disclosure policy approved by its board of directors that addresses the bank's approach for determining the disclosures it makes. The policy must<PRTPAGE P="1908"/>address the associated internal controls and disclosure controls and procedures. The board of directors and senior management must ensure that appropriate verification of the bank's disclosures takes place and that effective internal controls and disclosure controls and procedures are maintained. One or more senior officers is required to attest that the disclosures meet the requirements of the proposed rule, and the board of directors and senior management are responsible for establishing and maintaining an effective internal control structure over financial reporting, including the information required under section 11 of the proposed rule.</P>
          <P>The proposed rule requires a bank, at least quarterly, to disclose publicly for each portfolio of covered positions (i) The high, low, median, and mean VaR-based measures over the reporting period and the VaR-based measure at period-end; (ii) the high, low, median, and mean stressed VaR-based measures over the reporting period and the stressed VaR-based measure at period-end; (iii) the high, low, median, and mean incremental risk capital requirements over the reporting period and the incremental risk capital requirement at period-end; (iv) the high, low, median, and mean comprehensive risk capital requirements over the reporting period and the comprehensive risk capital requirement at period-end; (v) separate measures for interest rate risk, credit spread risk, equity price risk, foreign exchange rate risk, and commodity price risk used to calculate the VaR-based measure; and (vi) a comparison of VaR-based measures with actual results and an analysis of important outliers. In addition, the bank must publicly disclose the following information at least quarterly: (i) The aggregate amount of on-balance sheet and off-balance sheet securitization positions by exposure type; and (ii) the aggregate amount of correlation trading positions.</P>
          <P>A bank is required to make qualitative disclosures at least annually, or more frequently in the event of material changes, of the following information for each portfolio of covered positions: (i) The composition of material portfolios of covered positions; (ii) the bank's valuation policies, procedures, and methodologies for covered positions including, for securitization positions, the methods and key assumptions used for valuing such positions, any significant changes since the last reporting period, and the impact of such change; (iii) the characteristics of its internal models, including, for the bank's incremental risk capital requirement and the comprehensive risk capital requirement, the approach used by the bank to determine liquidity horizons; the methodologies used to achieve a capital assessment that is consistent with the required soundness standard; and the specific approaches used in the validation of these models; (iv) a description of its approaches for validating the accuracy of its internal models and modeling processes; (v) a description of the stress tests applied to each market risk category; (vi) the results of a comparison of the bank's internal estimates with actual outcomes during a sample period not used in model development; (vii) the soundness standard on which its internal capital adequacy assessment is based, including a description of the methodologies used to achieve a capital adequacy assessment that is consistent with the soundness standard and the requirements of the market risk capital rule; and (viii) a description of the bank's processes for monitoring changes in the credit and market risk of securitization positions, including how those processes differ for resecuritization positions; and (ix) a description of the bank's policy governing the use of credit risk mitigation to mitigate the risks of securitization and resecuritization positions.</P>
          <P>
            <E T="03">Question 12: The agencies seek comment on the effectiveness of the proposed disclosure requirements. What, if any, changes to these requirements would make the proposed disclosures more effective in promoting market discipline?</E>
          </P>
          <HD SOURCE="HD1">III. Regulatory Flexibility Act Analysis</HD>
          <P>The Regulatory Flexibility Act, 5 U.S.C. 601<E T="03">et seq.</E>(RFA), generally requires that, in connection with a notice of proposed rulemaking, an agency prepare and make available for public comment an initial regulatory flexibility analysis that describes the impact of a proposed rule on small entities.<SU>23</SU>
            <FTREF/>Under regulations issued by the Small Business Administration,<SU>24</SU>
            <FTREF/>a small entity includes a commercial bank or bank holding company with assets of $175 million or less (a small banking organization). As of June 30, 2010, there were approximately 2,561 small bank holding companies, 690 small national banks, 400 small state member banks, and 2,706 small state nonmember banks.</P>
          <FTNT>
            <P>
              <SU>23</SU>
              <E T="03">See</E>5 U.S.C. 603(a).</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>24</SU>
              <E T="03">See</E>13 CFR 121.201.</P>
          </FTNT>
          <P>The proposed rule would apply only if the bank holding company or bank has aggregated trading assets and trading liabilities equal to 10 percent or more of quarter-end total assets, or $1 billion or more. No small banking organizations satisfy these criteria. Therefore, no small entities would be subject to this rule.</P>
          <HD SOURCE="HD1">IV. OCC Unfunded Mandates Reform Act of 1995 Determination</HD>
          <P>The Unfunded Mandates Reform Act of 1995 (UMRA) requires Federal agencies to prepare a budgetary impact statement before promulgating a rule that includes a Federal mandate that may result in the expenditure by state, local, and tribal governments, in the aggregate, or by the private sector of $100 million or more (adjusted annually for inflation) in any one year. The current inflation-adjusted expenditure threshold is $126.4 million. If a budgetary impact statement is required, section 205 of the UMRA also requires an agency to identify and consider a reasonable number of regulatory alternatives before promulgating a rule.</P>
          <P>In conducting the regulatory analysis, UMRA requires each Federal agency to provide:</P>
          <P>• The text of the draft regulatory action, together with a reasonably detailed description of the need for the regulatory action and an explanation of how the regulatory action will meet that need;</P>
          <P>• An assessment of the potential costs and benefits of the regulatory action, including an explanation of the manner in which the regulatory action is consistent with a statutory mandate and, to the extent permitted by law, promotes the President's priorities and avoids undue interference with State, local, and tribal governments in the exercise of their governmental functions;</P>
          <P>• An assessment, including the underlying analysis, of benefits anticipated from the regulatory action (such as, but not limited to, the promotion of the efficient functioning of the economy and private markets, the enhancement of health and safety, the protection of the natural environment, and the elimination or reduction of discrimination or bias) together with, to the extent feasible, a quantification of those benefits;</P>

          <P>• An assessment, including the underlying analysis, of costs anticipated from the regulatory action (such as, but not limited to, the direct cost both to the government in administering the regulation and to businesses and others in complying with the regulation, and any adverse effects on the efficient functioning of the economy, private markets (including productivity, employment, and competitiveness), health, safety, and the natural environment), together with, to the<PRTPAGE P="1909"/>extent feasible, a quantification of those costs; and</P>
          <P>• An assessment, including the underlying analysis, of costs and benefits of potentially effective and reasonably feasible alternatives to the planned regulation, identified by the agencies or the public (including improving the current regulation and reasonably viable nonregulatory actions), and an explanation why the planned regulatory action is preferable to the identified potential alternatives.</P>
          <P>• An estimate of any disproportionate budgetary effects of the Federal mandate upon any particular regions of the nation or particular State, local, or tribal governments, urban or rural or other types of communities, or particular segments of the private sector.</P>
          <P>• An estimate of the effect the rulemaking action may have on the national economy, if the OCC determines that such estimates are reasonably feasible and that such effect is relevant and material.</P>
          <HD SOURCE="HD2">A. The Need for the Regulatory Action</HD>
          <P>The proposed rule would modify the current market risk capital rule by adjusting the minimum risk-based capital calculation and adding public disclosure requirements. The proposed rule would also (1) modify the definition of covered positions to include assets that are in the trading book and held with the intent to trade; (2) introduce new requirements for the identification of trading positions and the management of covered positions; and (3) require banks to have clearly defined policies and procedures for actively managing all covered positions, for the prudent valuation of covered positions and for specific internal model validation standards. The proposed rule will generally apply to any bank with aggregate trading assets and liabilities that are at least 10 percent of total assets or at least $1 billion. These thresholds are the same as those currently used to determine applicability of the market risk rule.</P>
          <P>Under current rules, the measure for market risk is as follows:<SU>25</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>

              <SU>25</SU>The following are the components of the current Market Risk Measure.<E T="03">Value-at-Risk (VaR)</E>is an estimate of the maximum amount that the value of one or more positions could decline due to market price or rate movements during a fixed holding period within a stated confidence interval. Specific risk is the risk of loss on a position that could result from factors other than broad market movements and includes event risk, default risk, and idiosyncratic risk. There may also be a capital requirement for<E T="03">de minimis</E>exposures, if any, that are not included in the bank's VaR models.</P>
          </FTNT>
          

          <FP SOURCE="FP-2">Market Risk Measure = (Value-at-Risk based capital requirement) + (Specific risk capital requirement) + (Capital requirement for<E T="03">de minimis</E>exposures)</FP>
          
          <P>Under the proposed rule, the new market risk measure would be as follows (new risk measure components are underlined):</P>
          

          <FP SOURCE="FP-2">New Market Risk Measure = (Value-at-Risk based capital requirement) + (<E T="03">Stressed Value-at-Risk based capital requirement</E>) + (Specific risk capital charge) + (<E T="03">Incremental risk capital requirement</E>) + (<E T="03">Comprehensive risk capital requirement</E>) + (Capital charge for<E T="03">de minimis</E>exposures)</FP>
          
          <P>The Basel Committee and the Federal banking agencies designed the new components of the market risk measure to capture key risks overlooked by the current market risk measure.</P>
          <HD SOURCE="HD2">B. Cost-Benefit Analysis of the Proposed Rule</HD>
          <HD SOURCE="HD3">1. Organizations Affected by the Proposed Rule<SU>26</SU>
            <FTREF/>
          </HD>
          <FTNT>
            <P>
              <SU>26</SU>Unless otherwise noted, the population of banks used in this analysis consists of all FDIC-insured national banks and uninsured national bank and trust companies. Banking organizations are aggregated to the top holding company level.</P>
          </FTNT>
          <P>According to September 30, 2010, Call Report data, 16 national banking organizations<SU>27</SU>
            <FTREF/>had trading assets and liabilities that are at least 10 percent of total assets or at least $1 billion.</P>
          <FTNT>
            <P>
              <SU>27</SU>A national banking organization is any bank holding company with a subsidiary national bank.</P>
          </FTNT>
          <HD SOURCE="HD3">2. Impact of the Proposed Rule</HD>
          <P>The key benefits of the proposed rule are the following qualitative benefits:</P>
          <P>• Enhances sensitivity to market risk,</P>
          <P>• Enhances modeling requirements consistent with advances in risk management,</P>
          <P>• Better captures trading positions for which market risk capital treatment is appropriate,</P>
          <P>• Increases transparency through enhanced market disclosures.</P>
          <P>• Increased market risk capital should lower the probability of catastrophic losses to the bank occurring because of market risk.</P>
          <P>• Modified requirements should reduce the procyclicality of market risk capital.</P>
          <P>We derive our estimates of the proposed rule's effect on the market risk measure from the third trading book impact study conducted by the Basel Committee on Banking Supervision in 2009 and additional estimates of the capital requirement for standardized securitization exposures and correlation trading positions.<SU>28</SU>
            <FTREF/>Based on these two assessments, we estimate that the market risk measure will increase 300 percent on average. The market risk measure itself acts as an estimate of the minimum regulatory capital requirement for an adequately capitalized bank. Thus, quadrupling the market risk measure suggests that minimum required capital will increase by approximately $50.7 billion under the proposed rule. These new capital requirements would lead banks to deleverage and lose the tax advantage of debt. We estimate that the loss of these tax benefits would be approximately $334 million per year.</P>
          <FTNT>
            <P>

              <SU>28</SU>The report, “Analysis of the third trading book impact study”, is available at<E T="03">http://www.bis.org/publ/bcbs163.htm</E>. The study gathered data from 43 banks in 10 countries, including six banks from the United States.</P>
          </FTNT>

          <P>We estimate that new disclosure requirements and the implementation of calculations for the new market risk measures may involve some additional system costs, but because the proposed rule will only affect institutions already subject to the current market risk rule we expect these additional system costs to be<E T="03">de minimis.</E>We do not anticipate that the proposed rule will create significant additional administrative costs for the OCC. Based on our assessment of the capital costs of the proposed rule; we estimate that the total cost of the proposed rule will be approximately $334 million in 2010 dollars over one year.</P>
          <HD SOURCE="HD2">C. Comparison Between Proposed Rule and Baseline</HD>
          <P>Under the baseline scenario, the current market risk rule would continue to apply. Thus, in the baseline scenario, required market risk capital would remain at current levels and there would be no additional cost associated with adding capital. However, the benefits of increased sensitivity to market risk, increased transparency, the improved targeting of trading positions, reduced procyclicality of market risk capital, and the protective advantages of additional capital would be lost under the baseline scenario.</P>
          <HD SOURCE="HD2">D. Comparison Between Proposed Rule and Alternatives</HD>
          <P>The Unfunded Mandates Reform Act of 1995 (UMRA) requires a comparison between the proposed rule and reasonable alternatives. In this regulatory impact analysis, we compare the proposed rule with two alternatives that modify the size thresholds for the rule.</P>
          <HD SOURCE="HD3">Assessment of Alternative A</HD>

          <P>Under Alternative A, we consider a rule that has the same provisions as the<PRTPAGE P="1910"/>proposed rule, but we alter the rule's trading book size threshold. Because trading assets and liabilities are concentrated in six or seven institutions, modest changes in the size thresholds have little impact on the dollar volume of trading assets affected by the market risk rule and thus little impact on the estimated cost of the rule. Changing the size threshold does affect the number of institutions affected by the rule, which suggests that the banking agencies' systemic concerns could play a role in determining the appropriate size threshold for applicability of the market risk rule.</P>
          <HD SOURCE="HD3">Assessment of Alternative B</HD>

          <P>Under Alternative B, we consider a rule that has the same provisions as the proposed rule, but we change the condition of the size thresholds from “or” to “and”. With this change, the proposed rule would apply to institutions that have $1 billion or more in trading assets and liabilities<E T="03">and</E>a trading book to asset ratio of at least 10 percent. Making the applicability of the market risk rule contingent on meeting both size thresholds would reduce the number of banks affected by the rule to four using the current thresholds of $1 billion and 10 percent. In order for the alternative B rule to apply to the same number of institutions as the current rule, the alternative's joint condition would have to be comparable to thresholds of between $500 million and $1 billion in the trading book and a 1 percent trading-book-to-assets ratio. However, under this alternative the list of the 16 institutions subject to the rule would change slightly. Not surprisingly, as this joint threshold alternative could excuse some institutions with larger trading books, the estimated cost of the alternative rule does decrease with the number of institutions affected by the rule.</P>
          <HD SOURCE="HD2">E. Overall Impact of Proposed Rule, Baseline and Alternatives</HD>
          <P>Under our baseline scenario, which reflects the current application of the market risk rule, a market risk capital charge of approximately $16.9 billion applies to 16 national banks. Under the proposed rule, this capital charge would continue to apply to the same 16 banks but the capital charge would likely quadruple. We estimate that the cost of this additional capital would be approximately $334 million per year in 2010 dollars.</P>
          <P>Our alternatives examine the impact of a market risk rule that uses different size thresholds in order to determine which institutions are subject to the rule. With alternative A we consider altering the $1 billion trading book threshold used currently and maintained under the proposed rule. Although varying the size threshold changed the number of institutions affected by the rule, the overall capital cost of the rule did not significantly change. This reflects the high concentration of trading assets and liabilities in seven banks with over $15 billion in their trading books as of September 30, 2010. As long as the proposed rule applies to these seven institutions, the additional required capital and its corresponding cost will not change considerably.</P>

          <P>Alternative B did affect both the number of institutions subject to the proposed rule and the cost of the proposed rule by limiting the market risk rule to institutions that meet both size criteria,<E T="03">i.e.,</E>a $1 billion trading book and a trading-book-to-assets ratio of at least 10 percent. Only four national banks currently meet both of these criteria, and applying the proposed rule to these institutions would require an additional $36.0 billion in market risk capital at a cost of approximately $237 million. Clearly, the estimated cost of the proposed rule would fall if the size thresholds determining applicability of the market risk rule were to increase. However, the current size thresholds, which continue to apply under the proposed rule, capture those institutions that the regulatory agencies believe should be subject to market risk capital rules. The proposed rule changes covered positions, disclosure requirements, and methods relating to calculating the market risk measure. These changes achieve the important objectives of enhancing the banking system's sensitivity to market risk, increases transparency of the trading book and market risk, and better captures trading positions for which market risk capital treatment is appropriate. The proposed rule carries over the current thresholds used to determine the applicability of the market risk rule. The banking agencies have determined that these size thresholds capture the appropriate institutions; those most exposed to market risk.</P>
          <P>The large increase in required market risk capital, which we estimate to be approximately $51 billion under the proposed rule, will provide a considerable buttress to the capital position of institutions subject to the market risk rule. This additional capital should dramatically lower the likelihood of catastrophic losses from market risk occurring at these institutions, which will enhance the safety and soundness of these institutions, the banking system, and world financial markets. Although there is some concern regarding the burden of the proposed increase in market risk capital and the effect this could have on bank lending, in the OCC's opinion, the proposed rule offers a better balance between costs and benefits than either the baseline or the alternatives.</P>
          <P>The OCC does not expect the revised risk-based capital guidelines to have any disproportionate budgetary effect on any particular regions of the nation or particular State, local, or tribal governments, urban or rural or other types of communities, or particular segments of the private sector.</P>
          <HD SOURCE="HD1">V. Paperwork Reduction Act</HD>
          <HD SOURCE="HD2">A. Request for Comment on Proposed Information Collection</HD>
          <P>In accordance with the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3521), the agencies may not conduct or sponsor, and the respondent is not required to respond to, an information collection unless it displays a currently valid Office of Management and Budget (OMB) control number. The information collection requirements contained in this joint notice of proposed rulemaking have been submitted by the OCC and FDIC to OMB for review and approval under section 3506 of the PRA and section 1320.11 of OMB's implementing regulations (5 CFR part 1320). The Board reviewed the proposed rule under the authority delegated to the Board by OMB.</P>
          <P>Comments are invited on:</P>
          <P>(a) Whether the collection of information is necessary for the proper performance of the agencies' functions, including whether the information has practical utility;</P>
          <P>(b) The accuracy of the estimates of the burden of the information collection, including the validity of the methodology and assumptions used;</P>
          <P>(c) Ways to enhance the quality, utility, and clarity of the information to be collected;</P>
          <P>(d) Ways to minimize the burden of the information collection on respondents, including through the use of automated collection techniques or other forms of information technology; and</P>
          <P>(e) Estimates of capital or start up costs and costs of operation, maintenance, and purchase of services to provide information.</P>
          <P>Comments should be addressed to:</P>
          <P>
            <E T="03">OCC:</E>Communications Division, Office of the Comptroller of the Currency, Public Information Room, Mail stop 1-5, Attention: 1557-NEW,<PRTPAGE P="1911"/>250 E Street, SW., Washington, DC 20219. In addition, comments may be sent by fax to 202-874-5274, or by electronic mail to<E T="03">regs.comments@occ.treas.gov.</E>You can inspect and photocopy the comments at the OCC's Public Information Room, 250 E Street, SW., Washington, DC 20219. For security reasons, OCC requires that visitors make an appointment to inspect the comments. You may do so by calling 202-874-4700. Upon arrival, visitors will be required to present valid government-issued photo identification and submit to security screening in order to inspect and photocopy comments.</P>
          <P>
            <E T="03">Board:</E>You may submit comments, identified by the Docket number, by any of the following methods:</P>
          <P>•<E T="03">Agency Web Site</E>:<E T="03">http://www.federalreserve.gov</E>. Follow the instructions for submitting comments on the<E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm.</E>
          </P>
          <P>•<E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>•<E T="03">E-mail: regs.comments@federalreserve.gov.</E>Include docket number in the subject line of the message.</P>
          <P>•<E T="03">FAX:</E>202-452-3819 or 202-452-3102.</P>
          <P>•<E T="03">Mail:</E>Jennifer J. Johnson, Secretary, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.</P>

          <P>All public comments are available from the Board's Web site at<E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm</E>as submitted, unless modified for technical reasons. Accordingly, your comments will not be edited to remove any identifying or contact information. Public comments may also be viewed electronically or in paper form in Room MP-500 of the Board's Martin Building (20th and C Streets, NW) between 9 a.m. and 5 p.m. on weekdays.</P>
          <P>
            <E T="03">FDIC:</E>You may submit written comments, which should refer to 3064-____, by any of the following methods:</P>
          <P>•<E T="03">Agency Web Site: http://www.fdic.gov/regulations/laws/federal/propose.html.</E>Follow the instructions for submitting comments on the FDIC Web site.</P>
          <P>•<E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>Follow the instructions for submitting comments.</P>
          <P>•<E T="03">E-mail: Comments@FDIC.gov.</E>Include RIN on the subject line of the message.</P>
          <P>•<E T="03">Mail:</E>Robert E. Feldman, Executive Secretary, Attention: Comments, FDIC, 550 17th Street, NW., Washington, DC 20429.</P>
          <P>•<E T="03">Hand Delivery/Courier:</E>Guard station at the rear of the 550 17th Street Building (located on F Street) on business days between 7 a.m. and 5 p.m.</P>
          <P>
            <E T="03">Public Inspection:</E>All comments received will be posted without change to<E T="03">http://www.fdic.gov/regulations/laws/federal/propose/html</E>including any personal information provided. Comments may be inspected at the FDIC Public Information Center, Room 100, 801 17th Street, NW., Washington, DC, between 9 a.m. and 4:30 p.m. on business days.</P>
          <P>A copy of the comments may also be submitted to the OMB desk officer for the agencies: By mail to U.S. Office of Management and Budget, 725 17th Street, NW., #10235, Washington, DC 20503 or by facsimile to 202-395-6974, Attention: Federal Banking Agency Desk Officer.</P>
          <HD SOURCE="HD2">B. Proposed Information Collection</HD>
          <P>
            <E T="03">Title of Information Collection:</E>Risk-Based Capital Standards: Market Risk</P>
          <P>
            <E T="03">Frequency of Response:</E>Varied—some requirements are done at least quarterly and some at least annually.</P>
          <P>
            <E T="03">Affected Public:</E>
          </P>
          <P>
            <E T="03">OCC:</E>National banks and Federal branches and agencies of foreign banks.</P>
          <P>
            <E T="03">Board:</E>State member banks and bank holding companies.</P>
          <P>
            <E T="03">FDIC:</E>Insured non-member banks, insured state branches of foreign banks, and certain subsidiaries of these entities.</P>
          <P>
            <E T="03">Abstract:</E>The information collection requirements are found in sections 3, 4, 5, 6, 7, 8, 9, 10, and 11 of the proposed rule. They will enhance risk sensitivity and introduce requirements for public disclosure of certain qualitative and quantitative information about a bank's or bank holding companies' market risk. The collection of information is necessary to ensure capital adequacy according to the level of market risk.</P>
          <HD SOURCE="HD3">Section-by-Section Analysis</HD>
          <P>Section 3 sets forth the requirements for applying the market risk framework. Section 3(a)(1) requires clearly defined policies and procedures for determining which trading assets and trading liabilities are trading positions, which of its trading positions are correlation trading positions, and specifies what must be taken into account. Section 3(a)(2) requires a clearly defined trading and hedging strategy for trading positions approved by senior management and specifies what each strategy must articulate. Section 3(b)(1) requires clearly defined policies and procedures for actively managing all covered positions and specifies the minimum that they must require. Sections 3(c)(4) through 3(c)(10) require the annual review of internal models and include certain requirements that the models must meet. Section 3(d)(4) requires an annual report to the board of directors on the effectiveness of controls supporting market risk measurement systems.</P>
          <P>Section 4(b) requires quarterly backtesting. Section 5(a)(5) requires institutions to demonstrate to the agencies the appropriateness of proxies used to capture risks within value-at- risk models. Section 5(c) requires institutions to retain value-at-risk and profit and loss information on subportfolios for two years. Section 6(b)(3) requires policies and procedures for stressed value-at-risk models and prior approvals on determining periods of significant financial stress.</P>
          <P>Section 7(b)(1) specifies what internal models for specific risk must include and address. Section 8(a) requires prior written approval for incremental risk. Section 9(a) requires prior approval for comprehensive risk models. Section 9(c)(2) requires retaining and making available the results of supervisory stress testing on a quarterly basis. Section 10(d) requires documentation quarterly for analysis of risk characteristics of each securitization position it holds. Section 11 requires quarterly quantitative disclosures, annual qualitative disclosures, and a formal disclosure policy approved by the board of directors that addresses the bank's approach for determining the market risk disclosures it makes.</P>
          <HD SOURCE="HD3">Estimated Burden</HD>
          <P>The burden associated with this collection of information may be summarized as follows:</P>
          <HD SOURCE="HD3">OCC</HD>
          <P>
            <E T="03">Number of Respondents:</E>15.</P>
          <P>
            <E T="03">Estimated Burden Per Respondent:</E>1,964 hours.</P>
          <P>
            <E T="03">Total Estimated Annual Burden:</E>29,460 hours.</P>
          <HD SOURCE="HD3">Board</HD>
          <P>
            <E T="03">Number of Respondents:</E>26.</P>
          <P>
            <E T="03">Estimated Burden Per Respondent:</E>2,204 hours.</P>
          <P>
            <E T="03">Total Estimated Annual Burden:</E>51,064 hours.</P>
          <HD SOURCE="HD3">FDIC</HD>
          <P>
            <E T="03">Number of Respondents:</E>2.</P>
          <P>
            <E T="03">Estimated Burden Per Respondent:</E>1,964.</P>
          <P>
            <E T="03">Total Estimated Annual Burden:</E>3,928.<PRTPAGE P="1912"/>
          </P>
          <HD SOURCE="HD1">VI. Plain Language</HD>
          <P>Section 722 of the GLBA required the agencies to use plain language in all proposed and final rules published after January 1, 2000. The agencies invite comment on how to make this proposed rule easier to understand. For example:</P>
          <P>• Have the agencies organized the material to suit your needs? If not, how could they present the rule more clearly?</P>
          <P>• Are the requirements in the rule clearly stated? If not, how could the rule be more clearly stated?</P>
          <P>• Do the regulations contain technical language or jargon that is not clear? If so, which language requires clarification?</P>
          <P>• Would a different format (grouping and order of sections, use of headings, paragraphing) make the regulation easier to understand? If so, what changes would achieve that?</P>
          <P>• Is this section format adequate? If not, which of the sections should be changed and how?</P>
          <P>• What other changes can the agencies incorporate to make the regulation easier to understand?</P>
          <HD SOURCE="HD1">Text of the Proposed Common Rules (All Agencies)</HD>
          <P>The text of the proposed common rules appears below:</P>
          <HD SOURCE="HD1">Appendix __ to Part __—Risk-Based Capital Guidelines; Market Risk Adjustment</HD>
          <EXTRACT>
            <FP SOURCE="FP-1">Section 1Purpose, Applicability, and Reservation of Authority</FP>
            <FP SOURCE="FP-1">Section 2Definitions</FP>
            <FP SOURCE="FP-1">Section 3Requirements for Application of the Market Risk Capital Rule</FP>
            <FP SOURCE="FP-1">Section 4Adjustments to the Risk-Based Capital Ratio Calculations</FP>
            <FP SOURCE="FP-1">Section 5VaR-based Measure</FP>
            <FP SOURCE="FP-1">Section 6Stressed VaR-Based Measure</FP>
            <FP SOURCE="FP-1">Section 7Specific Risk</FP>
            <FP SOURCE="FP-1">Section 8Incremental Risk</FP>
            <FP SOURCE="FP-1">Section 9Comprehensive Risk</FP>
            <FP SOURCE="FP-1">Section 10Standardized Measurement Method for Specific Risk</FP>
            <FP SOURCE="FP-1">Section 11Market Risk Disclosures</FP>
            <HD SOURCE="HD1">Section 1. Purpose, Applicability, and Reservation of Authority</HD>
            <P>(a)<E T="03">Purpose.</E>This appendix establishes risk-based capital requirements for [banking organizations] with significant exposure to market risk and provides methods for these [banking organizations] to calculate their risk-based capital requirements for market risk. This appendix supplements and adjusts the risk-based capital calculations under [the general risk-based capital rules] and [the advanced capital adequacy framework] and establishes public disclosure requirements.</P>
            <P>(b)<E T="03">Applicability</E>—(1) This appendix applies to any [banking organization] with aggregate trading assets and trading liabilities (as reported in the [banking organization]'s most recent quarterly [regulatory report]), equal to:</P>
            <P>(i) 10 percent or more of quarter-end total assets as reported on the most recent quarterly [Call Report or FR Y-9C]; or</P>
            <P>(ii) $1 billion or more.</P>
            <P>(2) The [Agency] may apply this appendix to any [banking organization] if the [Agency] deems it necessary or appropriate because of the level of market risk of the [banking organization] or to ensure safe and sound banking practices.</P>
            <P>(3) The [Agency] may exclude a [banking organization] that meets the criteria of paragraph (b)(1) of this appendix from application of this appendix if the [Agency] determines that the exclusion is appropriate based on the level of market risk of the [banking organization] and is consistent with safe and sound banking practices.</P>
            <P>(c)<E T="03">Reservation of authority</E>—(1) The [Agency] may require a [banking organization] to hold an amount of capital greater than otherwise required under this appendix if the [Agency] determines that the [banking organization]'s capital requirement for market risk as calculated under this appendix is not commensurate with the market risk of the [banking organization]'s covered positions. In making determinations under this paragraph, the [Agency] will apply notice and response procedures generally in the same manner as the notice and response procedures described in [12 CFR 3.12, 12 CFR 263.202, 12 CFR 325.6(c), 12 CFR 567.3(d)].</P>
            <P>(2) If the [Agency] determines that the risk-based capital requirement calculated under this appendix by the [banking organization] for one or more covered positions or portfolios of covered positions is not commensurate with the risks associated with those positions or portfolios, the [Agency] may require the [banking organization] to assign a different risk-based capital requirement to the positions or portfolios that more accurately reflects the risk of the positions or portfolios.</P>
            <P>(3) The [Agency] may also require a [banking organization] to calculate risk-based capital requirements for specific positions or portfolios under this appendix, or under [the advanced capital adequacy framework] or [the general risk-based capital rules], as appropriate, to more accurately reflect the risks of the positions.</P>
            <P>(4) Nothing in this appendix limits the authority of the [Agency] under any other provision of law or regulation to take supervisory or enforcement action, including action to address unsafe or unsound practices or conditions, deficient capital levels, or violations of law.</P>
            <HD SOURCE="HD1">Section 2. Definitions</HD>
            <P>For purposes of this appendix, the following definitions apply:</P>
            <P>
              <E T="03">Backtesting</E>means the comparison of a [banking organization]'s internal estimates with actual outcomes during a sample period not used in model development. For purposes of this appendix, backtesting is one form of out-of-sample testing.</P>
            <P>
              <E T="03">Bank holding company</E>is defined in section 2(a) of the Bank Holding Company Act of 1956 (12 U.S.C. 1841(a)).</P>
            <P>
              <E T="03">Commodity position</E>means a position for which price risk arises from changes in the price of a commodity.</P>
            <P>
              <E T="03">Company</E>means a corporation, partnership, limited liability company, depository institution, business trust, special purpose entity, association, or similar organization.</P>
            <P>
              <E T="03">Correlation trading position</E>means:</P>
            <P>(1) A securitization position for which all or substantially all of the value of the underlying exposures is based on the credit quality of a single company for which a two-way market exists, or on commonly traded indices based on such exposures for which a two-way market exists on the indices; or</P>
            <P>(2) A position that is not a securitization position and that hedges a position described in paragraph (1) of this definition; and</P>
            <P>(3) A correlation trading position does not include:</P>
            <P>(i) A resecuritization position;</P>
            <P>(ii) A derivative of a securitization position that does not provide a pro rata share in the proceeds of a securitization tranche; or</P>
            <P>(iii) A securitization position for which the underlying assets or reference exposures are retail exposures, residential mortgage exposures, or commercial mortgage exposures.</P>
            <P>
              <E T="03">Covered position</E>means the following positions:</P>
            <P>(1) A trading asset or trading liability (whether on- or off-balance sheet),<SU>1</SU>
              <FTREF/>as reported on Schedule RC-D of the Call Report or Schedule HC-D of the FR Y-9C, that meets the following conditions:</P>
            <FTNT>
              <P>
                <SU>1</SU>Securities subject to repurchase and lending agreements are included as if they are still owned by the lender.</P>
            </FTNT>
            <P>(i) The position is a trading position or hedges another covered position<SU>2</SU>
              <FTREF/>and</P>
            <FTNT>
              <P>
                <SU>2</SU>A position that hedges a trading position must be within the scope of the bank's hedging strategy as described in paragraph (a)(2) of section (3) of this appendix.</P>
            </FTNT>
            <P>(ii) The position is free of any restrictive covenants on its tradability or the [banking organization] is able to hedge the material risk elements of the position in a two-way market.</P>
            <P>(2) A foreign exchange or commodity position, regardless of whether the position is a trading asset or trading liability (excluding any structural foreign currency positions that the [banking organization] chooses to exclude with prior supervisory approval).</P>
            <P>(3) Notwithstanding paragraphs (1) and (2) of this definition, a covered position does not include:</P>
            <P>(i) An intangible asset, including any servicing asset;</P>
            <P>(ii) Any hedge of a trading position that the [Agency] determines to be outside the scope of the [banking organization]'s hedging strategy required in paragraph (a)(2) of section 3 of this appendix;</P>
            <P>(iii) Any position that, in form or substance, acts as a liquidity facility that provides support to asset-backed commercial paper;</P>

            <P>(iv) A credit derivative the [banking organization] recognizes as a guarantee for risk-weighted asset amount calculation purposes under [the advanced capital adequacy framework] or [the general risk-based capital rules];<PRTPAGE P="1913"/>
            </P>
            <P>(v) Any equity position that is not publicly traded other than a derivative that references a publicly traded equity;</P>
            <P>(vi) Any position a [banking organization] holds with the intent to securitize; or</P>
            <P>(vii) Any direct real estate holding.</P>
            <P>
              <E T="03">Credit derivative</E>means a financial contract executed under standard industry documentation that allows one party (the protection purchaser) to transfer the credit risk of one or more exposures (reference exposure(s)) to another party (the protection provider).</P>
            <P>
              <E T="03">Debt position</E>means a covered position that is not a securitization position or a correlation trading position and that has a value that reacts primarily to changes in interest rates or credit spreads.</P>
            <P>
              <E T="03">Depository institution</E>is defined in section 3 of the Federal Deposit Insurance Act (12 U.S.C. 1813).</P>
            <P>
              <E T="03">Equity position</E>means a covered position that is not a securitization position or a correlation trading position and that has a value that reacts primarily to changes in equity prices.</P>
            <P>
              <E T="03">Event risk</E>means the risk of loss on a position that could result from sudden and unexpected large changes in market prices or specific events other than default and credit migration of the issuer.</P>
            <P>
              <E T="03">Financial firm</E>means a depository institution, a bank holding company, a savings and loan holding company (as defined in section 10(a)(1)(D) of the Home Owners' Loan Act (12 U.S.C. 1467a(a)(1)(D)), a securities broker or dealer registered with the SEC, or a banking or securities firm that the [banking organization] has determined is subject to consolidated supervision and regulation comparable to that imposed on U.S. [banking organizations] or securities broker-dealers.</P>
            <P>
              <E T="03">Foreign exchange position</E>means a position for which price risk arises from changes in foreign exchange rates.</P>
            <P>
              <E T="03">General market risk</E>means the risk of loss that could result from broad market movements, such as changes in the general level of interest rates, credit spreads, equity prices, foreign exchange rates, or commodity prices.</P>
            <P>
              <E T="03">Hedge</E>means a position or positions that offset all, or substantially all, of one or more material risk factors of another position.</P>
            <P>
              <E T="03">Idiosyncratic risk</E>means the risk of loss in the value of a position that arises from changes in risk factors unique to that position.</P>
            <P>
              <E T="03">Incremental risk</E>means the default risk and credit migration risk of a position. Default risk means the risk of loss on a position that could result from the failure of an obligor to make timely payments of principal or interest on its debt obligation, and the risk of loss that could result from bankruptcy, insolvency, or similar proceeding. Credit migration risk means the price risk that arises from significant changes in the underlying credit quality of the position.</P>
            <P>
              <E T="03">Investing bank</E>means, with respect to a securitization, a [banking organization] that assumes the credit risk of a securitization exposure (other than an originating bank of the securitization).</P>
            <P>
              <E T="03">Market risk</E>means the risk of loss on a position that could result from movements in market prices.</P>
            <P>
              <E T="03">Nth-to-default credit derivative</E>means a credit derivative that provides credit protection only for the nth-defaulting reference exposure in a group of reference exposures.</P>
            <P>
              <E T="03">Originating bank,</E>with respect to a securitization, means a [banking organization] that:</P>
            <P>(1) Directly or indirectly originated or securitized the underlying exposures included in the securitization; or</P>
            <P>(2) Serves as an asset-backed commercial paper (ABCP) program sponsor to the securitization.</P>
            <P>
              <E T="03">Over-the-counter (OTC) derivative</E>means a derivative contract that is not traded on an exchange that requires the daily receipt and payment of cash-variation margin.</P>
            <P>
              <E T="03">Publicly traded</E>means traded on:</P>
            <P>(1) Any exchange registered with the SEC as a national securities exchange under section 6 of the Securities Exchange Act of 1934 (15 U.S.C. 78f); or</P>
            <P>(2) Any non-U.S.-based securities exchange that:</P>
            <P>(i) Is registered with, or approved by, a national securities regulatory authority; and</P>
            <P>(ii) Provides a liquid, two-way market for the instrument in question.</P>
            <P>
              <E T="03">Qualifying securities borrowing transaction</E>means a cash-collateralized securities borrowing transaction that meets the following conditions:</P>
            <P>(1) The transaction is based on liquid and readily marketable securities;</P>
            <P>(2) The transaction is marked-to-market daily;</P>
            <P>(3) The transaction is subject to daily margin maintenance requirements; and</P>
            <P>(4)(i) The transaction is a securities contract for the purposes of section 555 of the Bankruptcy Code (11 U.S.C. 555), a qualified financial contract for the purposes of section 11(e)(8) of the Federal Deposit Insurance Act (12 U.S.C. 1821(e)(8)), or a netting contract between or among financial institutions for the purposes of sections 401-407 of the Federal Deposit Insurance Corporation Improvement Act of 1991 (12 U.S.C. 4401-4407), or the Board's Regulation EE (12 CFR part 231); or</P>
            <P>(ii) If the transaction does not meet the criteria in paragraph (4)(i) of this definition, either:</P>
            <P>(A) The [banking organization] has conducted sufficient legal review to reach a well-founded conclusion that:</P>
            <P>(<E T="03">1</E>) The securities borrowing agreement executed in connection with the transaction provides the [banking organization] the right to accelerate, terminate, and close-out on a net basis all transactions under the agreement and to liquidate or set off collateral promptly upon an event of counterparty default, including in a bankruptcy, insolvency, or other similar proceeding of the counterparty; and</P>
            <P>(<E T="03">2</E>) Under applicable law of the relevant jurisdiction, its rights under the agreement are legal, valid, binding, and enforceable and any exercise of rights under the agreement will not be stayed or avoided; or</P>
            <P>(B) The transaction is either overnight or unconditionally cancelable at any time by the [banking organization], and the [banking organization] has conducted sufficient legal review to reach a well-founded conclusion that:</P>
            <P>(<E T="03">1</E>) The securities borrowing agreement executed in connection with the transaction provides the [banking organization] the right to accelerate, terminate, and close-out on a net basis all transactions under the agreement and to liquidate or set off collateral promptly upon an event of counterparty default; and</P>
            <P>(<E T="03">2</E>) Under the law governing the agreement, its rights under the agreement are legal, valid, binding, and enforceable.</P>
            <P>
              <E T="03">Resecuritization</E>means a securitization in which one or more of the underlying exposures is a securitization position.</P>
            <P>
              <E T="03">Resecuritization position</E>means:</P>
            <P>(1) An on- or off-balance sheet exposure to a resecuritization; or</P>
            <P>(2) An exposure that directly or indirectly references a resecuritization exposure in paragraph (1) of this definition.</P>
            <P>
              <E T="03">SEC</E>means the U.S. Securities and Exchange Commission.</P>
            <P>
              <E T="03">Securitization</E>means a transaction in which:</P>
            <P>(1) All or a portion of the credit risk of one or more underlying exposures is transferred to one or more third parties;</P>
            <P>(2) The credit risk associated with the underlying exposures has been separated into at least two tranches that reflect different levels of seniority;</P>
            <P>(3) Performance of the securitization exposures depends upon the performance of the underlying exposures;</P>
            <P>(4) All or substantially all of the underlying exposures are financial exposures (such as loans, commitments, credit derivatives, guarantees, receivables, asset-backed securities, mortgage-backed securities, other debt securities, or equity securities);</P>
            <P>(5) For non-synthetic securitizations, the underlying exposures are not owned by an operating company;</P>
            <P>(6) The underlying exposures are not owned by a small business investment company described in section 302 of the Small Business Investment Act of 1958 (15 U.S.C. 682); and</P>
            <P>(7) The underlying exposures are not owned by a firm an investment in which qualifies as a community development investment under 12 U.S.C. 24(Eleventh).</P>
            <P>(8) The [Agency] may determine that a transaction in which the underlying exposures are owned by an investment firm that exercises substantially unfettered control over the size and composition of its assets, liabilities, and off-balance sheet exposures is not a securitization based on the transaction's leverage, risk profile, or economic substance.</P>
            <P>(9) The [Agency] may deem an exposure to a transaction that meets the definition of a securitization, notwithstanding paragraph (5), (6), or (7) of this definition, to be a securitization based on the transaction's leverage, risk profile, or economic substance.</P>
            <P>
              <E T="03">Securitization position</E>means a covered position that is:</P>

            <P>(1) An on-balance sheet or off-balance sheet credit exposure (including credit-enhancing representations and warranties) that arises from a securitization (including a resecuritization); or<PRTPAGE P="1914"/>
            </P>
            <P>(2) An exposure that directly or indirectly references a securitization exposure described in paragraph (1) of this definition.</P>
            <P>
              <E T="03">Sovereign entity</E>means a central government (including the U.S. government) or an agency, department, ministry, or central bank of a central government.</P>
            <P>
              <E T="03">Specific risk</E>means the risk of loss on a position that could result from factors other than broad market movements and includes event risk, default risk, and idiosyncratic risk.</P>
            <P>
              <E T="03">Structural position in a foreign currency</E>means a position that is not a trading position and that is:</P>
            <P>(1) Subordinated debt, equity, or minority interest in a consolidated subsidiary that is denominated in a foreign currency;</P>
            <P>(2) Capital assigned to foreign branches that is denominated in a foreign currency;</P>
            <P>(3) A position related to an unconsolidated subsidiary or another item that is denominated in a foreign currency and that is deducted from the [banking organization]'s tier 1 and tier 2 capital, or</P>
            <P>(4) A position designed to hedge a [banking organization]'s capital ratios or earnings against the effect on paragraphs (1), (2), or (3) of this definition of adverse exchange rate movements.</P>
            <P>
              <E T="03">Term repo-style transaction</E>means a repurchase or reverse repurchase transaction, or a securities borrowing or securities lending transaction, including a transaction in which the [banking organization] acts as agent for a customer and indemnifies the customer against loss, that has an original maturity in excess of one business day, provided that:</P>
            <P>(1) The transaction is based solely on liquid and readily marketable securities or cash;</P>
            <P>(2) The transaction is marked-to-market daily and subject to daily margin maintenance requirements;</P>
            <P>(3) The transaction is executed under an agreement that provides the [banking organization] the right to accelerate, terminate, and close-out the transaction on a net basis and to liquidate or set off collateral promptly upon an event of default (including bankruptcy, insolvency, or similar proceeding) of the counterparty, provided that, in any such case, any exercise of rights under the agreement will not be stayed or avoided under applicable law in the relevant jurisdictions;<SU>3</SU>
              <FTREF/>and</P>
            <FTNT>
              <P>
                <SU>3</SU>This requirement is met where all transactions under the agreement are (i) executed under U.S. law and (ii) constitute “securities contracts” or “repurchase agreements” under section 555 or 559, respectively, of the Bankruptcy Code (11 U.S.C. 555 or 559), qualified financial contracts under section 11(e)(8) of the Federal Deposit Insurance Act (12 U.S.C. 1821(e)(8)), or netting contracts between or among financial institutions under sections 401-407 of the Federal Deposit Insurance Corporation Improvement Act of 1991 (12 U.S.C. 4407), or the Federal Reserve Board's Regulation EE (12 CFR part 231).</P>
            </FTNT>
            <P>(4) The [banking organization] has conducted and documented sufficient legal review to conclude with a well-founded basis that the agreement meets the requirements of paragraph (3) of this definition and is legal, valid, binding, and enforceable under applicable law in the relevant jurisdictions.</P>
            <P>
              <E T="03">Tier 1 capital</E>is defined in [the general risk-based capital rules] or [the advanced capital adequacy framework], as applicable.</P>
            <P>
              <E T="03">Tier 2 capital</E>is defined in [the general risk-based capital rules] or [the advanced capital adequacy framework], as applicable.</P>
            <P>
              <E T="03">Trading position</E>means a position that is held by the [banking organization] for the purpose of short-term resale or with the intent of benefiting from actual or expected short-term price movements, or to lock in arbitrage profits.</P>
            <P>
              <E T="03">Two-way market</E>means a market where there are independent bona fide offers to buy and sell so that a price reasonably related to the last sales price or current bona fide competitive bid and offer quotations can be determined within one day and settled at that price within five business days.</P>
            <P>
              <E T="03">Value-at-Risk (VaR)</E>means the estimate of the maximum amount that the value of one or more positions could decline due to market price or rate movements during a fixed holding period within a stated confidence interval.</P>
            <HD SOURCE="HD1">Section 3. Requirements for Application of the Market Risk Capital Rule</HD>
            <P>(a)<E T="03">Trading positions</E>—(1)<E T="03">Identification of trading positions.</E>A [banking organization] must have clearly defined policies and procedures for determining which of its trading assets and trading liabilities are trading positions and which of its trading positions are correlation trading positions. These policies and procedures must take into account:</P>
            <P>(i) The extent to which a position, or a hedge of its material risks, can be marked-to-market daily by reference to a two-way market; and</P>
            <P>(ii) Possible impairments to the liquidity of a position or its hedge.</P>
            <P>(2)<E T="03">Trading and hedging strategies.</E>A [banking organization] must have clearly defined trading and hedging strategies for its trading positions that are approved by senior management of the [banking organization].</P>
            <P>(i) The trading strategy must articulate the expected holding period of, and the market risk associated with, each portfolio of trading positions.</P>
            <P>(ii) The hedging strategy must articulate for each portfolio of trading positions the level of market risk the [banking organization] is willing to accept and must detail the instruments, techniques, and strategies the [banking organization] will use to hedge the risk of the portfolio.</P>
            <P>(b)<E T="03">Management of covered positions</E>— (1)<E T="03">Active management.</E>A [banking organization] must have clearly defined policies and procedures for actively managing all covered positions. At a minimum, these policies and procedures must require:</P>
            <P>(i) Marking positions to market or to model on a daily basis;</P>
            <P>(ii) Daily assessment of the [banking organization]'s ability to hedge position and portfolio risks, and of the extent of market liquidity;</P>
            <P>(iii) Establishment and daily monitoring of limits on positions by a risk control unit independent of the trading business unit;</P>
            <P>(iv) Daily monitoring by senior management of information described in paragraphs (b)(1)(i) through (b)(1)(iii) of this section;</P>
            <P>(v) At least annual reassessment of established limits on positions by senior management; and</P>
            <P>(vi) At least annual assessments by qualified personnel of the quality of market inputs to the valuation process, the soundness of key assumptions, the reliability of parameter estimation in pricing models, and the stability and accuracy of model calibration under alternative market scenarios.</P>
            <P>(2)<E T="03">Valuation of covered positions.</E>The [banking organization] must have a process for prudent valuation of its covered positions that includes policies and procedures on the valuation of positions, marking positions to market or to model, independent price verification, and valuation adjustments or reserves. The valuation process must consider, as appropriate, unearned credit spreads, close-out costs, early termination costs, investing and funding costs, future administrative costs, liquidity, and model risk.</P>
            <P>(c)<E T="03">Requirements for internal models.</E>(1) A [banking organization] must obtain the prior written approval of the [Agency] before using any internal model to calculate its risk-based capital requirement under this appendix.</P>
            <P>(2) A [banking organization] must meet all of the requirements of this section on an ongoing basis. The [banking organization] must promptly notify the [Agency] when:</P>
            <P>(i) The [banking organization] plans to extend the use of a model that the [Agency] has approved under this appendix to an additional business line or product type;</P>
            <P>(ii) The [banking organization] makes any change to any internal model approved by the [Agency] under this appendix that would result in a material change in the [banking organization]'s risk-weighted asset amount for a portfolio of covered positions; or</P>
            <P>(iii) The [banking organization] makes any material change to its modeling assumptions.</P>
            <P>(3) The [Agency] may rescind its approval of the use of any internal model (in whole or in part) or of the surcharge applicable to a [banking organization]'s modeled correlation trading positions as determined under section 9(d)(2) of this appendix, and determine an appropriate capital requirement for the covered positions to which the model would apply, if the [Agency] determines that the model no longer complies with this appendix or fails to reflect accurately the risks of the [banking organization]'s covered positions.</P>
            <P>(4) The [banking organization] must periodically, but no less frequently than annually, review its internal models in light of developments in financial markets and modeling technologies, and enhance those models as appropriate to ensure that they continue to meet the [Agency]'s standards for model approval and employ risk measurement methodologies that are most appropriate for the [banking organization]'s covered positions.</P>

            <P>(5) The [banking organization] must incorporate its internal models into its risk management process and integrate the internal models used for calculating its VaR-based measure into its daily risk management process.<PRTPAGE P="1915"/>
            </P>
            <P>(6) The level of sophistication of a [banking organization]'s internal models must be commensurate with the complexity and amount of its covered positions. A [banking organization]'s internal models may use any of the generally accepted approaches, including but not limited to variance-covariance models, historical simulations, or Monte Carlo simulations, to measure market risk.</P>
            <P>(7) The [banking organization]'s internal models must properly measure all of the material risks in the covered positions to which they are applied.</P>
            <P>(8) The [banking organization]'s internal models must conservatively assess the risks arising from less liquid positions and positions with limited price transparency under realistic market scenarios.</P>
            <P>(9) The [banking organization] must have a rigorous and well-defined process for reestimating, reevaluating, and updating its internal models to ensure continued applicability and relevance.</P>
            <P>(10) If a [banking organization] uses internal models to measure specific risk, the internal models must also satisfy the requirements in paragraph (b)(1) of section 7 of this appendix.</P>
            <P>(d)<E T="03">Control, oversight, and validation mechanisms.</E>(1) The [banking organization] must have a risk control unit that reports directly to senior management and is independent from the business trading units.</P>
            <P>(2) The [banking organization] must validate its internal models initially and on an ongoing basis. The [banking organization]'s validation process must be independent of the internal models' development, implementation, and operation, or the validation process must be subjected to an independent review of its adequacy and effectiveness. Validation must include:</P>
            <P>(i) An evaluation of the conceptual soundness of (including developmental evidence supporting) the internal models;</P>
            <P>(ii) An ongoing monitoring process that includes verification of processes and the comparison of the [banking organization]'s model outputs with relevant internal and external data sources or estimation techniques; and</P>
            <P>(iii) An outcomes analysis process that includes backtesting. For internal models used to calculate the VaR-based measure, this process must include a comparison of the changes in the [banking organization]'s portfolio value that would have occurred were end-of-day positions to remain unchanged (therefore, excluding fees, commissions, reserves, net interest income, and intraday trading) with VaR-based measures during a sample period not used in model development.</P>
            <P>(3) The [banking organization] must stress-test the market risk of its covered positions at a frequency appropriate to each portfolio, and in no case less frequently than quarterly. The stress tests must take into account concentration risk (including but not limited to concentrations in single issuers, industries, sectors, or markets), illiquidity under stressed market conditions, and risks arising from the [banking organization]'s trading activities that may not be adequately captured in its internal models.</P>
            <P>(4) The [banking organization] must have an internal audit function independent of business-line management that at least annually assesses the effectiveness of the controls supporting the [banking organization]'s market risk measurement systems, including the activities of the business trading units and independent risk control unit, compliance with policies and procedures, and calculation of the [banking organization]'s measure for market risk under this appendix. At least annually, the internal audit function must report its findings to the [banking organization]'s board of directors (or a committee thereof).</P>
            <P>(e)<E T="03">Internal assessment of capital adequacy.</E>The [banking organization] must have a rigorous process for assessing its overall capital adequacy in relation to its market risk. The assessment must take into account risks that may not be captured fully in the VaR-based measure, including concentration and liquidity risk under stressed market conditions.</P>
            <P>(f)<E T="03">Documentation.</E>The [banking organization] must adequately document all material aspects of its internal models, management and valuation of covered positions, control, oversight, validation and review processes and results, and internal assessment of capital adequacy.</P>
            <HD SOURCE="HD1">Section 4. Adjustments to the Risk-Based Capital Ratio Calculations</HD>
            <P>(a)<E T="03">Risk-based capital ratio denominator.</E>The [banking organization] must calculate its risk-based capital ratio denominator as follows:</P>
            <P>(1)<E T="03">Adjusted risk-weighted assets.</E>The [banking organization] must calculate adjusted risk-weighted assets, which equal risk-weighted assets (as determined in accordance with [the advanced capital adequacy framework] or [the general risk-based capital rules], as applicable), with the following adjustments:</P>
            <P>(i) The [banking organization] must exclude the risk-weighted asset amounts of all covered positions (except foreign exchange positions that are not trading positions and over-the-counter derivative positions).</P>
            <P>(ii) A [banking organization] subject to [the general risk-based capital rules] may exclude receivables that arise from the posting of cash collateral and are associated with qualifying securities borrowing transactions to the extent the receivable is collateralized by the market value of the borrowed securities;</P>
            <P>(2)<E T="03">Measure for market risk.</E>The [banking organization] must calculate the measure for market risk, which equals the sum of the VaR-based capital requirement, stressed VaR-based capital requirement, any specific risk add-ons, any incremental risk capital requirement, any comprehensive risk capital requirement, and any capital requirement for<E T="03">de minimis</E>exposures as defined under this paragraph.</P>
            <P>(i)<E T="03">VaR-based capital requirement.</E>The VaR-based capital requirement equals the greater of:</P>
            <P>(A) The previous day's VaR-based measure as calculated under section 5 of this appendix; or</P>
            <P>(B) The average of the daily VaR-based measures as calculated under section 5 of this appendix for each of the preceding 60 business days multiplied by three, except as provided in paragraph (b) of this section.</P>
            <P>(ii)<E T="03">Stressed VaR-based capital requirement.</E>The stressed VaR-based capital requirement equals the greater of:</P>
            <P>(A) The most recent stressed VaR-based measure as calculated under section 6 of this appendix; or</P>
            <P>(B) The average of the stressed VaR-based measures as calculated under section 6 of this rule for each of the preceding 60 business days multiplied by three, except as provided in paragraph (b) of this section.</P>
            <P>(iii)<E T="03">Any specific risk add-ons.</E>Any specific risk add-ons that are required under section 7 and are calculated in accordance with section 10 of this appendix.</P>
            <P>(iv)<E T="03">Any incremental risk capital requirement.</E>Any incremental risk capital requirement as calculated under section 8 of this appendix.</P>
            <P>(v)<E T="03">Any comprehensive risk capital requirement.</E>Any comprehensive risk capital requirement as calculated under section 9 of this appendix.</P>
            <P>(vi)<E T="03">Any capital requirement for de minimis exposures.</E>The [banking organization] must add to its measure for market risk the absolute value of the market value of those<E T="03">de minimis</E>exposures that are not captured in the [banking organization]'s VaR-based measure unless the [banking organization] has obtained prior written approval from the [Agency] to calculate a capital requirement for<E T="03">de minimis</E>exposures using alternative techniques that appropriately measure the market risk associated with those exposures.</P>
            <P>(3)<E T="03">Market risk equivalent assets.</E>The [banking organization] must calculate market risk equivalent assets as the measure for market risk (as calculated in paragraph (a)(2) of this section) multiplied by 12.5.</P>
            <P>(4)<E T="03">Denominator calculation.</E>The [banking organization] must add market risk equivalent assets (as calculated in paragraph (a)(3) of this section) to adjusted risk-weighted assets (as calculated in paragraph (a)(1) of this section). The resulting sum is the [banking organization]'s risk-based capital ratio denominator.</P>
            <P>(b)<E T="03">Backtesting.</E>A [banking organization] must compare each of its most recent 250 business days' trading losses (excluding fees, commissions, reserves, intra-day trading, and net interest income) with the corresponding daily VaR-based measures calibrated to a one-day holding period and at a one-tail, 99.0 percent confidence level.</P>
            <P>(1) Once each quarter, the [banking organization] must identify the number of exceptions (that is, the number of business days for which the actual daily net trading loss, if any, exceeds the corresponding daily VaR-based measure) that have occurred over the preceding 250 business days.</P>

            <P>(2) A [banking organization] must use the multiplication factor in Table 1 of this appendix that corresponds to the number of exceptions identified in paragraph (b)(1) of this section to determine its VaR-based capital requirement for market risk under paragraph (a)(2)(i) of this section and to determine its stressed VaR-based capital requirement for market risk under paragraph<PRTPAGE P="1916"/>(a)(2)(ii) of this section until it obtains the next quarter's backtesting results, unless the [Agency] notifies the [banking organization] in writing that a different adjustment or other action is appropriate.</P>
            <GPOTABLE CDEF="s25,10" COLS="2" OPTS="L2,i1">
              <TTITLE>Table 1—Multiplication Factors Based on Results of Backtesting</TTITLE>
              <BOXHD>
                <CHED H="1">Number of exceptions</CHED>
                <CHED H="1">Multiplication factor</CHED>
              </BOXHD>
              <ROW>
                <ENT I="01">4 or fewer</ENT>
                <ENT>3.00</ENT>
              </ROW>
              <ROW>
                <ENT I="01">5</ENT>
                <ENT>3.40</ENT>
              </ROW>
              <ROW>
                <ENT I="01">6</ENT>
                <ENT>3.50</ENT>
              </ROW>
              <ROW>
                <ENT I="01">7</ENT>
                <ENT>3.65</ENT>
              </ROW>
              <ROW>
                <ENT I="01">8</ENT>
                <ENT>3.75</ENT>
              </ROW>
              <ROW>
                <ENT I="01">9</ENT>
                <ENT>3.85</ENT>
              </ROW>
              <ROW>
                <ENT I="01">10 or more</ENT>
                <ENT>4.00</ENT>
              </ROW>
            </GPOTABLE>
            <HD SOURCE="HD1">Section 5. VaR-Based Measure</HD>
            <P>(a)<E T="03">General requirement.</E>A [banking organization] must use one or more internal models to calculate daily a VaR-based measure of the general market risk of all covered positions. The daily VaR-based measure also may reflect the [banking organization]'s specific risk for one or more portfolios of debt and equity positions, if the internal models meet the requirements of paragraph (b)(1) of section 7. The daily VaR-based measure must also reflect the [banking organization]'s specific risk for any portfolio of correlation trading positions that is modeled under section 9 of this appendix. A [banking organization] may elect to include term repo-style transactions in its VaR-based measure, provided that the [banking organization] includes all such term repo-style transactions consistently over time.</P>
            <P>(1) The [banking organization]'s internal models for calculating its VaR-based measure must use risk factors sufficient to measure the market risk inherent in all covered positions. The market risk categories must include, as appropriate, interest rate risk, credit spread risk, equity price risk, foreign exchange risk, and commodity price risk. For material positions in the major currencies and markets, modeling techniques must incorporate enough segments of the yield curve—in no case less than six—to capture differences in volatility and less than perfect correlation of rates along the yield curve.</P>
            <P>(2) The VaR-based measure may incorporate empirical correlations within and across risk categories, provided the [banking organization] validates and demonstrates the reasonableness of its process for measuring correlations. If the VaR-based measure does not incorporate empirical correlations across risk categories, the [banking organization] must add the separate measures from its internal models used to calculate the VaR-based measure for the appropriate market risk categories (interest rate risk, credit spread risk, equity price risk, foreign exchange rate risk, and/or commodity price risk) to determine its aggregate VaR-based measure.</P>
            <P>(3) The VaR-based measure must include the risks arising from the nonlinear price characteristics of options positions or positions with embedded optionality and the sensitivity of the market value of the positions to changes in the volatility of the underlying rates, prices, or other material risk factors. A [banking organization] with a large or complex options portfolio must measure the volatility of options positions or positions with embedded optionality by different maturities and/or strike prices, where material.</P>
            <P>(4) The [banking organization] must be able to justify to the satisfaction of the [Agency] the omission of any risk factors from the calculation of its VaR-based measure that the [banking organization] uses in its pricing models.</P>
            <P>(5) The [banking organization] must demonstrate to the satisfaction of the [Agency] the appropriateness of any proxies used to capture the risks of the [banking organization]'s actual positions for which such proxies are used.</P>
            <P>(b)<E T="03">Quantitative requirements for VaR-based measure.</E>(1) The VaR-based measure must be calculated on a daily basis using a one-tail, 99.0 percent confidence level, and a holding period equivalent to a 10-business-day movement in underlying risk factors, such as rates, spreads, and prices. To calculate VaR-based measures using a 10-business-day holding period, the [banking organization] may calculate 10-business-day measures directly or may convert VaR-based measures using holding periods other than 10 business days to the equivalent of a 10-business-day holding period. A [banking organization] that converts its VaR-based measure in such a manner must be able to justify the reasonableness of its approach to the satisfaction of the [Agency].</P>
            <P>(2) The VaR-based measure must be based on a historical observation period of at least one year. Data used to determine the VaR-based measure must be relevant to the [banking organization]'s actual exposures and of sufficient quality to support the calculation of risk-based capital requirements. The [banking organization] must update data sets at least monthly or more frequently as changes in market conditions or portfolio composition warrant. For a [banking organization] that uses a weighting scheme or other method for the historical observation period, the [banking organization] must either:</P>
            <P>(i) Use an effective observation period of at least one year in which the average time lag of the observations is at least six months; or</P>
            <P>(ii) Demonstrate to the [Agency] that its weighting scheme is more effective than a weighting scheme with an average time lag of at least six months at representing the volatility of the [banking organization]'s trading portfolio over a full business cycle. A [banking organization] using this option must update its data more frequently than monthly and in a manner appropriate for the type of weighting scheme.</P>
            <P>(c) A [banking organization] must divide its portfolio into a number of significant subportfolios approved by the [Agency] for subportfolio backtesting purposes. These subportfolios must be sufficient to allow the [banking organization] and the [Agency] to assess the adequacy of the VaR model at the risk factor level; the [Agency] will evaluate the appropriateness of these subportfolios relative to the value and composition of the [banking organization]'s covered positions. The [banking organization] must retain and make available to the [Agency] the following information for each subportfolio for each business day over the previous two years (500 business days), with no more than a 60 day lag:</P>
            <P>(1) A daily VaR-based measure for the subportfolio calibrated to a one-tail, 99.0 percent confidence level;</P>
            <P>(2) The daily profit or loss for the subportfolio (that is, the net change in price of the positions held in the portfolio at the end of the previous business day); and</P>
            <P>(3) The p-value of the profit or loss on each day (that is, the probability of observing a profit that is less than, or a loss that is greater than, the amount reported for purposes of paragraph (c)(2) of this section based on the model used to calculate the VaR-based measure described in paragraph (c)(1) of this section).</P>
            <HD SOURCE="HD1">Section 6. Stressed VaR-Based Measure</HD>
            <P>(a)<E T="03">General requirement.</E>At least weekly, a [banking organization] must use the same internal model(s) used to calculate its VaR-based measure to calculate a stressed VaR-based measure.</P>
            <P>(b)<E T="03">Quantitative requirements for stressed VaR-based measure.</E>(1) A [banking organization] must calculate a stressed VaR-based measure for its covered positions using the same model(s) used to calculate the VaR-based measure, subject to the same confidence level and holding period applicable to the VaR-based measure under section 5, but with model inputs calibrated to historical data from a continuous 12-month period that reflects a period of significant financial stress appropriate to the [banking organization]'s current portfolio.</P>
            <P>(2) The stressed VaR-based measure must be calculated at least weekly and be no less than the [banking organization]'s VaR-based measure.</P>
            <P>(3) A [banking organization] must have policies and procedures that describe how it determines the period of significant financial stress used to calculate the [banking organization]'s stressed VaR-based measure under this section and must be able to provide empirical support for the period used. The [banking organization] must obtain the prior approval of the [Agency] for, and notify the [Agency] if the [banking organization] makes any material changes to, these policies and procedures. The policies and procedures must address:</P>
            <P>(i) How the [banking organization] links the period of significant financial stress used to calculate the stressed VaR-based measure to the composition and directional bias of its current portfolio; and</P>
            <P>(ii) The [banking organization]'s process for selecting, reviewing, and updating the period of significant financial stress used to calculate the stressed VaR-based measure and for monitoring the appropriateness of the period to the [banking organization]'s current portfolio.</P>

            <P>(4) Nothing in this section prevents the [Agency] from requiring a [banking organization] to use a different period of significant financial stress in the calculation of the stressed VaR-based measure.<PRTPAGE P="1917"/>
            </P>
            <HD SOURCE="HD1">Section 7. Specific Risk</HD>
            <P>(a)<E T="03">General requirement.</E>A [banking organization] must use one of the methods in this section to measure the specific risk for each of its debt, equity, and securitization positions with specific risk.</P>
            <P>(b)<E T="03">Modeled specific risk.</E>A [banking organization] may use models to measure the specific risk of covered positions as provided in paragraph (a) of section 5 (therefore, excluding securitization positions that are not modeled under section 9 of this appendix). A [banking organization] must use models to measure the specific risk of correlation trading positions that are modeled under section 9 of this appendix.</P>
            <P>(1)<E T="03">Requirements for specific risk modeling.</E>(i) If a [banking organization] uses internal models to measure the specific risk of a portfolio, the internal models must:</P>
            <P>(A) Explain the historical price variation in the portfolio;</P>
            <P>(B) Be responsive to changes in market conditions;</P>
            <P>(C) Be robust to an adverse environment, including signaling rising risk in an adverse environment; and</P>
            <P>(D) Capture all material components of specific risk for the debt and equity positions in the portfolio. Specifically, the internal models must:</P>
            <P>(1) Capture event risk and idiosyncratic risk;</P>
            <P>(2) Capture and demonstrate sensitivity to material differences between positions that are similar but not identical; and</P>
            <P>(3) Capture and demonstrate sensitivity to changes in portfolio composition and concentrations.</P>
            <P>(ii) If a [banking organization] calculates an incremental risk measure for a portfolio of debt or equity positions under section 8 of this appendix, the [banking organization] is not required to capture default and credit migration risks in its internal models used to measure the specific risk of those portfolios.</P>
            <P>(2)<E T="03">Specific risk fully modeled for one or more portfolios.</E>If the [banking organization]'s VaR-based measure captures all material aspects of specific risk for one or more of its portfolios of debt, equity, or correlation trading positions, the [banking organization] has no specific risk add-on for those portfolios for purposes of paragraph (a)(2)(iii) of section 4 of this appendix.</P>
            <P>(c)<E T="03">Specific risk not modeled.</E>(1) If the [banking organization]'s VaR-based measure does not capture all material aspects of specific risk for a portfolio of debt, equity, or correlation trading positions, the [banking organization] must calculate a specific-risk add-on for the portfolio under the standardized measurement method as described in section 10 of this appendix.</P>
            <P>(2) A [banking organization] must calculate a specific risk add-on under the standardized measurement method as described in section 10 of this appendixfor all of its securitization positions that are not modeled under section 9 of this appendix.</P>
            <HD SOURCE="HD1">Section 8. Incremental Risk</HD>
            <P>(a)<E T="03">General requirement.</E>A [banking organization] that measures the specific risk of a portfolio of debt positions under section 7(b) using internal models must calculate at least weekly an incremental risk measure for that portfolio according to the requirements in this section. The incremental risk measure is the [banking organization]'s measure of potential losses due to incremental risk over a one-year time horizon at a one-tail, 99.9 percent confidence level, either under the assumption of a constant level of risk, or under the assumption of constant positions. With the prior approval of the [Agency], a [banking organization] may choose to include portfolios of equity positions in its incremental risk model, provided that it consistently includes such equity positions in a manner that is consistent with how the [banking organization] internally measures and manages the incremental risk of such positions at the portfolio level. If equity positions are included in the model, for modeling purposes default is considered to have occurred upon the default of any debt of the issuer of the equity position. A [banking organization] may not include correlation trading positions or securitization positions in its incremental risk measure.</P>
            <P>(b)<E T="03">Requirements for incremental risk modeling.</E>For purposes of calculating the incremental risk measure, the incremental risk model must:</P>
            <P>(1) Measure incremental risk over a one-year time horizon and at a one-tail, 99.9 percent confidence level, either under the assumption of a constant level of risk, or under the assumption of constant positions.</P>
            <P>(i) A constant level of risk assumption means that the [banking organization] rebalances, or rolls over, its trading positions at the beginning of each liquidity horizon over the one-year horizon in a manner that maintains the [banking organization]'s initial risk level. The [banking organization] must determine the frequency of rebalancing in a manner consistent with the liquidity horizons of the positions in the portfolio. The liquidity horizon of a position or set of positions is the time required for a [banking organization] to reduce its exposure to, or hedge all of its material risks of, the position(s) in a stressed market. The liquidity horizon for a position or set of positions may not be less than the lower of three months or the contractual maturity of the position.</P>
            <P>(ii) A constant position assumption means that the [banking organization] maintains the same set of positions throughout the one-year horizon. If a [banking organization] uses this assumption, it must do so consistently across all portfolios.</P>
            <P>(iii) A [banking organization]'s selection of a constant position or a constant risk assumption must be consistent between the [banking organization]'s incremental risk model and its comprehensive risk model described in section 9, if applicable.</P>
            <P>(iv) A [banking organization]'s treatment of liquidity horizons must be consistent between the [banking organization]'s incremental risk model and its comprehensive risk model described in section 9, if applicable.</P>
            <P>(2) Recognize the impact of correlations between default and migration events among obligors.</P>
            <P>(3) Reflect the effect of issuer and market concentrations, as well as concentrations that can arise within and across product classes during stressed conditions.</P>
            <P>(4) Reflect netting only of long and short positions that reference the same financial instrument.</P>
            <P>(5) Reflect any material mismatch between a position and its hedge.</P>
            <P>(6) Recognize the effect that liquidity horizons have on dynamic hedging strategies. In such cases, a [banking organization] must:</P>
            <P>(i) Choose to model the rebalancing of the hedge consistently over the relevant set of trading positions;</P>
            <P>(ii) Demonstrate that the inclusion of rebalancing results in a more appropriate risk measurement;</P>
            <P>(iii) Demonstrate that the market for the hedge is sufficiently liquid to permit rebalancing during periods of stress; and</P>
            <P>(iv) Capture in the incremental risk model any residual risks arising from such hedging strategies.</P>
            <P>(7) Reflect the nonlinear impact of options and other positions with material nonlinear behavior with respect to default and migration changes.</P>
            <P>(8) Maintain consistency with the [banking organization]'s internal risk management methodologies for identifying, measuring, and managing risk.</P>
            <P>(c)<E T="03">Calculation of incremental risk capital requirement.</E>The incremental risk capital requirement is the greater of:</P>
            <P>(1) The average of the incremental risk measures over the previous 12 weeks; or</P>
            <P>(2) The most recent incremental risk measure.</P>
            <HD SOURCE="HD1">Section 9. Comprehensive Risk</HD>
            <P>(a)<E T="03">General requirement.</E>(1) Subject to the prior approval of the [Agency], a [banking organization] may use the method in this section to measure comprehensive risk, that is, all price risk, for one or more portfolios of correlation trading positions.</P>
            <P>(2) A [banking organization] that measures the price risk of a portfolio of correlation trading positions using internal models must calculate at least weekly a comprehensive risk measure that captures all price risk according to the requirements of this section. The comprehensive risk measure is either:</P>
            <P>(i) The sum of:</P>
            <P>(A) The [banking organization]'s modeled measure of all price risk determined according to the requirements in paragraph (b) of this section; and</P>
            <P>(B) A surcharge for the [banking organization]'s modeled correlation trading positions equal to the total specific risk add-on for such positions as calculated under section 10 of this appendix multiplied by 15.0 percent; or</P>
            <P>(ii) With approval of the [Agency] and provided the [banking organization] has met the requirements of this section for a period of at least one year and can demonstrate the effectiveness of the model through the results of ongoing model validation efforts including robust benchmarking, the greater of:</P>
            <P>(A) The [banking organization]'s modeled measure of all price risk determined according to the requirements in paragraph (b) of this section; or</P>

            <P>(B) The total specific risk add-on that would apply to the bank's modeled correlation trading positions as calculated under section 10 of this appendix multiplied by 8.0 percent.<PRTPAGE P="1918"/>
            </P>
            <P>(b)<E T="03">Requirements for modeling all price risk.</E>If a [banking organization] uses an internal model to measure the price risk of a portfolio of correlation trading positions:</P>
            <P>(1) The internal model must measure comprehensive risk over a one-year time horizon at a one-tail, 99.9 percent confidence level, either under the assumption of a constant level of risk, or under the assumption of constant positions.</P>
            <P>(2) The model must capture all material price risk, including but not limited to the following:</P>
            <P>(i) The risks associated with the contractual structure of cash flows of the position, its issuer, and its underlying exposures;</P>
            <P>(ii) Credit spread risk, including nonlinear price risks;</P>
            <P>(iii) The volatility of implied correlations, including nonlinear price risks such as the cross-effect between spreads and correlations;</P>
            <P>(iv) Basis risk;</P>
            <P>(v) Recovery rate volatility as it relates to the propensity for recovery rates to affect tranche prices; and</P>
            <P>(vi) To the extent the comprehensive risk measure incorporates the benefits of dynamic hedging, the static nature of the hedge over the liquidity horizon must be recognized. In such cases, a [banking organization] must:</P>
            <P>(A) Choose to model the rebalancing of the hedge consistently over the relevant set of trading positions;</P>
            <P>(B) Demonstrate that the inclusion of rebalancing results in a more appropriate risk measurement;</P>
            <P>(C) Demonstrate that the market for the hedge is sufficiently liquid to permit rebalancing during periods of stress; and</P>
            <P>(D) Capture in the comprehensive risk model any residual risks arising from such hedging strategies;</P>
            <P>(3) The [banking organization] must use market data that are relevant in representing the risk profile of the [banking organization]'s correlation trading positions in order to ensure that the [banking organization] fully captures the material risks of the correlation trading positions in its comprehensive risk measure in accordance with this section; and</P>
            <P>(4) The [banking organization] must be able to demonstrate that its model is an appropriate representation of comprehensive risk in light of the historical price variation of its correlation trading positions.</P>
            <P>(c)<E T="03">Requirements for stress testing.</E>
            </P>
            <P>(1) A [banking organization] must at least weekly apply specific, supervisory stress scenarios to its portfolio of correlation trading positions that capture changes in:</P>
            <P>(i) Default rates;</P>
            <P>(ii) Recovery rates;</P>
            <P>(iii) Credit spreads;</P>
            <P>(iv) Correlations of underlying exposures; and</P>
            <P>(v) Correlations of a correlation trading position and its hedge.</P>
            <P>(2) Other requirements. (i) A [banking organization] must retain and make available to the [Agency] the results of the supervisory stress testing, including comparisons with the capital requirements generated by the [banking organization]'s comprehensive risk model.</P>
            <P>(ii) A [banking organization] must report to the [Agency] promptly any instances where the stress tests indicate any material deficiencies in the comprehensive risk model.</P>
            <P>(d)<E T="03">Calculation of comprehensive risk capital requirement.</E>The comprehensive risk capital requirement is the greater of:</P>
            <P>(1) The average of the comprehensive risk measures over the previous 12 weeks; or</P>
            <P>(2) The most recent comprehensive risk measure.</P>
            <HD SOURCE="HD1">Section 10. Standardized Measurement Method for Specific Risk</HD>
            <P>(a)<E T="03">General requirement.</E>A [banking organization] must calculate a total specific risk add-on for each portfolio of debt and equity positions for which the [banking organization]'s VaR-based measure does not capture all material aspects of specific risk and for all securitization positions that are not modeled under section 9 of this appendix. A [banking organization] must calculate each specific risk add-on in accordance with the requirements of this section.</P>
            <P>(1) The specific risk add-on for an individual debt or securitization position that represents purchased credit protection is capped at the market value of the protection.</P>
            <P>(2) For debt, equity, or securitization positions that are derivatives with linear payoffs, a [banking organization] must risk weight the market value of the effective notional amount of the underlying instrument or index portfolio. A swap must be included as an effective notional position in the underlying instrument or portfolio, with the receiving side treated as a long position and the paying side treated as a short position. For debt, equity, or securitization positions that are derivatives with nonlinear payoffs, a [banking organization] must risk weight the market value of the effective notional amount of the underlying instrument or portfolio multiplied by the derivative's delta.</P>
            <P>(3) For debt, equity, or securitization positions, a [banking organization] may net long and short positions (including derivatives) in identical issues or identical indices. A [banking organization] may also net positions in depositary receipts against an opposite position in an identical equity in different markets, provided that the [banking organization] includes the costs of conversion.</P>
            <P>(4) A set of transactions consisting of either a debt position and its credit derivative hedge or a securitization position and its credit derivative hedge has a specific risk add-on of zero if the debt or securitization position is fully hedged by a total return swap (or similar instrument where there is a matching of payments and changes in market value of the position) and there is an exact match between the reference obligation of the swap and the debt or securitization position, the maturity of the swap and the debt or securitization position, and the currency of the swap and the debt or securitization position.</P>
            <P>(5) The specific risk add-on for a set of transactions consisting of either a debt position and its credit derivative hedge or a securitization position and its credit derivative hedge that does not meet the criteria of paragraph (a)(4) of this section is equal to 20.0 percent of the capital requirement for the side of the transaction with the higher capital requirement when the credit risk of the position is fully hedged by a credit default swap or similar instrument and there is an exact match between the reference obligation of the credit derivative hedge and the debt or securitization position, the maturity of the credit derivative hedge and the debt or securitization position, and the currency of the credit derivative hedge and the debt or securitization position.</P>
            <P>(6) The specific risk add-on for a set of transactions consisting of either a debt position and its credit derivative hedge or a securitization position and its credit derivative hedge that does not meet the criteria of either paragraph (a)(4) or (a)(5) of this section, but in which all or substantially all of the price risk has been hedged, is equal to the specific risk add-on for the side of the transaction with the higher specific risk add-on.</P>
            <P>(b)<E T="03">Debt and securitization positions.</E>(1) Unless otherwise provided in paragraph (b)(2) of this section, the total specific risk add-on for a portfolio of debt or securitization positions is the sum of the specific risk add-ons for individual debt or securitization positions, as computed under this section. To determine the specific risk add-on for individual debt or securitization positions, a [banking organization] must multiply the absolute value of the current market value of each net long or net short debt or securitization position in the portfolio by the appropriate risk-weighting factor in Table 2. The following definitions apply to this paragraph, including Table 2:</P>
            <GPOTABLE CDEF="s50,r100,12" COLS="3" OPTS="L2,i1">
              <TTITLE>Table 2—Specific Risk Weighting Factors for Debt and Securitization Positions</TTITLE>
              <BOXHD>
                <CHED H="1">Category</CHED>
                <CHED H="1">Remaining maturity<LI>(contractual)</LI>
                </CHED>
                <CHED H="1">Risk-weighting factor<LI>(in percent)</LI>
                </CHED>
              </BOXHD>
              <ROW>
                <ENT I="01">Government</ENT>
                <ENT>N/A</ENT>
                <ENT>0.00</ENT>
              </ROW>
              <ROW>
                <ENT I="01">Qualifying</ENT>
                <ENT>6 months or less</ENT>
                <ENT>0.25</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>Over 6 months to 24 months</ENT>
                <ENT>1.00</ENT>
              </ROW>
              <ROW>
                <ENT I="22"/>
                <ENT>Over 24 months</ENT>
                <ENT>1.60</ENT>
              </ROW>
              <ROW>
                <PRTPAGE P="1919"/>
                <ENT I="01">Other</ENT>
                <ENT>N/A</ENT>
                <ENT>8.00</ENT>
              </ROW>
            </GPOTABLE>
            <P>(i) The<E T="03">government</E>category includes all debt instruments of central governments of OECD-based countries<SU>4</SU>
              <FTREF/>including bonds, Treasury bills, and other short-term instruments, as well as local currency instruments of non-OECD central governments to the extent the bank has liabilities booked in that currency.</P>
            <FTNT>
              <P>
                <SU>4</SU>Organization for Economic Cooperation and Development (OECD)-based countries is defined in [the general risk-based capital rules].</P>
            </FTNT>
            <P>(ii) The<E T="03">qualifying</E>category includes debt instruments of U.S. government-sponsored agencies, general obligation debt instruments issued by states and other political subdivisions of OECD-based countries, multilateral development banks, and debt instruments issued by U.S. depository institutions or OECD-banks that do not qualify as capital of the issuing institution.<SU>5</SU>
              <FTREF/>This category also includes other debt instruments, including corporate debt and revenue instruments issued by states and other political subdivisions of OECD countries, that are:</P>
            <FTNT>
              <P>
                <SU>5</SU>U.S. government-sponsored agencies, multilateral development banks, and OECD banks are defined in [the general risk-based capital rules].</P>
            </FTNT>
            <P>(A) Rated investment-grade by at least two nationally recognized credit rating services;</P>
            <P>(B) Rated investment-grade by one nationally recognized credit rating agency and not rated less than investment-grade by any other credit rating agency; or</P>
            <P>(C) Unrated, but deemed to be of comparable investment quality by the reporting bank and the issuer has instruments listed on a recognized stock exchange, subject to review by the [Agency].</P>
            <P>(iii) The<E T="03">other</E>category includes debt instruments that are not included in the government or qualifying categories.</P>
            <P>(2)<E T="03">N</E>
              <E T="51">th</E>
              <E T="03">-to-default credit derivatives.</E>The total specific risk add-on for a portfolio of n<E T="51">th</E>-to-default credit derivatives is the sum of the specific risk add-ons for individual n<E T="51">th</E>-to-default credit derivatives, as computed under this paragraph. The specific risk add-on for each n<E T="51">th</E>-to-default credit derivative position applies irrespective of whether a [banking organization] is a net protection buyer or net protection seller. A [banking organization] must calculate the specific risk add-on for each n<E T="51">th</E>-to-default credit derivative as follows:</P>
            <P>(i) First-to-default credit derivatives.</P>
            <P>(A) The specific risk add-on for a first-to-default credit derivative is the lesser of:</P>
            <P>(1) The sum of the specific risk add-ons for the individual reference credit exposures in the group of reference exposures; or</P>
            <P>(2) The maximum possible credit event payment under the credit derivative contract.</P>
            <P>(B) Where a [banking organization] has a risk position in one of the reference credit exposures underlying a first-to-default credit derivative and this credit derivative hedges the [banking organization]'s risk position, the [banking organization] is allowed to reduce both the specific risk add-on for the reference credit exposure and that part of the specific risk add-on for the credit derivative that relates to this particular reference credit exposure such that its specific risk add-on for the pair reflects the bank's net position in the reference credit exposure. Where a [banking organization] has multiple risk positions in reference credit exposures underlying a first-to-default credit derivative, this offset is allowed only for the underlying reference credit exposure having the lowest specific risk add-on.</P>
            <P>(ii) Second-or-subsequent-to-default credit derivatives.</P>
            <P>(A) The specific risk add-on for a second-or-subsequent-to-default credit derivative is the lesser of:</P>
            <P>(1) The sum of the specific risk add-ons for the individual reference credit exposures in the group of reference exposures, but disregarding the (n-1) obligations with the lowest specific risk add-ons; or</P>
            <P>(2) The maximum possible credit event payment under the credit derivative contract.</P>
            <P>(B) For second-or-subsequent-to-default credit derivatives, no offset of the specific risk add-on with an underlying reference credit exposure is allowed.</P>
            <P>(c)<E T="03">Equity positions.</E>The total specific risk add-on for a portfolio of equity positions is the sum of the specific risk add-ons of the individual equity positions, as computed under this section. To determine the specific risk add-on of individual equity positions, a [banking organization] must multiply the absolute value of the current market value of each net long or net short equity position by the appropriate risk-weighting factor as determined under this paragraph.</P>
            <P>(1) The [banking organization] must multiply the absolute value of the current market value of each net long or net short equity position by a risk-weighting factor of 8.0 percent. For equity positions that are index contracts comprising a well-diversified portfolio of equity instruments, the absolute value of the current market value of each net long or net short position is multiplied by a risk-weighting factor of 2.0 percent.<SU>6</SU>
              <FTREF/>
            </P>
            <FTNT>
              <P>
                <SU>6</SU>A portfolio is well-diversified if it contains a large number of individual equity positions, with no single position representing a substantial portion of the portfolio's total market value.</P>
            </FTNT>
            <P>(2) For equity positions arising from the following futures-related arbitrage strategies, a [banking organization] may apply a 2.0 percent risk-weighting factor to one side (long or short) of each position with the opposite side exempt from an additional capital requirement:</P>
            <P>(i) Long and short positions in exactly the same index at different dates or in different market centers; or</P>
            <P>(ii) Long and short positions in index contracts at the same date in different, but similar indices.</P>
            <P>(3) For futures contracts on main indices that are matched by offsetting positions in a basket of stocks comprising the index, a [banking organization] may apply a 2.0 percent risk-weighting factor to the futures and stock basket positions (long and short), provided that such trades are deliberately entered into and separately controlled, and that the basket of stocks is comprised of stocks representing at least 90.0 percent of the capitalization of the index. A main index refers to the Standard &amp; Poor's 500 Index, the FTSE All-World Index, and any other index for which the [banking organization] can demonstrate to the satisfaction of the [AGENCY] that the equities represented in the index have liquidity, depth of market, and size of bid-ask spreads comparable to equities in the Standard &amp; Poor's 500 Index and FTSE All-World Index.</P>
            <P>(d)(1) A [banking organization] must be able to demonstrate to the satisfaction of the [Agency] a comprehensive understanding of the features of a securitization position that would materially affect the performance of the position. The [banking organization]'s analysis must be commensurate with the complexity of the securitization position and the materiality of the position in relation to capital.</P>
            <P>(2) To support the demonstration of its comprehensive understanding, for each securitization position a [banking organization] must:</P>
            <P>(i) Conduct and document an analysis of the risk characteristics of a securitization position prior to acquiring the position, considering:</P>
            <P>(A) Structural features of the securitization that would materially impact the performance of the position, for example, the contractual cash flow waterfall, waterfall-related triggers, credit enhancements, liquidity enhancements, market value triggers, the performance of organizations that service the position, and deal-specific definitions of default;</P>
            <P>(B) Relevant information regarding the performance of the underlying credit exposure(s), for example, the percentage of loans 30, 60, and 90 days past due; default rates; prepayment rates; loans in foreclosure; property types; occupancy; average credit score or other measures of creditworthiness; average LTV ratio; and industry and geographic diversification data on the underlying exposure(s);</P>

            <P>(C) Relevant market data of the securitization, for example, bid-ask spreads, most recent sales price and historical price volatility, trading volume, implied market<PRTPAGE P="1920"/>rating, and size, depth and concentration level of the market for the securitization; and</P>
            <P>(D) For resecuritization positions, performance information on the underlying securitization exposures, for example, the issuer name and credit quality, and the characteristics and performance of the exposures underlying the securitization exposures; and</P>
            <P>(ii) On an on-going basis (no less frequently than quarterly), evaluate, review, and update as appropriate the analysis required under paragraph (d)(1) of this section for each securitization position.</P>
            <HD SOURCE="HD1">Section 11. Market Risk Disclosures</HD>
            <P>(a)<E T="03">Scope.</E>A [banking organization] must comply with this section unless it is a consolidated subsidiary of a bank holding company or a depository institution that is subject to these requirements or of a non-U.S. banking organization that is subject to comparable public disclosure requirements in its home jurisdiction. Quantitative disclosures must be made publicly each calendar quarter. If a significant change occurs, such that the most recent reporting amounts are no longer reflective of the [banking organization]'s capital adequacy and risk profile, then a brief discussion of this change and its likely impact must be provided as soon as practicable thereafter. Qualitative disclosures that typically do not change each quarter may be disclosed annually, provided any significant changes are disclosed in the interim. If a [banking organization] believes that disclosure of specific commercial or financial information would prejudice seriously its position by making public certain information that is either proprietary or confidential in nature, the [banking organization] need not disclose these specific items, but must disclose more general information about the subject matter of the requirement, together with the fact that, and the reason why, the specific items of information have not been disclosed.</P>
            <P>(b)<E T="03">Disclosure policy.</E>The [banking organization] must have a formal disclosure policy approved by the board of directors that addresses the [banking organization]'s approach for determining the market risk disclosures it makes. The policy must address the associated internal controls and disclosure controls and procedures. The board of directors and senior management must ensure that appropriate verification of the disclosures takes place and that effective internal controls and disclosure controls and procedures are maintained. One or more senior officers of the [banking organization] must attest that the disclosures meet the requirements of this appendix, and the board of directors and senior management are responsible for establishing and maintaining an effective internal control structure over financial reporting, including the disclosures required by this section.</P>
            <P>(c)<E T="03">Quantitative disclosures.</E>
            </P>
            <P>(1) For each portfolio of covered positions, the [banking organization] must publicly disclose the following information at least quarterly:</P>
            <P>(i) The high, low, median, and mean VaR-based measures over the reporting period and the VaR-based measure at period-end;</P>
            <P>(ii) The high, low, median, and mean stressed VaR-based measures over the reporting period and the stressed VaR-based measure at period-end;</P>
            <P>(iii) The high, low, median, and mean incremental risk capital requirements over the reporting period and the incremental risk capital requirement at period-end;</P>
            <P>(iv) The high, low, median, and mean comprehensive risk capital requirements over the reporting period and the comprehensive risk capital requirement at period-end, with the period-end requirement broken down into appropriate risk classifications (for example, default risk, migration risk, correlation risk);</P>
            <P>(v) Separate measures for interest rate risk, credit spread risk, equity price risk, foreign exchange risk, and commodity price risk used to calculate the VaR-based measure; and</P>
            <P>(vi) A comparison of VaR-based estimates with actual gains or losses experienced by the [banking organization], with an analysis of important outliers.</P>
            <P>(2) In addition, the [banking organization] must publicly disclose the following information at least quarterly:</P>
            <P>(i) The aggregate amount of on-balance sheet and off-balance sheet securitization positions by exposure type; and</P>
            <P>(ii) The aggregate amount of correlation trading positions.</P>
            <P>(d)<E T="03">Qualitative disclosures.</E>
            </P>
            <P>(1) For each portfolio of covered positions, the [banking organization] must publicly disclose the following information at least annually, or more frequently in the event of material changes for each portfolio:</P>
            <P>(i) The composition of material portfolios of covered positions;</P>
            <P>(ii) The [banking organization]'s valuation policies, procedures, and methodologies for covered positions including, for securitization positions, the methods and key assumptions used for valuing such positions, any significant changes since the last reporting period, and the impact of such change;</P>
            <P>(iii) The characteristics of the internal models used for purposes of this appendix. For the incremental risk capital requirement and the comprehensive risk capital requirement, this must include:</P>
            <P>(A) The approach used by the [banking organization] to determine liquidity horizons;</P>
            <P>(B) The methodologies used to achieve a capital assessment that is consistent with the required soundness standard; and</P>
            <P>(C) The specific approaches used in the validation of these models;</P>
            <P>(iv) A description of the approaches used for validating and evaluating the accuracy of internal models and modeling processes for purposes of this appendix;</P>
            <P>(v) For each market risk category (that is, interest rate risk, credit spread risk, equity price risk, foreign exchange risk, and commodity price risk), a description of the stress tests applied to the positions subject to the factor;</P>
            <P>(vi) The results of the comparison of the [banking organization]'s internal estimates for purposes of this appendix with actual outcomes during a sample period not used in model development;</P>
            <P>(vii) The soundness standard on which the [banking organization]'s internal capital adequacy assessment under this appendix is based, including a description of the methodologies used to achieve a capital adequacy assessment that is consistent with the soundness standard;</P>
            <P>(2) A description of the [banking organization]'s processes for monitoring changes in the credit and market risk of securitization positions, including how those processes differ for resecuritization positions; and</P>
            <P>(3) A description of the [banking organization]'s policy governing the use of credit risk mitigation to mitigate the risks of securitization and resecuritization positions.</P>
          </EXTRACT>
          
          <P>[End of Common Text]</P>
          <LSTSUB>
            <HD SOURCE="HED">List of Subjects</HD>
            <CFR>12 CFR Part 3</CFR>
            <P>Administrative practices and procedure, Capital, National banks, Reporting and recordkeeping requirements, Risk.</P>
            <CFR>12 CFR Part 208</CFR>
            <P>Confidential business information, Crime, Currency, Federal Reserve System, Mortgages, reporting and recordkeeping requirements, Securities.</P>
            <CFR>12 CFR Part 225</CFR>
            <P>Administrative practice and procedure, Banks, banking, Federal Reserve System, Holding companies, Reporting and recordkeeping requirements, Securities.</P>
            <CFR>12 CFR Part 325</CFR>
            <P>Administrative practice and procedure, Banks, banking, Capital Adequacy, Reporting and recordkeeping requirements, Savings associations, State non-member banks.</P>
          </LSTSUB>
          <HD SOURCE="HD1">Adoption of Proposed Common Rule</HD>
          <P>The adoption of the proposed common rules by the agencies, as modified by agency-specific text, is set forth below:</P>
          <HD SOURCE="HD1">Department of the Treasury</HD>
          <HD SOURCE="HD2">Office of the Comptroller of the Currency</HD>
          <HD SOURCE="HD1">12 CFR Chapter I</HD>
          <HD SOURCE="HD1">Authority and Issuance</HD>
          <P>For the reasons set forth in the common preamble, part 3 of chapter I of title 12 of the Code of Federal Regulations is proposed to be amended as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 3—MINIMUM CAPITAL RATIOS; ISSUANCE OF DIRECTIVES</HD>
            <P>1. The authority citation for part 3 continues to read as follows:</P>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>12 U.S.C. 93a, 161, 1818, 3907 and 3909.</P>
            </AUTH>
            
            <PRTPAGE P="1921"/>
            <P>2. Appendix B to part 3 is revised to read as set forth at the end of the common preamble.</P>
            <HD SOURCE="HD1">Appendix B to Part 3—Risk-Based Capital Guidelines; Market Risk Adjustment</HD>
            <P>3. Appendix B to part 3 is further amended by:</P>
            <P>a. Removing “[the advanced capital adequacy framework]” wherever it appears and adding in its place “Appendix C to this part”;</P>
            <P>b. Removing “[Agency]” wherever it appears and adding in its place “OCC”;</P>
            <P>c. Removing “[Agency's]” wherever it appears and adding in its place “OCC's”;</P>
            <P>d. Removing “[banking organization]” wherever it appears and adding in its place “bank”;</P>
            <P>e. Removing “[banking organizations]” wherever it appears and adding in its place “banks”;</P>
            <P>f. Removing “[Call Report or FR Y-9C]” wherever it appears and adding in its place “Call Report”;</P>
            <P>g. Removing “[regulatory report]” wherever it appears and adding in its place “Consolidated Reports of Condition and Income (Call Report)”;</P>
            <P>h. Removing “[the general risk-based capital rules]” wherever it appears and adding in its place “Appendix A to this part”.</P>
            <HD SOURCE="HD1">Board of Governors of the Federal Reserve System</HD>
            <HD SOURCE="HD1">12 CFR Chapter II</HD>
            <HD SOURCE="HD1">Authority and Issuance</HD>
            <P>For the reasons set forth in the common preamble, parts 208 and 225 of chapter II of title 12 of the Code of Federal Regulations are proposed to be amended as follows:</P>
          </PART>
          <PART>
            <HD SOURCE="HED">PART 208—MEMBERSHIP OF STATE BANKING INSTITUTIONS IN THE FEDERAL RESERVE SYSTEM (REGULATION H)</HD>
            <P>4. The authority citation for part 208 continues to read as follows:</P>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>12 U.S.C. 24, 36, 92a, 93a, 248(a), 248(c), 321-338a, 371d, 461, 481-486, 601, 611, 1814, 1816, 1818, 1820(d)(9), 1833(j), 1828(o), 1831, 1831o, 1831p-1, 1831r-1, 1831w, 1831x, 1835a, 1882, 2901-2907, 3105, 3310, 3331-3351, and 3905-3909; 15 U.S.C. 78b, 78I(b), 78l(i), 780-4(c)(5), 78q, 78q-1, and 78w, 1681s, 1681w, 6801, and 6805; 31 U.S.C. 5318; 42 U.S.C. 4012a, 4104a, 4104b, 4106 and 4128.</P>
            </AUTH>
            
            <P>5. Appendix E to part 208 is revised to read as set forth at the end of the common preamble.</P>
            <HD SOURCE="HD1">Appendix E to Part 208—Capital Adequacy Guidelines for State Member Banks: Market Risk Measure</HD>
            <P>6. Appendix E to part 208 is amended by:</P>
            <P>a. Removing “[the advanced capital adequacy framework]” wherever it appears and adding in its place “Appendix F to this part”;</P>
            <P>b. Removing “[Agency]” wherever it appears and adding in its place “Board”;</P>
            <P>c. Removing “[Agency's]” wherever it appears and adding in its place “Board's”;</P>
            <P>d. Removing “[banking organization]” wherever it appears and adding in its place “bank”;</P>
            <P>e. Removing “[banking organizations]” wherever it appears and adding in its place “banks”;</P>
            <P>f. Removing “[Call Report or FR Y-9C]” wherever it appears and adding in its place “Call Report”;</P>
            <P>g. Removing “[regulatory report]” wherever it appears and adding in its place “Consolidated Reports of Condition and Income (Call Report)”;</P>
            <P>h. Removing “[the general risk-based capital rules]” wherever it appears and adding in its place “Appendix A to this part”.</P>
          </PART>
          <PART>
            <HD SOURCE="HED">PART 225—BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL (REGULATION Y)</HD>
            <P>7. The authority citation for part 225 continues to read as follows:</P>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>12 U.S.C. 1817(j)(13), 1818, 1828(o), 1831i, 1831p-1, 1843(c)(8), 1844(b), 1972(1), 3106, 3108, 3310, 3331-3351, 3907, and 3909; 15 U.S.C. 1681s, 1681w, 6801 and 6805.</P>
            </AUTH>
            
            <P>8. Appendix E to part 225 is revised to read as set forth at the end of the common preamble.</P>
            <HD SOURCE="HD1">Appendix E to Part 225—Capital Adequacy Guidelines for Bank Holding Companies: Market Risk Measure</HD>
            <P>9. Appendix E is amended by:</P>
            <P>a. Removing “[the advanced capital adequacy framework]” wherever it appears and adding in its place “Appendix G to this part”;</P>
            <P>b. Removing “[Agency]” wherever it appears and adding in its place “Board”;</P>
            <P>c. Removing “[Agency's]” wherever it appears and adding in its place “Board's”;</P>
            <P>d. Removing “[banking organization]” wherever it appears and adding in its place “bank holding company”;</P>
            <P>e. Removing “[banking organizations]” wherever it appears and adding in its place “bank holding companies”;</P>
            <P>f. Removing “[Call Report or FR Y-9C]” wherever it appears and adding in its place “FR Y-9C”;</P>
            <P>g. Removing “[regulatory report]” wherever it appears and adding in its place “Consolidated Financial Statements for Bank Holding Companies (FR Y-9C)”; and</P>
            <P>h. Removing “[the general risk-based capital rules]” wherever it appears and adding in its place “Appendix A to this part”.</P>
            <HD SOURCE="HD1">Federal Deposit Insurance Corporation</HD>
          </PART>
          <CHAPTER>
            <HD SOURCE="HED">12 CFR Chapter III</HD>
          </CHAPTER>
          <HD SOURCE="HD1">Authority and Issuance</HD>
          <P>For the reasons set forth in the common preamble, part 325 of chapter III of title 12 of the Code of Federal Regulations is proposed to be amended as follows:</P>
          <PART>
            <HD SOURCE="HED">PART 325—CAPITAL MAINTENANCE</HD>
            <P>10. The authority citation for part 325 continues to read as follows:</P>
            <AUTH>
              <HD SOURCE="HED">Authority:</HD>
              <P>12 U.S.C. 1815(a), 1815(b), 1816, 1818(a), 1818(b), 1818(c), 1818(t), 1819(Tenth), 1828(c), 1828(d), 1828(i), 1828(n), 1828(o), 1831o, 1835, 3907, 3909, 4808; Pub. L. 102-233, 105 Stat. 1761, 1789, 1790 (12 U.S.C. 1831n note); Pub. L. 102-242, 105 Stat. 2236, 2355, as amended by Pub. L. 103-325, 108 Stat. 2160, 2233 (12 U.S.C. 1828 note); Pub. L. 102-242, 105 Stat. 2236, 2386, as amended by Pub. L. 102-550, 106 Stat. 3672, 4089 (12 U.S.C. 1828 note).</P>
            </AUTH>
            
            <P>11. Appendix C to part 325 is revised to read as set forth at the end of the common preamble.</P>
            <HD SOURCE="HD1">Appendix C to Part 325—Risk-Based Capital for State Nonmember Banks: Market Risk</HD>
            <P>12. Appendix C is further amended by:</P>
            <P>a. Removing “[Agency]” wherever it appears and adding in its place “FDIC”;</P>
            <P>b. Removing “[Agency's]” wherever it appears and adding in its place “FDIC's”;</P>
            <P>c. Removing “[banking organization]” wherever it appears and adding in its place “bank”;</P>
            <P>d. Removing “[banking organizations]” wherever it appears and adding in its place “banks”;</P>
            <P>e. Removing [Call Report or FR Y-9C] wherever it appears and adding in its place “Call Report”;</P>
            <P>f. Removing “[the advanced capital adequacy framework]” wherever it appears and adding in its place “Appendix D to this part”;</P>
            <P>g. Removing “[regulatory report]” wherever it appears and adding in its place “Consolidated Reports of Condition and Income (Call Report)”;</P>
            <P>h. Removing “[the general risk-based capital rules]” wherever it appears and adding in its place “Appendix A to this part”.</P>
            <SIG>
              <PRTPAGE P="1922"/>
              <DATED>Dated: December 15, 2010.</DATED>
              <NAME>John Walsh,</NAME>
              <TITLE>Acting Comptroller of the Currency.</TITLE>
              <DATED>By order of the Board of Governors of the Federal Reserve System, December 14, 2010.</DATED>
              <NAME>Robert deV. Frierson,</NAME>
              <TITLE>Deputy Secretary of the Board.</TITLE>
              <DATED>Dated at Washington, DC, this 14th of December 2010. By order of the Board of Directors. Federal Deposit Insurance Corporation.</DATED>
              <NAME>Robert E. Feldman,</NAME>
              <TITLE>Executive Secretary.</TITLE>
            </SIG>
          </PART>
        </SUPLINF>
        <FRDOC>[FR Doc. 2010-32189 Filed 1-10-11; 8:45 am]</FRDOC>
        <BILCOD>BILLING CODE 4810-33-P; 6210-01-P; 6714-01-P; 6720-01-P</BILCOD>
      </PRORULE>
    </PRORULES>
  </NEWPART>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Notices</UNITNAME>
  <NEWPART>
    <PTITLE>
      <PRTPAGE P="1923"/>
      <PARTNO>Part V</PARTNO>
      <AGENCY TYPE="P">Department of Defense</AGENCY>
      <TITLE>Science and Technology Reinvention Laboratory Personnel Management Demonstration Project, Department of the Navy (DON), Space and Naval Warfare Systems Center (SSC), SSC Atlantic and SSC Pacific; Notice</TITLE>
    </PTITLE>
    <NOTICES>
      <NOTICE>
        <PREAMB>
          <PRTPAGE P="1924"/>
          <AGENCY TYPE="S">DEPARTMENT OF DEFENSE</AGENCY>
          <SUBAGY>Office of the Secretary</SUBAGY>
          <SUBJECT>Science and Technology Reinvention Laboratory Personnel Management Demonstration Project, Department of the Navy (DON), Space and Naval Warfare Systems Center (SSC), SSC Atlantic and SSC Pacific</SUBJECT>
          <AGY>
            <HD SOURCE="HED">AGENCY:</HD>
            <P>Office of the Deputy Under Secretary of Defense (Civilian Personnel Policy) (DUSD (CPP)), DoD.</P>
          </AGY>
          <ACT>
            <HD SOURCE="HED">ACTION:</HD>
            <P>Notice.</P>
          </ACT>
          <SUM>
            <HD SOURCE="HED">SUMMARY:</HD>

            <P>Section 342(b) of the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 1995, Public Law (Pub. L.) 103-337 (10 U.S.C. 2358 note), as amended by section 1109 of NDAA for FY 2000, Public Law 106-65, and section 1114 of NDAA for FY 2001, Public Law 106-398, authorizes the Secretary of Defense to conduct personnel demonstration projects at DoD laboratories designated as Science and Technology Reinvention Laboratories (STRLs). The above-cited legislation authorizes DoD to conduct demonstration projects to determine whether a specified change in personnel management policies or procedures would result in improved Federal personnel management. Section 1105 of the NDAA for FY 2010, Public Law 111-84, 123 Stat. 2486, October 28, 2009, designates additional DoD laboratories as STRLs for the purpose of designing and implementing personnel management demonstration projects for conversion of employees from the personnel system which applied on October 28, 2009. The SSC Atlantic and SSC Pacific are listed in subsection 1105(a) of NDAA for FY 2010 as two of the newly designated STRLs. These two STRLs will be the participants in the demonstration project proposal described in this<E T="04">Federal Register</E>notice (FRN).</P>
          </SUM>
          <DATES>
            <HD SOURCE="HED">DATES:</HD>
            <P>Implementation of this demonstration project will begin no earlier than March 1, 2011.</P>
          </DATES>
          <FURINF>
            <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
            <P>
              <E T="03">SSC Atlantic:</E>Ms. Carissa Miller, SSC Atlantic STRL Transition Project Lead, SSC Atlantic, P.O. Box 190022, North Charleston, SC 29419-9022: or via e-mail:<E T="03">Carissa.miller@navy.mil.</E>
            </P>
            <P>
              <E T="03">SSC Pacific:</E>Mr. Michael McMillan, SSC Pacific STRL Transition Project Lead, Space and Naval Warfare Systems Center Pacific, 53560 Hull Street, San Diego CA 92152-5001; or via email:<E T="03">Michael.mcmillan1@navy.mil</E>
            </P>
            <P>
              <E T="03">DoD:</E>Ms. Betty A. Duffield, CPMS-PSSC, Suite B-200, 1400 Key Boulevard, Arlington, VA 22209-5144</P>
          </FURINF>
        </PREAMB>
        <SUPLINF>
          <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
          <HD SOURCE="HD1">1. Background</HD>
          <P>SSC Atlantic and SSC Pacific are in a unique position relative to most DoD STRL laboratories. They previously participated in the development of and operated under the China Lake/Naval Ocean Systems Center demonstration project before being converted to the National Security Personnel System (NSPS). As a direct result of these personnel system experiences, SSC Atlantic and SSC Pacific have the benefit of being in earlier personnel systems designed to correct and alleviate shortfalls related to flexibilities in hiring, compensating, and retaining employees while assessing performance and its results in a dynamic environment. Given this exposure, SSC Atlantic and SSC Pacific consider STRL conversion an ideal evolutionary opportunity in employee management, and further intend to incorporate the most effective philosophies, methods, practices, and procedures from both legacy systems, as well as the experiences of other DoD STRL projects.</P>
          <P>The Centers' organizational experience indicates that the contribution-based personnel management and compensation methodology affords the best opportunity to appropriately evaluate and compensate employees, while emphasizing the employees' contributions towards organizational goals and objectives.</P>
          <P>SSC Atlantic and SSC Pacific must be able to compete with the private sector for the best talent, and be able to make job offers in a timely manner with the attendant compensation that attracts high-quality employees. Once these employees are hired, it is necessary to have the means to appropriately reward and incentivize their contribution to ensure that the creative and motivational process is continually renewed. Compensation must be directly linked to the levels of individual contributions to the organization. High contributors must be rewarded both to encourage their continued contributions and to increase the probability of their retention. Similarly, lower contributing individuals should receive less compensation than high contributors and unacceptable performance must be addressed by appropriate corrective measures (e.g., an improvement plan, demotion, or removal). Compensation must also be appropriate to the position held and its responsibilities relative to the organizational goals.</P>
          <P>The Systems Centers will also take advantage of flexibilities that will simplify and speed classification and staffing actions for employees, such as competitive examining, expanded details and temporary promotions, and modified term appointments.</P>
          <HD SOURCE="HD1">2. Overview</HD>
          <P>The NDAA for FY 2010 not only designated new STRLs but also repealed the National Security Personnel System (NSPS) mandating conversion of NSPS covered employees to their former personnel system or one that would have applied absent the NSPS. A number of SSC Atlantic and SSC Pacific employees are covered by the NSPS and must be converted to another personnel system. Section 1105 of NDAA for FY 2010 stipulates the STRLs designated in subsection (a) of section 1105 may not implement any personnel system, other than a personnel system under an appropriate demonstration project as defined in section 342(b) of Public Law 103-337, as amended, without prior congressional authorization. In addition, any conversion under the provisions of section 1105 shall not adversely affect any employee with respect to pay or any other term or condition of employment; shall be consistent with title 5 United States Code (U.S.C.) 4703(f); and shall be completed within 18 months after enactment of NDAA for FY 2010. Therefore, since SSC Atlantic and SSC Pacific are both designated STRLs by section 1105 of NDAA for FY 2010 and have NSPS covered employees, they must convert, at a minimum, their NSPS covered employees to a personnel management demonstration project before the end of April 2011.</P>

          <P>On August 24, 2010, DoD published the proposed demonstration project plan in the<E T="04">Federal Register</E>, Volume 75, No. 163 pages 52139 through 52171. During the public comment period ending September 23, 2010, DoD received 48 comments from 8 individuals. All comments and recommendations were carefully considered.</P>

          <P>The following summary addresses comments received, provides responses, and notes resultant changes from the original project plan as presented in the first<E T="04">Federal Register</E>Notice. Most commenters addressed multiple comments which were counted separately, resulting in a number of comments which exceeds the number of individual commenters cited.</P>
          <HD SOURCE="HD2">A. Editorial and General Comments</HD>
          <P>1.<E T="03">Comment:</E>One commenter addressed the fact that the introductory section of the Federal Register Notice contains an error. The contact section cites the SSC Atlantic Transition Project<PRTPAGE P="1925"/>Lead as Mr. Erick Fry. Ms. Carissa Miller has replaced Mr. Fry in this function. Recommend updating the contact section with current information.</P>
          <P>
            <E T="03">Response:</E>SSC Atlantic and SSC Pacific agree with the commenter and have made that correction.</P>
          <P>2.<E T="03">Comment:</E>One commenter noted three errors in the Table of Contents (TOC) section of the FRN. Sections II.6.a, II.2.b, and II.5.e, are all missing from the TOC.</P>
          <P>
            <E T="03">Response:</E>Concur. We have corrected this administrative oversight.</P>
          <P>3.<E T="03">Comment:</E>Commenter noted inconsistent sub-titling throughout TOC.</P>
          <P>
            <E T="03">Response:</E>Concur. We have corrected this administrative oversight.</P>
          <P>4.<E T="03">Comment:</E>Commenter noted that the TOC, section VIII.B. “waivers to Title 5” is missing “CFR” which appears in the title later in the document.</P>
          <P>
            <E T="03">Response:</E>Concur. We have corrected this administrative oversight.</P>
          <P>5.<E T="03">Comment:</E>Commenter noted that section II.1/f.(3). Titled “Provisions:” has an inconsistent numbering convention, and recommended that the subsection numbering “(2), (3), (4), (5),” be replaced with “(b), (c), (d), and (e).”</P>
          <P>
            <E T="03">Response:</E>We agree with the commenter and have made this correction.</P>
          <P>6.<E T="03">Comment:</E>One commenter noted that Section IV contains mis-numbered sub-sections. Section IV, Paragraph one, references sections V.B., V.C., and V.D. to IV.B, IV.C, and IV.D.</P>
          <P>
            <E T="03">Response:</E>Concur. We have corrected this administrative oversight.</P>
          <P>7.<E T="03">Comment:</E>Commenter noted inconsistencies throughout the document in the use of capitalization of titles and sub-titles, and recommended a review to ensure consistency.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter. We have reviewed and addressed consistency of titling.</P>
          <P>8.<E T="03">Comment:</E>Commenter noted inconsistencies throughout the document in the use and appearance of the e.g., and i.e., and recommended a review to ensure consistent nomenclature.</P>
          <P>
            <E T="03">Response:</E>We concur with the commenter and have reviewed and addressed consistency in use of referenced terms.</P>
          <P>9.<E T="03">Comment:</E>One commenter noted that Figure 3.1 in Section V., Demonstration Project Costs, shows no costs associated with project evaluation in FY 2011, yet the demonstration project is required to conduct a baseline workforce survey prior to transition. The commenter requested clarification relative to this being an administrative oversight, and recommended providing an amended table.</P>
          <P>
            <E T="03">Response:</E>We concur with the commenter and have corrected this oversight, adding funds to evaluation costs for FY 2011.</P>
          <HD SOURCE="HD2">B. Methodology and Personnel System</HD>
          <HD SOURCE="HD3">1. Hiring and Appointment Authorities</HD>
          <P>a.<E T="03">Comment:</E>One commenter requested clarification of the following sentence in section II.B.1.a, Expanded Detail Authority: “Effect details up to one year to specified positions at the same or similar level.” Commenter also requested the definition of “similar.”</P>
          <P>
            <E T="03">Response:</E>In this case, “similar” positions would be ones at a pay band with the same maximum base salary.</P>
          <P>b.<E T="03">Comment:</E>One commenter recommended changing the following sentence in section II.B.1.b, “If a non-citizen candidate is the only qualified candidate for the position, the candidate may be appointed.” To: “If a non-citizen candidate is the only qualified candidate for the position, the candidate may be appointed with documentation/justification of recruiting efforts and selection made. Neither SSC Atlantic nor SSC Pacific establish or maintain the files of qualified citizen candidates.”</P>
          <P>
            <E T="03">Response:</E>Concur with commenter, and have amended section appropriately. Section II.B.1.b details the extensive recruitment efforts that must occur prior to hiring a non-citizen to include use of “paid advertisements * * * as well as normal recruiting methods.” Recruitment files are maintained for two years at the Human Resource Servicing Centers (HRSC) and will be available for audit if necessary. Local guidance will further define the justification package necessary to support approval by the local Technical Directors.</P>
          <P>c.<E T="03">Comment:</E>Two commenters addressed section II.B.1.g.(1), Delegated Examining. One noted that SSC STRL does not seem to have Delegated Examining while other DoD labs do; a second commenter suggested that Delegated Examining should be delegated to HRSCs (vice the applicable HRO) and not be further delegated.</P>
          <P>
            <E T="03">Response:</E>The STRL does intend to make use of Delegated Examining as part of its implementation. The laboratory has engaged both Navy and DoD on this issue throughout the development of this demonstration project plan. Other STRL's have shown that having this ability is very important to the success of the demonstration project. To maintain flexibility in the use of delegated examining, it is intended to maintain the original language on the administration of this authority.</P>
          <P>d.<E T="03">Comment:</E>One commenter addressed the examining process in Section II.B.1.g.(2), relative to our elimination of the rule of three, and recommended a rewording of the entire section to comply with upcoming hiring reforms that will be in effect November 1, 2010.</P>
          <P>
            <E T="03">Response:</E>After a review of the Presidential Memorandum dated May 11, 2010 on Improving the Federal Recruitment and Hiring Process and subsequent component guidance issued September 17, 2010, the commenter's suggestion was adopted. These documents direct the use of category rating to fill positions through Delegated Examining and eliminate the use of the “rule of three” not later than November 1, 2010. This section will be modified accordingly.</P>
          <P>e.<E T="03">Comment:</E>One commenter noted that in section II.B.1.f.(3), “Provisions:” contains some confusing language in its reference to declinations and difficulties relative to veteran hiring. It was not clear if the reference to declinations and difficulties were as a result of veteran hiring, or were in the process of veteran hiring or somehow unrelated.</P>
          <P>
            <E T="03">Response:</E>The language was clarified and the redundant listing of declinations removed to clarify that it was not associated with veteran hires. The number of veterans hired is one of many items in a list of items that will be reviewed in the evaluation of this flexibility.</P>
          <P>f.<E T="03">Comment:</E>Two commenters noted that in section II.B.1.f.(2).a, “Definitions,” and II.B.1.h. Distinguished Scholastic Achievement Appointment, science and engineering (S&amp;E) positions should be defined “in accordance with OPM guidance.” And that similarly, the next subsection b., should refer to “accredited colleges” as those so defined by OPM.</P>
          <P>
            <E T="03">Response:</E>The commenter's suggestion is adopted and these changes have been made.</P>
          <P>g.<E T="03">Comment:</E>One commenter noted that in section II.B.1.f.(6), evaluation of direct hire, that the Navy's Human Resources Reporting System (HRRS) tool might be a good source for some of the data required for the evaluation.</P>
          <P>
            <E T="03">Response:</E>SSC management appreciates the insight and will explore using that tool for some of the requirements.</P>
          <HD SOURCE="HD3">2. Career Path Pay Band Structure</HD>
          <P>a.<E T="03">Comment:</E>One commenter recommended adding to Section II.B.2.d., Seamless Movement to a Higher Band Level, to clarify that such band movement can only occur as a result of competitive merit promotion<PRTPAGE P="1926"/>procedures or via an alternate method of promotion such as an assessment board.</P>
          <P>
            <E T="03">Response:</E>This recommendation is not adopted as it defies the original intent and practice associated with Seamless Pay Band Movement as previously defined and accepted by other laboratories. As implemented at other STRLs, Seamless Pay Band Movement is in and of itself an alternative method of personnel action.</P>
          <P>b.<E T="03">Comment:</E>One commenter recommended changes to the wording in section II.B.2.a, Career Path and Pay Band Structure, as follows: Change “GS occupations are further broken down into five separate career paths” To: “The five distinct career paths within SSC STRL are:” for clarity.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter and made the change as recommended.</P>
          <P>c.<E T="03">Comment:</E>One commenter addressed the description of the Supervisor/Manager Career Path noting that the definition of the requirement for the Supervisor/Manager Career Path only requires more than one employee and felt the number should be three or more and those with less should only get the supervisory differential in an effort to be fiscally responsible.</P>
          <P>
            <E T="03">Response:</E>The commenter may not understand the intended use of the Differential for Supervisory Functions. The intent is not to apply the Differential for Supervisory Functions to every position in the Supervisor/Manager Career Path, but to utilize this differential for very specific and targeted managerial functions of high significance to the organization. As the differential will not be applied “across the board” to the Supervisor/Manager Career Path and pay bands, the description of a supervisory position not being established on the basis of one subordinate position enables us to designate and groom supervisors and managers, generating a culture of leadership which is initiated early in a supervisory career. As the differential for supervisory functions is a targeted mechanism, not a general one, the supervisory differential assumes no additional fiscal burden on the demonstration project.</P>
          <P>d.<E T="03">Comment:</E>One commenter requested clarification of language in section II.B.2.c, which describes and summarizes the career path structure. The ND (S&amp;E) career path originally had a pay band 6, which was to be the Professional, Scientific, and Technical Corps positions. Upon discussion with DoD, this pay band was re-designated NM-6 (Supervisor/Manager Career Path) to be consistent with requirements associated with those positions. The language in the FRN still has some references to the previous ND-6 pay band. Another commenter noted a similar discrepancy in section II.B.3b.</P>
          <P>
            <E T="03">Response:</E>Concur with commenters. We have reworded these sections to clarify placement of the Above GS-15 positions in the NM-6 pay band.</P>
          <P>e.<E T="03">Comment:</E>Three commenters addressed the issue of Above GS-15 Positions in section II.B.2.c. In two cases, the questions addressed the ability of SSC Atlantic and SSC Pacific to exercise this flexibility (held by other existing STRL organizations) via this FRN. In the third case, the commenter questioned the intent that the positions are “scientific and engineering” while also being managerial.</P>
          <P>
            <E T="03">Response:</E>Under the SSC STRL demonstration project, it is intended to implement the program for scientific and engineering positions that are classified above GS-15 after the proposed Professional Scientific and Technical Corps (PSTC) is approved and DoD guidance issued.</P>
          <HD SOURCE="HD3">3. Classification</HD>
          <P>a.<E T="03">Comment:</E>One commenter recommended a change to section II.B.3.a. on the Simplified Classification Process. Recommended changing “those descriptions may be further tailored” to: Descriptions will be tailored to address levels of difficulty, responsibility, and supervisory relationships sufficient to identify complexity and scope of the position. Also add: “In all cases, the description of the actual duties of the position will be sufficiently described for use in announcing positions to potential applicants so that they will be able to tell what the specific duties the selectee will be expected to perform.”</P>
          <P>
            <E T="03">Response:</E>Concur with the need for the ability to provide supplemental information to the generic descriptors to support various human resources processes. We do intend to provide a description of specific duties of the position when announcing positions to potential applicants. The FRN language has been modified accordingly.</P>
          <P>b.<E T="03">Comment:</E>One commenter recommended an addition to the wording in section II.B.3.b, which addresses delegation of classification authority. The commenter recommended changing “The Systems Centers' Technical Directors/Commanding Officers may delegate classification authority for all positions except those in Supervisor/Manager pay band 6.” To “The Systems Centers' Technical Directors/Commanding Officers may delegate classification authority only to the designated management authority within their immediate organizational supervisory chain for all positions except those in Supervisor/Manager pay band 6.”</P>
          <P>
            <E T="03">Response:</E>Concur with commenter. The recommended change has been made in the document.</P>
          <P>c.<E T="03">Comment:</E>One commenter recommended changing section II.B.3.c. on classification appeals by adding the word “further” within the sentence which currently reads: “An employee may not (further) appeal the demonstration project classification criteria, the accuracy of the pay band descriptor, or the pay setting criteria; the assignment of occupational series to a career path; the title of a position; the propriety of a base pay schedule; or matters grievable under an administrative or an alternative dispute resolution procedure.”</P>
          <P>
            <E T="03">Response:</E>This suggested wording change is not adopted. Adding the word “further” seems to imply that an employee could initially appeal the STRL classification structural or pay issues cited. In fact, the contrary is so. The intent is clearly stated that such structural or pay issues are not appealable.</P>
          <HD SOURCE="HD3">4. Pay Setting Outside the Contribution Assessment and Recognition System (CARS)</HD>
          <P>a.<E T="03">Comment:</E>One commenter noted changes to the Special Salary Rates (SSRs) which may impact the Systems Centers' decision to not initially utilize SSRs upon conversion to the demonstration project as specified in section II.B.4.f. In fact, new SSRs have been established for series in locations which would directly impact Systems Center employees.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter. We have reworded this section to allow for the potential use of SSRs in the form of staffing supplements as Systems Center management determines is applicable.</P>
          <P>b.<E T="03">Comment:</E>Two comments were directed at section II.B.4.h.(2), Distinguished Contribution Allowance (DCA). One commenter noted a change to the OPM Guide to Processing Personnel Actions which changes the pay cap computations. A second commenter recommended an addition to the section which stipulates a 10-year maximum limit for DCA awards over the career of an employee.</P>
          <P>
            <E T="03">Response:</E>Concur with both comments and the language in this section has been adjusted to address the updated pay cap computation (“SSC Atlantic and SSC Pacific will implement a Distinguished Contribution Allowance, a temporary monetary allowance up to 25 percent of base pay, which, when added to an employee's<PRTPAGE P="1927"/>rate of locality-adjusted pay, may not exceed the rate of base pay for Executive Level I.”) and the maximum DCA award language.</P>
          <P>c.<E T="03">Comment:</E>One commenter recommended addition to section II.B.4.1, Pay Differential for Supervisory Functions. Recommended changing “It is paid on a pay period basis and is not included as part of the employee's base rate of pay.” To: “It is paid on a pay period basis as documented via time and attendance, and is not included as part of the employee's base rate of pay.”</P>
          <P>
            <E T="03">Response:</E>Concur with commenter and added this language to the appropriate section.</P>
          <P>d.<E T="03">Comment:</E>One commenter suggested that the wording of section II.B.4.m, Awards, should be reviewed in conjunction with 5 U.S.C. 451.103(c)(2).</P>
          <P>
            <E T="03">Response:</E>The reference was reviewed and documenting the justification will be done when these awards are granted.</P>
          <P>e.<E T="03">Comment:</E>One commenter noted that section II.B.4.n. appears to be redundant with section II.B.4.g.(3) and asked for clarification.</P>
          <P>
            <E T="03">Response:</E>Concur that the two sections are redundant. We have removed section II.B.4.n. accordingly.</P>
          <HD SOURCE="HD3">5. Contribution Assessment and Recognition System (CARS)</HD>
          <P>a.<E T="03">Comment:</E>One commenter recommended a rewording of section II.B.6. to establish and standardize terminology relative to the demonstration project. The sentence which reads: “A sample chart showing detailed language for the Technical Contribution Element in the Scientific and Engineering career path (ND) is provided in Appendix E.” should be changed to: “A sample chart showing detailed benchmark standards for the Technical Contribution Element in the Scientific and Engineering career path (ND) is provided in Appendix E.” in order to establish “benchmark standards” as demonstration project terminology.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter and the recommended change has been made.</P>
          <P>b.<E T="03">Comment:</E>One commenter questioned section II.B.6.b.(4)., Contribution Bonus Awards, which states in part that unexpended bonus dollars may be used to augment the category of base pay increases budget authority, and further questioned the legality of this statement relative to standing DoD policy.</P>
          <P>
            <E T="03">Response:</E>While both Systems Centers had initially requested this specific capability, we have since decided that the potential benefits are outweighed by the associated complications relative to long-term costs. Concur with the basic intent of the commenter and have removed the language in question.</P>
          <P>c.<E T="03">Comment:</E>One commenter suggested that section II.B.6.a.(3) needs to be reworded to address changes in the timeline associated with SSC STRL transition. The section currently outlines a transition cycle that stipulates a 15-month appraisal cycle as the first official cycle of the demonstration project. In actuality, recent changes in SSC Atlantic's and Pacific's strategy point to a different initial appraisal cycle and require some readdressing.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter. Due to afore-mentioned changes in strategy, SSC Atlantic and Pacific intend to conclude the initial transitional appraisal cycle on 30 June 2010. As such, this section has been reworded to account for changes and provide an accurate summary of intent.</P>
          <P>d.<E T="03">Comment:</E>One commenter noted that section II.B.6.a.(6), Normal Pay Range, contains confusing language.</P>
          <P>
            <E T="03">Response:</E>Concur and the paragraph has been reworded to clarify the definition of “Normal Pay Range.”</P>
          <P>e.<E T="03">Comment:</E>One commenter addressed Section II.B.6.a.(2) on contribution-based pay pools, asking if SSC STRL pay pools would have Center attorney's as required participants, and if not, what was going to be the mechanism to ensure compliance relative to state requirements. The commenter further suggested language utilized by other STRL organizations which addresses this concern by adding the following: “To avoid conflict with state bar rules, the pay pool panel may not alter the contribution element scores or the overall contribution score that SPAWAR counsel assigns to an attorney; however, the pay pool panel may make independent judgments, such as pay adjustments after considering that score. A reconsideration from a SPAWAR attorney will be handled in accordance with the Office of General Counsel's grievance procedures after SPAWAR counsel and the pay pool panel recommend a resolution.”</P>
          <P>
            <E T="03">Response:</E>Concur with commenter and the recommended language has been added to the applicable section.</P>
          <HD SOURCE="HD3">6. Conversion from NSPS into the Demonstration Project</HD>
          <P>a.<E T="03">Comment:</E>One commenter points out that section II.B.8. indicates that upon conversion from NSPS, employees will retain the adjusted base salary from their permanent NSPS position. It is pointed out that additional clarification may be needed with regard to how an employee's pay is treated when he/she is temporarily assigned to an NSPS position prior to that position converting to the demonstration project if the employee is returned to that temporary position immediately after conversion. In these cases as the commenter notes, section 1113(c)(1) of NDAA for FY 2010 would also apply to the temporary position, i.e., there will be no loss or decrease in pay as a result of the conversion of positions and employees from NSPS.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter's point and have amended the applicable section to further clarify this issue.</P>
          <HD SOURCE="HD3">7. Required Waivers to Law and Regulation</HD>
          <P>a.<E T="03">Comment:</E>One commenter noted that there is inconsistency in the application of title 5 CFR part 430, in that the demonstration project waives part 430 subpart B in its entirety, yet references that the project's appraisal process complies with title 5 CFR part 430, subpart B except where waivers have been approved. Earlier in the document it is stated that “employees under the demonstration project will not be subject to the requirement of this part.” Commenter suggested a review of document and clarification of title 5 CFR part 430, subpart B waiver requests.</P>
          <P>
            <E T="03">Response:</E>Our determination is that the language waiving title 5 CFR part 430 subpart B is necessary, and is consistent with the intent of SSC STRL. However, the waiver language has been modified to address the commenter's concerns.</P>
          <P>b.<E T="03">Comment:</E>One commenter noted that the demonstration cites a waiver to title 5 U.S.C. chapter 45, section 4502, which limits awards to $10K, that the actual title of this section is 5 U.S.C. 4502, and that this waiver waives the authority which provides that “the Secretary of Defense may grant a cash award under subsection (b) of this section without regard to the requirements for certification and approval provided in that subsection.” Commenter further recommends a review of 5 U.S.C. 451.103(c)(2).</P>
          <P>
            <E T="03">Response:</E>The language associated with this waiver has been clarified. Paragraph (a), 5 U.S.C. 4502, indicates limitation of cash awards to $10K. This section is waived to the limited extent that it will allow Technical Director/Commanding Officer to award up to $25K with the same level of authority as the Secretary of Defense to grant cash awards. The requirement for certification and approval of the cash awards by OPM is not required. All other provisions of section 4502 apply.<PRTPAGE P="1928"/>
          </P>
          <HD SOURCE="HD3">8. Appendices</HD>
          <P>a.<E T="03">Comment:</E>One commenter noted that Appendices A and B were missing series 1371, Cartographer Technician, which is a series occupied at both Centers, and recommended adding this series to applicable appendices.</P>
          <P>
            <E T="03">Response:</E>Concur with commenter and have corrected this oversight in Appendices A and B.</P>
          <P>b.<E T="03">Comment:</E>One commenter noted that Appendix H, Intervention Model, 2b referenced “Alignment of organizational and individual objectives and results,” yet the demonstration project documentation references “establishing contribution goals and expectations,” not objectives.</P>
          <P>
            <E T="03">Response:</E>Agree with the commenter. SSC STRL is a contribution-based evaluation and compensation system, and as such, the language needs to be consistent throughout, including the Intervention Model. The language in Appendix H has been corrected to reflect contribution rather than objective-based methodology.</P>
          <HD SOURCE="HD3">9. Demonstration Project Notice Changes</HD>
          <P>The following is a summary of substantive changes and clarifications which have been made to the project proposal:</P>
          <P>a. Corrected SSC Atlantic contact information for new SSC Atlantic STRL Transition Team Lead in the Introduction Contact Information.</P>
          <P>b. Numerous corrections made to Table of Contents to address inconsistencies in titling and subtitling of sections and subsections. Applicable sections throughout document were then corrected to ensure consistency in numbering and subtitling throughout.</P>
          <P>c. Corrected and standardized use of “i.e.,” and “e.g.,” throughout document.</P>
          <P>d. Addressed lack of funding shown in Section V., Figure 3.1. for project evaluation in FY 2011.</P>
          <P>e. In Section II.B.1.a, refined definition of “similar” as used relative to positions under Expanded Detail Authority.</P>
          <P>f. In Section II.B.1.b, further clarified language associated with non-citizen hiring in accordance with Department of Navy Human Resources Service Center South West recommendation.</P>
          <P>g. In Section II.B.1.g.(1), addressed issues regarding Delegated Examining Authority and its ability to be further delegated to service component Human Resources.</P>
          <P>h. In Section II.B.1.g.(2), addressed compliance with OPM Hiring Reform initiatives regarding the elimination of the rule of three.</P>
          <P>i. In Section II.B.1.f.(3), clarified language relative to veteran hiring.</P>
          <P>j. In Section II.B.1.f.(2).a, clarified that relative to S&amp;E positions, both the positions and acceptability from accredited colleges and universities must be as defined by the Office of Personnel Management (OPM).</P>
          <P>k. In Section II.B.2.a, clarified section on Career Path and Pay Band structure by re-ordering the sentence. Also, corrected designation of ND-6 pay band to NM-6 pay band in accordance with Above GS-15 position requirements.</P>
          <P>l. In Section II.B.2.c, addressed comments regarding PSTC positions by re-inserting language for PSTC governance into FRN.</P>
          <P>m. In Section II.B.3.a, added recommended language to Simplified Position Description section to provide additional positional definition and granularity.</P>
          <P>n. In Section II.B.3.b, clarified delegation of classification authority by stipulating that such authority can only be delegated within the applicable Technical Director's chain of command.</P>
          <P>o. In Section II.B.4.f, re-worded section on staffing supplement usage upon entering the demonstration project to allow for their use immediately upon transition.</P>
          <P>p. In Section II.B.4.h.(2), edited section on Distinguished Contribution Allowance (DCA) to account for GPPA changes and corresponding changes to pay cap computations (to Executive Level I). Also, specified 10-year cumulative maximum limit for receipt of DCA awards over the career of an employee.</P>
          <P>q. In Section II.B.4.1, amended section on Pay Differential for Supervisory Functions by stipulating that such pay is provided in strict accordance with all applicable guidelines.</P>
          <P>r. Section II.B.4.g.(3). Removed this section on retention incentives because it was redundant (as covered in Section II.B.4.g.(3)).</P>
          <P>s. In Section II.B.6, Contribution Assessment and Recognition System. Standardized language associated with contribution element scoring as “benchmark standards” for each element in each pay band was established.</P>
          <P>t. In Section II.B.6.b.(4), Contribution Bonus Awards. Eliminated a sentence which suggested that unused bonus amounts could be used to fund the continuing portion of the pay pool.</P>
          <P>u. In Section II.B.6.a.(3), Modified the paragraph which discusses the initial appraisal cycle of the SSC STRL system, clarifying that the initial (partial) cycle will end on June 30 2011, vice June 30, 2012 as originally stated.</P>
          <P>v. Section II.B.6.a.(6), Normal Pay Range. Language in this section modified to clarify meaning and definition of Normal Pay Range.</P>
          <P>w. Section II.B.6.a.(2), Contribution-Based Pay Pools. Language added regarding attorney evaluation and reconsideration, and addressed associated State bar requirements.</P>
          <P>x. Section II.B.8, Conversion from NSPS. Clarifying language added that standards associated with the retention of base salary upon conversion to SSC STRL apply to both permanent and temporary positions held under NSPS prior to conversion.</P>
          <P>y. 5 CFR part 430, subpart B. Clarified waiver language.</P>
          <P>z. 5 CFR. Added waiver to part 536, subpart B, waived in its entirety. Sections 536.305, Adjusting an employee's retained rate when a pay schedule is adjusted, and 536.306, Limitation on retained rates, waived only to the extent that under-contributing employees receiving a retained rate will not be entitled to the full amount of any increase in the maximum rate of the employee's pay band.</P>
          <P>aa. Amended title 5 U.S.C. chapter 53, section 5363 waiver. Clarified waiver requirements to (1) enable reduction in GPI for under-contributing employees receiving a retained rate and (2) to provide pay retention based on a discontinued or reduced staffing supplement as under the GS system.</P>
          <P>ab. Appendices A and B. Corrected appendices to include missing series (1371—Cartographer Technician).</P>
          <P>ac. Appendix H, Intervention Model. Language in subsection 2b that referred to employee objectives, rather than to contribution elements was corrected.</P>
          <HD SOURCE="HD1">3. Access to Flexibilities of Other STRLs</HD>
          <P>Flexibilities published in this<E T="04">Federal Register</E>shall be available for use by the STRLs previously enumerated in section 9902(c)(2) of title 5, United States Code, which are now designated in section 1105 of the NDAA for FY 2010, Public Law 111-84, 123 Stat. 2486, October 28, 2009, if they wish to adopt them in accordance with DoD Instruction (DoDI) 1400.37; pages 73248 to 73252 of volume 73,<E T="04">Federal Register</E>; and after the fulfilling of any collective bargaining obligations.</P>
          <SIG>
            <DATED>Dated: January 4, 2011.</DATED>
            <NAME>Morgan F. Park,</NAME>
            <TITLE>Alternate OSD Federal Register Liaison Office, Department of Defense.</TITLE>
          </SIG>
          <HD SOURCE="HD1">Table of Contents</HD>
          <EXTRACT>
            <FP SOURCE="FP-2">I. Introduction</FP>
            <FP SOURCE="FP1-2">
              <E T="03">A. Purpose</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">B. Expected Benefits</E>
              <PRTPAGE P="1929"/>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">C. Participating Organizations, Employees, and Union Representation</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">D. Project Overview</E>
            </FP>
            <FP SOURCE="FP1-2">Figure 1-1. Employee Distribution by Geographic Location</FP>
            <FP SOURCE="FP-2">II. Methodology</FP>
            <FP SOURCE="FP1-2">A.<E T="03">Project Design</E>
            </FP>
            <FP SOURCE="FP1-2">B.<E T="03">Personnel System Changes</E>
            </FP>
            <FP SOURCE="FP1-2">1. Hiring and Appointment Authorities</FP>
            <FP SOURCE="FP1-2">a. Expanded Detail Authority</FP>
            <FP SOURCE="FP1-2">b. Non-citizen Hiring</FP>
            <FP SOURCE="FP1-2">c. Extended Probationary/Trial Period</FP>
            <FP SOURCE="FP1-2">d. Expanded Term Appointments</FP>
            <FP SOURCE="FP1-2">e. Voluntary Emeritus Program</FP>
            <FP SOURCE="FP1-2">f. Direct Hire Authority for Candidates with Advanced Degrees for Scientific and Engineering Positions</FP>
            <FP SOURCE="FP1-2">g. Delegated Examining</FP>
            <FP SOURCE="FP1-2">h. Distinguished Scholastic Achievement Appointments</FP>
            <FP SOURCE="FP1-2">2. Career Path Pay Band Structure</FP>
            <FP SOURCE="FP1-2">Figure 2-1. SSC STRL Career Path and Pay Band Structure</FP>
            <FP SOURCE="FP1-2">a. Career Paths</FP>
            <FP SOURCE="FP1-2">b. Career Path Pay Bands and Levels of Responsibility</FP>
            <FP SOURCE="FP1-2">c. Above GS-15</FP>
            <FP SOURCE="FP1-2">d. Seamless Movement to a Higher Pay Band Level</FP>
            <FP SOURCE="FP1-2">3. Classification</FP>
            <FP SOURCE="FP1-2">a. Simplified Classification Process</FP>
            <FP SOURCE="FP1-2">b. Delegation of Classification Authority</FP>
            <FP SOURCE="FP1-2">c. Classification Appeals</FP>
            <FP SOURCE="FP1-2">d. Simplified Assignment Process</FP>
            <FP SOURCE="FP1-2">4. Pay Setting Outside the Contribution Assessment and Recognition System (CARS)</FP>
            <FP SOURCE="FP1-2">a. Advanced In-Hire Rate</FP>
            <FP SOURCE="FP1-2">b. Promotion</FP>
            <FP SOURCE="FP1-2">c. Reassignment</FP>
            <FP SOURCE="FP1-2">d. Change to Lower Pay Band</FP>
            <FP SOURCE="FP1-2">e. Locality Pay.</FP>
            <FP SOURCE="FP1-2">f. Staffing Supplements</FP>
            <FP SOURCE="FP1-2">g. Other Provisions</FP>
            <FP SOURCE="FP1-2">h. Distinguished Contribution Allowance (DCA)</FP>
            <FP SOURCE="FP1-2">i. Pay Differential for Supervisory Functions</FP>
            <FP SOURCE="FP1-2">j. Accelerated Compensation for Developmental Positions</FP>
            <FP SOURCE="FP1-2">k. Educational Base Pay Adjustment</FP>
            <FP SOURCE="FP1-2">l. Expanded Development Opportunity</FP>
            <FP SOURCE="FP1-2">m. Awards</FP>
            <FP SOURCE="FP1-2">5. Performance/Contribution Management Principles</FP>
            <FP SOURCE="FP1-2">a. Performance Development Assistance</FP>
            <FP SOURCE="FP1-2">b. Two-Level Performance Rating System</FP>
            <FP SOURCE="FP1-2">c. Establishing Contribution Expectations</FP>
            <FP SOURCE="FP1-2">d. On-going Contribution Dialogue</FP>
            <FP SOURCE="FP1-2">e. Feedback from Multiple Sources</FP>
            <FP SOURCE="FP1-2">f. Performance Improvement Plan (PIP)</FP>
            <FP SOURCE="FP1-2">6. Contribution Assessment and Recognition System (CARS)</FP>
            <FP SOURCE="FP1-2">a. Rating and Contribution Assessment Process</FP>
            <FP SOURCE="FP1-2">(1) Eligibility</FP>
            <FP SOURCE="FP1-2">(2) Contribution-Based Pay Pool</FP>
            <FP SOURCE="FP1-2">(3) Contribution Assessment and Recognition System (CARS)</FP>
            <FP SOURCE="FP1-2">(4) Contribution Expectations and Element Weighting</FP>
            <FP SOURCE="FP1-2">(5) Assessment</FP>
            <FP SOURCE="FP1-2">(6) Normal Pay Range (NPR)—Base Pay Versus Contribution</FP>
            <FP SOURCE="FP1-2">b. Compensation Decision Process</FP>
            <FP SOURCE="FP1-2">(1) Employee Compensation</FP>
            <FP SOURCE="FP1-2">(2) General Pay Increases</FP>
            <FP SOURCE="FP1-2">(3) Base Pay Increases</FP>
            <FP SOURCE="FP1-2">(4) Contribution Bonus Awards</FP>
            <FP SOURCE="FP1-2">c. Reconsideration of Rating and Scoring Decisions</FP>
            <FP SOURCE="FP1-2">7. Reduction-in-Force (RIF)</FP>
            <FP SOURCE="FP1-2">8. Conversion from NSPS into the Demonstration Project</FP>
            <FP SOURCE="FP1-2">a. Placement into Demonstration project Pay Plans and Pay Bands from NSPS</FP>
            <FP SOURCE="FP1-2">(1) Determine the Appropriate Demonstration Project Pay Plan</FP>
            <FP SOURCE="FP1-2">(2) Determine the Appropriate Pay Band</FP>
            <FP SOURCE="FP1-2">b. Pay Upon Conversion</FP>
            <FP SOURCE="FP1-2">(1) Fair Labor Standards Act (FLSA) Status</FP>
            <FP SOURCE="FP1-2">(2) Transition Equity</FP>
            <FP SOURCE="FP1-2">c. Pay Band Retention</FP>
            <FP SOURCE="FP1-2">d. Converting Employees on NSPS Term and Temporary Appointments</FP>
            <FP SOURCE="FP1-2">e. Probationary Periods</FP>
            <FP SOURCE="FP1-2">(1) Initial Probationary Period</FP>
            <FP SOURCE="FP1-2">(2) Supervisory Probationary Period</FP>
            <FP SOURCE="FP1-2">9. Conversion from Other Personnel Systems</FP>
            <FP SOURCE="FP1-2">10. Movement Out of the SSC STRL Demonstration Project</FP>
            <FP SOURCE="FP1-2">a. Termination of Coverage under the SSC STRL Demonstration Project Pay Plans</FP>
            <FP SOURCE="FP1-2">b. Determining a GS-Equivalent Grade and GS-Equivalent Rate of Pay for Pay Setting Purposes when an SSC Employee's Coverage by a Demonstration Project Pay Plan Terminates or the Employee Voluntarily Exits the SSC STRL Demonstration Project</FP>
            <FP SOURCE="FP1-2">(1) Equivalent GS-Grade-Setting Provisions</FP>
            <FP SOURCE="FP1-2">(2) Equivalent GS-Rate-of-Pay-Setting Provisions</FP>
            <FP SOURCE="FP1-2">(3) Employees with Pay Retention</FP>
            <FP SOURCE="FP-2">III. SSC STRL Demonstration Project Duration</FP>
            <FP SOURCE="FP-2">IV. SSC STRL Demonstration Project Evaluation Plan</FP>
            <FP SOURCE="FP1-2">
              <E T="03">A. Overview</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">B. Evaluation Model</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">C. Evaluation</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">D. Method of Data Collection</E>
            </FP>
            <FP SOURCE="FP-2">V. Demonstration Project Costs</FP>
            <FP SOURCE="FP-2">VI. Automation Support</FP>
            <FP SOURCE="FP1-2">
              <E T="03">A. General</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">B. Defense Civilian Personnel Data System (DCPDS)</E>
            </FP>
            <FP SOURCE="FP-2">VII. Project Oversight and Management</FP>
            <FP SOURCE="FP1-2">
              <E T="03">A. Oversight and Management</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">B. Personnel Administration</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">C. Modifications</E>
            </FP>
            <FP SOURCE="FP-2">VIII. Required Waivers to Law and Regulation</FP>
            <FP SOURCE="FP1-2">
              <E T="03">A. Waivers to title 5, U.S.C.</E>
            </FP>
            <FP SOURCE="FP1-2">
              <E T="03">B. Waivers to title 5, CFR</E>
            </FP>
            <FP SOURCE="FP-2">IX. Appendices</FP>
            <FP SOURCE="FP1-2">Appendix A: STRL Demonstration Project Series</FP>
            <FP SOURCE="FP1-2">Appendix B: SSC STRL Demonstration Project Series Distribution</FP>
            <FP SOURCE="FP1-2">Appendix C. Baseline Performance Standards (Career Path-Independent)</FP>
            <FP SOURCE="FP1-2">Appendix D. Core Contribution Elements</FP>
            <FP SOURCE="FP1-2">Appendix E. Element Detail Benchmark Example (Technical) for Science and Engineering Career Path (ND)</FP>
            <FP SOURCE="FP1-2">Appendix F: Sample Pay Range/Contribution Chart (for ND-4 Pay Band)</FP>
            <FP SOURCE="FP1-2">Appendix G: Basic Compensation Matrix</FP>
            <FP SOURCE="FP1-2">Appendix H: Intervention Model</FP>
          </EXTRACT>
          <HD SOURCE="HD1">I. Introduction</HD>
          <HD SOURCE="HD2">A. Purpose</HD>
          <P>The goal of this personnel demonstration project is to implement a personnel management system incorporating the practices from existing STRL and other personnel management systems best suited to the specific needs of SSC Atlantic and SSC Pacific. As the Navy's leader in Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR), SSC Atlantic and SSC Pacific must be able to attract, hire, and retain the best scientists, engineers, business, and support personnel in the labor market. The organization's human resources management authorities, policies, and practices must have the flexibility needed to respond quickly to changes in mission, organizational constraints, workload, and market conditions. Unless specifically stated otherwise, the Technical Directors/Commanding Officers of SSC Atlantic and SSC Pacific may delegate their authority to effectively implement the provisions of this notice. Any such delegations, including details of implementation, will be documented by local business rules and/or implementing instructions.</P>
          <P>Many aspects of a demonstration project are experimental. Modifications may be made from time to time as experience is gained, results are analyzed, and conclusions are reached on how the system is working. The provisions of this project plan will not be modified, or extended to individuals or groups of employees not included in the project plan without the approval of the DUSD(CPP). The provisions of DoDI 1400.37 are to be followed for any modifications, adoptions, or changes to this demonstration project plan.</P>
          <HD SOURCE="HD2">B. Expected Benefits</HD>
          <P>In order to remain the DON leader in C4ISR, SSC Atlantic and SSC Pacific must be able to compete with the private sector for the most talented, technically proficient candidates, and must have in place a system that fosters their development, enhances their performance and experience, and provides a strong retention incentive.</P>
          <P>The SSC STRL demonstration project must enable and enhance:</P>
          <P>1. The ability to attract highly qualified scientific, technical, business, and support employees in today's competitive environment;</P>

          <P>2. The ability to select personnel and make job offers in a timely and efficient manner, with the attendant compensation that attracts high-quality, in-demand employees;<PRTPAGE P="1930"/>
          </P>
          <P>3. Improved employee satisfaction with pay setting and adjustment, recognition, and career advancement opportunities;</P>
          <P>4. Human Resource (HR) flexibilities needed to staff, shape, and adjust to evolving requirements associated with sustaining a quality workforce for the future;</P>
          <P>5. Increased retention of high-level contributors; and</P>
          <P>6. Simpler and more cost effective HR management processes.</P>
          <P>To effectively meet the above expectations, the SSC STRL demonstration project has identified and established in this notice those features and flexibilities that provide the mechanisms to achieve its objectives. Those features and flexibilities alone, however, will not ensure success.</P>
          <P>The nature of the SSC STRL and its ambitious workforce goals will require human resources support at an enhanced level. A traditional process-oriented and reactive construct will serve neither the mission nor the management needs of the two organizations. A primary emphasis of the SSC demonstration project is its streamlined hiring, sophisticated contribution-based compensation system, talent acquisition/retention, and professional human capital planning and execution. Accordingly, successful execution of that vision includes a human resources service delivery model that is highly proactive, expertly skilled in analytical tools, and fully capable of engaging as a strategic partner and trusted agent of a modern multi-faceted defense laboratory.</P>
          <HD SOURCE="HD2">C. Participating Organizations, Employees, and Union Representation</HD>
          <P>Both SSC Atlantic and SSC Pacific will participate in the project. The primary sites of SSC Atlantic and SSC Pacific are in two major geographic locations, Charleston, South Carolina, and San Diego, California, respectively, but the organizations employ personnel at more than two dozen locations worldwide. Locations are diverse in employment profiles and size, ranging from several thousand personnel, to a single embedded employee. Both major SSC sites are engaged in the full spectrum of research, development, test and evaluation, engineering, and fleet support.</P>
          <P>Both SSC Atlantic and SSC Pacific are predominantly Navy Working Capital Fund organizations. Instead of receiving congressionally appropriated funds, operations are funded by dollars received from other government agencies on a fee-for-service/break-even basis. In order to fully meet naval requirements and successfully assist in the execution of the Navy's mission, SSC Atlantic and SSC Pacific must maximize management effectiveness and efficiency in order to control expenditures, which support a cost competitive position as compared with other government agencies.</P>
          <P>SSC Atlantic's and SSC Pacific's STRL personnel management demonstration project is intended to govern all SSC Atlantic and SSC Pacific employees with the following exceptions: Bargaining Unit employees (as stipulated in the paragraph below), Federal Wage System employees, Senior Executive Service (SES), Senior Level (SL), and Scientific and Professional (ST) personnel.</P>
          <P>SSC Atlantic's and SSC Pacific's human capital complement includes a small number of employees (under 150 total) that are represented by exclusive bargaining units. Prior to including any employees in bargaining units in the STRL demonstration project, SSC Atlantic and SSC Pacific will fulfill their obligation to consult and/or negotiate with these labor organizations in accordance with 5 U.S.C. 4703(f) and 7117, as appropriate. Figure 1 identifies SSC Atlantic and SSC Pacific employees by major geographic location.</P>
          <HD SOURCE="HD2">D. Project Overview</HD>
          <P>In response to the authority granted by Congress to develop a personnel management demonstration project, SSC Atlantic and SSC Pacific chartered a Transition Team tasked with the design and implementation of the new demonstration project plan. The joint team is responsible for developing all associated deliverables, proposals, and implementation details. The Transition Team developed its initial concept as a result of information-seeking and assistance visits at the NRL, Office of Naval Research, and Naval Sea Systems Command, Surface Warfare Center, Dahlgren Division, as well as from consultative sessions with numerous other STRL laboratory representatives across the DoD. The Transition Team continues to solicit and receive information and advice from the DUSD(CPP), DoD Civilian Personnel Management Service, and a number of organizations with on-going demonstration projects. Information and suggestions have been solicited from SSC Atlantic and SSC Pacific employees through an ongoing series of interviews, briefings, and small-group meetings.</P>
          <BILCOD>BILLING CODE 5001-06-P</BILCOD>
          <GPH DEEP="620" SPAN="3">
            <PRTPAGE P="1931"/>
            <GID>EN11JA11.188</GID>
          </GPH>
          <BILCOD>BILLING CODE 5001-06-C<PRTPAGE P="1932"/>
          </BILCOD>
          <HD SOURCE="HD1">II. Methodology</HD>
          <HD SOURCE="HD2">A. Project Design</HD>
          <P>The four fundamental elements of the SSC STRL personnel management system are:  (1) Hiring and staffing flexibilities, (2) simplified classification, (3) pay banding, and (4) contribution-based compensation and assessment. The hiring and staffing flexibilities are being implemented in order to better recruit, hire, and retain the most capable, qualified, and competent workforce in the job market today. Simplified classification is being implemented to streamline the job classification process, simplify the effects of administrative processes on personnel, and allow for more flexibility in making job reassignments. The pay banding structure will create five career paths with multiple pay bands within each career path representing the phases of career progression that are typical for the respective careers. This banding structure will enable managers to more appropriately reward and retain a diverse workforce using principles of pay equity and career progression. The contribution-based compensation system is characterized by an assessment of an employee's contribution to the organization and an appropriate pay allocation predicated on the assessed level of contribution. The contribution-based compensation and assessment is being implemented to more appropriately recognize and reward the employees' overall efforts and results.</P>
          <P>While much of the demonstration project will be applied uniformly across both Systems Centers, there are decisions that will be delegated to the respective Systems Centers so that the needs and cultures of those organizations may be taken into account. Decisions at the local level will be made through established governance boards set up by the appropriate Center Technical Director or Commanding Officer.</P>
          <HD SOURCE="HD2">B. Personnel System Changes</HD>
          <HD SOURCE="HD3">1. Hiring and Appointment Authorities</HD>
          <HD SOURCE="HD3">a. Expanded Detail Authority</HD>
          <P>SSC Atlantic and SSC Pacific will have an Expanded Detail Authority providing the ability to: (1) Effect details up to one year to specified positions at the same or similar level (positions in a pay band with the same maximum salary) without the current 120-day renewal requirement specified at 5 U.S.C. 3341; and (2) effect details to a position in a pay band with a higher maximum salary up to one year within a 24-month period without competition. Details to higher level positions beyond one year in a 24-month period require approval of the Technical Director/Commanding Officer and are subject to competitive procedures. The specifics of these authorities will be stipulated by local business rules, policies, or procedures as organizational experience dictates.</P>
          <HD SOURCE="HD3">b. Non-citizen Hiring</HD>
          <P>Where Executive Orders or other regulations limit hiring non-citizens to the excepted service, both SSC Atlantic and SSC Pacific will have the authority to approve the hiring of non-citizens into competitive service positions when there are no qualified U.S. citizens, and the candidate meets all applicable immigration and security requirements. In order to make a determination that there are no qualified candidates, the position will be advertised extensively using paid advertisements in venues such as major newspapers, scientific journals, and electronic media as well as through “normal” recruiting methods. If a non-citizen candidate is the only qualified candidate for the position, the candidate may be appointed. The selection is subject to approval by the SSC Atlantic and SSC Pacific Technical Director/Commanding Officer. This authority will not be delegated further.</P>
          <HD SOURCE="HD3">c. Extended Probationary/Trial Period</HD>
          <P>(1)<E T="03">Initial Probationary Period.</E>Candidates hired under the demonstration project into positions classified to the Science and Engineering and Administrative Specialist/Professional occupational families (the nature of whose work requires the manager to have more than one year to assess the employee's job performance) will serve a three-year probationary/trial period. Personnel assigned to positions classified to the Science and Engineering Technical/Technician and General Support occupational families will serve a one-year probationary/trial period.</P>
          <P>(2)<E T="03">Supervisory Probationary Period.</E>Personnel assigned for the first time to supervisory/managerial positions which have a career path pay plan indicator of NM will serve a one-year supervisor probationary period. The one-year supervisory/managerial probationary period may run concurrently with the required initial probationary period for the occupational family to which an employee's position is classified.</P>
          <P>(3)<E T="03">Transitional Probationary Periods.</E>Any personnel entering the demonstration project from another Federal government personnel management system, who have served an initial or supervisory probationary period under that system, will be deemed to have met the SSC STRL probationary period requirements. Personnel transitioning into the SSC STRL demonstration project who have begun, but have not yet completed an initial or supervisory probationary period under another Federal government system, will have met the probationary requirements of SSC STRL when they have completed the terms of the initial and/or supervisory probationary periods under which they were hired or placed.</P>
          <P>(4)<E T="03">Termination of Initial Probationary Period Employees.</E>Initial probationary employees may be terminated when they fail to demonstrate proper conduct, technical competency, and/or acceptable performance for continued employment, and for conditions arising before employment. When a supervisor decides to terminate an employee during the initial probationary period because his/her work performance or conduct is unacceptable, the supervisor shall terminate the employee's services by written notification stating the reasons for termination and the effective date of the action. The information in the notice shall, at a minimum, consist of the supervisor's conclusions as to the inadequacies of the employee's performance or conduct, or those conditions arising before employment that support the termination.</P>
          <P>(5)<E T="03">Termination of a Supervisory Probationary Period.</E>The supervisory probationary period may be terminated when supervisors fail to demonstrate proper conduct, technical competency, and/or acceptable performance for continued assignment as a supervisor, and for conditions arising before supervisory assignment. When a supervisory probationary period is terminated by the supervisor (the manager) of the supervisor in question, the manager shall terminate the supervisory assignment by written notification stating the reasons for supervisory assignment termination and the effective date of the action. The information in the notice shall, at a minimum, consist of the manager's conclusions as to the inadequacies of the supervisor's performance or conduct, or those conditions arising before supervisory assignment that support the termination of the assignment.</P>

          <P>(6) All initial and supervisory probationary period requirements will be outlined in local business rules, policies, or procedures. Preference eligibles will maintain their rights under applicable law and regulation in both the competitive and excepted service.<PRTPAGE P="1933"/>
          </P>
          <HD SOURCE="HD3">d. Expanded Term Appointments</HD>
          <P>The Systems Centers perform engineering and scientific work that often has project durations of three to six years. The current four-year limitation on term appointments, as described in 5 CFR part 316, imposes a burden on the Centers by forcing the termination of some term employees prior to completion of projects they were hired to support. This disrupts the engineering and acquisition process and reduces the Centers' ability to serve their customers. Under the demonstration project, SSC Atlantic and SSC Pacific have the authority to appoint individuals under modified term appointments for a period of more than one year but not more than five years when the need for an employee's services is not predicted to be permanent. These appointments may be extended one additional year for a total of six years. Employees hired under the modified term appointment authority may be eligible for conversion to career or career-conditional appointments in the competitive service. To be converted, the employee must have: (1) been selected for the term position under competitive procedures, with the announcement specifically stating that the individual(s) selected for the term position(s) may be eligible for conversion to a career or career-conditional appointment at a later date; (2) served a minimum of two years of continuous service in the term position; and (3) have a current contribution score consistent with acceptable contribution/performance criteria as established by each Systems Center. Applicable probationary periods apply to both temporary and permanent positions.</P>
          <P>Employees serving under term appointments at the time of conversion to the SSC STRL demonstration project may be converted to modified term appointments provided they were hired for their current positions under competitive procedures. These employees may be eligible for conversion to career-conditional or career appointments provided they have completed at least two years of continuous service, and are performing at a satisfactory level. Should this criterion not be met, legacy term employees will remain on existing appointments until the not-to-exceed date or until some other terminating event occurs. These appointments may be extended in accordance with the requirements of 5 CFR part 316. The positions under this feature will be defined by local business rules, policies, or procedures.</P>
          <HD SOURCE="HD3">e. Voluntary Emeritus Program</HD>
          <P>SSC Atlantic and SSC Pacific will establish a Voluntary Emeritus Program. Under the demonstration project, the Systems Centers' Technical Directors/Commanding Officers have the authority to offer retired or separated employees in Science and Engineering (S&amp;E) or Administrative/Professional occupational families (see Appendix B) voluntary assignments (non-paid) in the Centers. This authority may not be further delegated. The Voluntary Emeritus Program ensures continued quality research, mentoring, support, and program management while reducing the overall base pay by allowing higher paid employees to retire with the opportunity to retain a presence in the Center's workplace. The program is beneficial during manpower reductions as senior personnel accept retirement and return to provide valuable on-the-job training or mentoring to less experienced employees. This authority includes employees who have retired or separated from Federal service. Voluntary Emeritus Program assignments are not considered employment by the Federal government, except for purposes of on-the-job injury compensation. Thus, such assignments do not affect an employee's entitlement to retain buyouts or severance payments based on an earlier separation from Federal service.</P>
          <P>To be accepted into the Voluntary Emeritus Program, a volunteer must be recommended by a manager within the Centers. Everyone who applies is not automatically entitled to a voluntary assignment. The process must be clearly documented and records retained at the command level in accordance with established business rules, procedures, or processes.</P>
          <P>To encourage participation, the volunteer's Federal civilian or military retirement pay will not be affected while serving in a voluntary capacity.</P>
          <P>Volunteers are not permitted to monitor contracts on behalf of the government or to participate on any contracts or solicitations where a conflict of interest exists.</P>
          <P>An agreement is established between the volunteer and the respective Center and is reviewed by the local legal counsel representative. The agreement must be finalized in advance and shall include as a minimum:</P>
          <P>(1) A statement that the voluntary assignment does not constitute an appointment in the Civil Service and is without pay or any other form of compensation;</P>
          <P>(2) The volunteer waives any and all claims against the Government because of the voluntary assignment except for purposes of on-the-job injury compensation as provided in 5 U.S.C. 8101(1)(B);</P>
          <P>(3) Volunteer's work schedule as needed or requested;</P>
          <P>(4) Length of agreement (defined by length of project or time defined by weeks, months, or years);</P>
          <P>(5) Support provided by the Center (travel, administrative, office space, supplies);</P>
          <P>(6) A provision that states no additional time will be added to a volunteer's service credit for such purposes as retirement, severance pay, and leave as a result of being a member of the Voluntary Emeritus Program;</P>
          <P>(7) A provision allowing either party to void the agreement with written notice to the other (volunteers have no appeal or grievance rights); and</P>
          <P>(8) The level of security access required—any security clearance required by the assignment is managed by the appropriate Systems Center while the volunteer is a member of the Voluntary Emeritus Program.</P>
          <HD SOURCE="HD3">f. Direct Hire Authority for Candidates with Advanced Degrees for Scientific and Engineering Positions</HD>
          <P>(1)<E T="03">Background.</E>
          </P>

          <P>The Systems Centers have an urgent need for direct hire authority to appoint qualified candidates possessing an advanced degree to scientific and engineering positions in competitive and excepted service. The market is extremely competitive with industry and academia for the small supply of highly-qualified and security clearable candidates with a master's degree or PhD in science or engineering. Out of approximately 35,000 scientists and engineers employed in the DoD laboratories; 27% hold master's degrees, while 10% are in possession of a PhD. The Systems Centers employ around 3,308 S&amp;Es; 29% holding master's degrees, while 4% are in possession of a PhD. Over the next five years, the Systems Centers plans to hire approximately 400 of the country's best and brightest S&amp;Es just to keep pace with attrition. This number does not reflect the impact of other actions affecting the demand of S&amp;Es in the Systems Centers (e.g., Base Realignment and Closure, in-sourcing, and other initiatives which add to the increased demand for scientific and engineering expertise). Additionally, statistics indicate that the available pool of advanced degree, clearable candidates is substantially diminished by the number of non-U.S. citizens granted degrees by<PRTPAGE P="1934"/>U.S. institutions. For instance, in 2006, 20% of master's degrees in science and over 35% of PhDs in science were awarded to temporary residents.</P>
          <P>It is expected that this hiring authority, together with streamlined recruitment processes, will be very effective in accelerating the hiring process for candidates possessing a PhD. For instance, under a similar authority in the National Defense Authorization Act for Fiscal Year 2009, section 1108 (Pub. L. 110-417), October 28, 2009, one STRL had fifteen PhD. selectees in 2009 for the sixteen vacancies for which they were using this hiring authority. Another STRL, using this expedited hiring authority in calendar year 2009, made thirty firm hiring offers in an average of thirteen days from receipt of paper work in the Human Resources Office. Of these thirty selectees, twenty-three possessed PhDs.</P>
          <P>(2)<E T="03">Definitions.</E>
          </P>
          <P>(a) Scientific and engineering positions are defined in accordance with OPM guidance as all professional positions in scientific and engineering occupations (with a positive education requirement) utilized by the Centers.</P>
          <P>(b) An advanced degree is a Master's or higher degree from an accredited college or university as defined by OPM, in a field of scientific or engineering study directly related to the duties of the position to be filled.</P>
          <P>(c) Qualified candidates are defined as candidates who:</P>
          <P>i. Meet the minimum standards for the position as published in OPM's operating manual, “Qualification Standards for General Schedule Positions,” or the laboratory's demonstration project qualification standards specific to the position to be filled;</P>
          <P>ii. Possess an advanced degree; and</P>
          <P>iii. Meet any selective factors.</P>
          <P>(d) “Employee” is defined by section 2105 of title 5, U.S.C.</P>
          <P>(3)<E T="03">Provisions.</E>
          </P>
          <P>(a) Use of this appointing authority must comply with merit system principles when recruiting and appointing candidates with advanced degrees to covered occupations.</P>
          <P>(b) Qualified candidates possessing an advanced degree may be appointed to both competitive and excepted service without regard to the provisions of subchapter 1 of chapter 33 of title 5, United States Code, other than sections 3303, 3321, and 3328 of such title.</P>
          <P>(c) The hiring threshold for this authority shall be consistent with DoD policy and legislative language as expressed in any National Defense Authorization Act addressing such.</P>
          <P>(d) When completing the personnel action, the following will be given as the authority for the Career-Conditional, Career, Term, Temporary, or special demonstration project appointment authority: Section 1108, NDAA for FY 2009.</P>
          <P>(e) This authority will be administered by the servicing Human Resource Office and Human Resources Service Center in accordance with the Department of Navy's common business processes, systems and tools.</P>
          <P>(f) Evaluation of this hiring authority will include information and data on its use such as numerical limitation, hires made, declinations, how many veterans hired, declinations, difficulties encountered, and/or recognized efficiencies in accordance with established internal business rules, policies, or procedures.</P>
          <HD SOURCE="HD3">g. Delegated Examining</HD>
          <P>The Systems Centers need a process that will allow for the rapid filling of vacancies, is less labor intensive, and is responsive to the needs of the Centers.</P>
          <P>(1)<E T="03">Delegated Examining Authority.</E>The Systems Centers propose to demonstrate a streamlined examining process for both permanent and non-permanent positions. Competitive service positions with SSC Atlantic and SSC Pacific will be filled through Merit Staffing or under Delegated Examining. This authority will be administered by the applicable servicing Human Resource Office and Human Resources Service Center consistent with veterans' preference and merit principles in accordance with the Department of Navy's common business processes, systems, and tools.</P>
          <P>(2)<E T="03">Description of Examining Process.</E>SSC Atlantic and SSC Pacific will utilize category rating rather than the rule of three as described in higher level guidance. Additionally, when there are no more than 15 qualified applicants and no preference eligibles, all eligible applicants are immediately referred to the selecting official without rating or ranking. Rating and ranking will be required only when the number of qualified candidates exceeds 15 or there is a mix of preference and non-preference applicants. Statutes and regulations covering veterans' preference will be observed in the selection process and when rating and ranking are required.</P>
          <HD SOURCE="HD3">h. Distinguished Scholastic Achievement Appointments</HD>
          <P>SSC Atlantic and SSC Pacific Distinguished Scholastic Achievement Appointment Authority uses an alternative examining process which provides the authority to appoint individuals with undergraduate or graduate degrees through the doctoral level to positions up to the equivalent of GS-12 for scientific and engineering positions in the S&amp;E career path. This enables both Centers to respond quickly to hiring needs for eminently qualified candidates possessing distinguished scholastic achievements.</P>
          <P>Candidates may be appointed provided they meet the minimum standards for the position as published in OPM's operating manual, “Qualification Standards for General Schedule Positions,” and the candidate has a cumulative grade point average of 3.5 (on a 4.0 scale) or better in their field of study (or other equivalent score) or are within the top 10 percent of a university's major school of graduate studies.</P>
          <P>Preference eligibles who meet the above criteria will be considered ahead of non-preference eligibles. In making selections, to pass over any preference eligible(s) to select a non-preference eligible requires approval under current objection procedures.</P>
          <HD SOURCE="HD3">2. Career Path Pay Band Structure</HD>
          <P>A fundamental element of the Centers' demonstration project is a simplified classification and pay component. Like other STRL demonstration projects, the proposed pay banding approach is tied to the fifteen GS grade levels and the above GS-15 level (discussed in paragraph II.B.2.c.), and reduces them into five to six pay bands within a career path (see Figure 2-1). The five distinct career paths within SSC STRL are: Science and Engineering (S&amp;E) (ND), S&amp;E Technical/Technician (NR), Administrative Specialist/Professional (NO), General Support (NG), and Supervisor/Manager (NM). In Figure 2-1, dotted areas in the ND and NM pay bands are indicative of an overlap in pay, rather than a separate pay band. For example, the ND-2 pay band begins at the equivalent of the GS-5, step 1, and ends at the GS-9, step 10; while the ND-3 band begins at the equivalent of the GS-9, step 1, and ends at the GS-11, step 10.</P>
          <GPH DEEP="162" SPAN="3">
            <PRTPAGE P="1935"/>
            <GID>EN11JA11.189</GID>
          </GPH>
          <P>SSC STRL will develop new and streamlined career path pay band descriptors that will replace the OPM classification standards. While the SPAWAR pay band descriptors will be based on OPM classification standards, they will be different in that these generic pay band descriptors encompass multiple occupational series and provide maximum flexibility for the organization to assign individuals consistent with the needs of the organization and the individual's qualifications. These generic career path pay band descriptors will include the essential criteria for each pay band within each career path by listing the characteristics of the work, the responsibilities of the position, and the skills required to perform the function. New pay band descriptors will make personnel packages easier to prepare by minimizing writing time and will be a more useful tool for other management functions. Career progression between pay bands will occur by promotion or through seamless pay band movement (paragraph II.B.2.d.), and pay progression within pay bands will occur primarily through contribution-based pay.</P>
          <HD SOURCE="HD3">a. Career Paths</HD>
          <P>The Systems Centers classification system will be based upon career paths and pay bands. Occupations with similar characteristics (as defined under OPM guidance) will be grouped together into one of five career paths, with pay bands designed to facilitate pay progression. Each career path will be composed of pay bands corresponding to recognized advancement and career progression expected within the occupations. Pay bands will replace individual grades and will not be the same in each career path. The designated career paths are: Science and Engineering (S&amp;E) (ND), S&amp;E Technical/Technician (NR), Administrative Specialist/Professional (NO), General Support (NG), and Supervisor/Manager (NM). Like the other STRL Demonstration projects, the GS classification occupational series would be retained. SSC STRL currently has positions in approximately 156 occupational series in 16 occupational groupings. Titles of the career paths and associated classification occupational series for each path are provided in Appendices A and B respectively. The distribution of the occupational series to career paths reflects only those occupational series which currently exist within the two Systems Centers. Additional occupational series may be added as a result of changes in mission requirements or OPM-recognized occupations. These additional occupational series will be placed in the appropriate career path consistent with the established career path definitions.</P>
          <P>The Science and Engineering career path includes professional engineering and scientific positions in the physical, biological, psychological (engineering psychology), mathematical, and computer sciences and student positions for training in these disciplines. Specific course work or educational degrees are required for these occupations. Employees with advanced degrees or qualifications may be advanced more rapidly, or hired at higher pay bands than others. Occupational series and their titles included in this career path are listed in Appendices A and B. Five pay bands have been established for the Science and Engineering career path.</P>
          <P>The S&amp;E Technical/Technician career path includes the nonprofessional technician positions that support scientific and engineering activities through the application of various skills and techniques in electrical, mechanical, physical science, biology, mathematics, and student positions for training in these disciplines. This career path includes positions such as engineering technician, physical sciences technician, and includes other technical specialty areas. Employees in these positions may or may not require specific course work, and will otherwise progress through bands on the basis of evaluated contribution. Specific series and their titles included in this career path are listed in Appendices A and B. Five pay bands have been established for this career path.</P>
          <P>The Administrative Specialist/Professional career path includes the professional or specialist positions in such administrative, technical, and managerial fields as finance, procurement, human resources, information technology, legal, librarianship, public information, safety, social sciences, program and project management, and analysis, and student positions for training in these disciplines. This career path includes legal counsel, management and other analysts, finance, accounting, contract specialists, and information technology managers. Employees in this career path may or may not have specific educational requirements, and will otherwise advance through bands based on evaluated contribution. Series and their titles included in this career path are listed in Appendices A and B. Six pay bands have been established for this career path.</P>

          <P>The General Support career path includes the assistant and clerical positions providing support in such fields as budget, finance, supply, and human resources; positions providing support through application of typing, clerical, or secretarial knowledge and skills; and student positions for training in these disciplines. This career path includes mail and correspondence clerks, typists, purchasing, contracting, and legal clerks/assistants, and property disposal technicians. Employees in this career path may or may not have<PRTPAGE P="1936"/>specific educational requirements, and will otherwise advance through bands based on evaluated contribution. Series and titles included in this career path are listed in Appendices A and B. Five pay bands have been established for this career path.</P>
          <P>The Supervisor/Manager career path includes employees performing the supervisory functions listed as follows: assign work to subordinates based on priorities, difficulty of assignment, and the capabilities of employees; provide technical or specialized oversight; develop contribution plans and rate employees; interview candidates for subordinate positions; recommend hiring, promotion, or reassignments; take corrective action, such as warnings and reprimands; identify developmental and training needs of employees; and provide and arrange for needed training. A supervisory position cannot be established on the basis of only one subordinate position. A supervisory position cannot be established on the basis of contractor personnel. The Supervisor/Manager career path can include any series. Placement within the supervisory career path will take into account the level of work of the employees being supervised as well as the level of the non-supervisory duties. Employees in this career path may or may not have specific requirements as established by internal business rules, policies, or procedures, and will otherwise advance through bands based on evaluated contribution. Five pay bands have been established for this career path (this career path omits pay band 1 to maintain numerical parity with other career paths).</P>
          <HD SOURCE="HD3">b. Career Path Pay Bands and Levels of Responsibility</HD>
          <P>A fundamental purpose of pay banding is to make the distinctions between levels easier to discern and more meaningful. The wider scope of classification criteria with pay bands provides more flexibility in moving individuals to other positions quickly within the pay band as mission needs dictate. These wider pay ranges provide a better ability to offer more competitive starting salaries to attract candidates to highly specialized positions and appropriate compensation for work results achieved thereby increasing retention. The basis for the demonstration project pay system is each pay band having a base pay that exactly corresponds to base pay of the encompassed GS grade levels. This continued linkage with the GS system will result in adjustments to the pay band base pay ranges through future general pay increases under the GS System. Within each career path, pay bands typically include the following categories of positions: student trainee and/or entry level, developmental, full performance level, and expert.</P>
          <P>With fewer classification grades of difficulty and responsibilities of work than the General Schedule, the level of responsibility reflected in each pay band typically encompasses the responsibilities of two or more GS grades. For example, the responsibilities of a pay band covering work at the full performance level may represent a synthesis of GS-10 and GS-11 responsibilities.</P>
          <P>The S&amp;E ND 2 and ND 3 pay bands overlap at the GS-9 level. Some of the engineers and scientists with a Bachelor of Science degree are hired with a starting base salary pay that exceeds the equivalent of a GS-8, step 10. In order to continue to accommodate the current flexibility of managers to set base pay at this level, a pay band that extends to the GS-9, step 10, equivalent, yet at the same time accommodates classification of entry-level duties at the GS-7 level, is required. Furthermore, master's degree scientists and engineers are hired at the base pay equivalent of a GS-10 or GS-11, but the pay band still needs to accommodate classification of duties at the GS-9 level. In order to do this, both an entry-level pay band that goes up to the GS-9, step 10, and a second level pay band that begins at the GS-9, step 1, are required. The Systems Centers' experience with very wide pay bands for developmental positions was somewhat problematic for managers and supervisors. Due to the inconsistency in application and timing of promotions, there was a wide variation in base pay for employees performing similar functions. In order to overcome this potentially confusing scenario, SSC STRL will implement an additional level in the pay band, as has previously been employed by NAVSEA in other pay bands. NAVSEA introduced the overlapping GS level in their Administrative/Technical NT pay band at the GS-14 equivalent level in both NT-5 and NT-6. For the SSC STRL demonstration project, the overlap at the GS-9 level in the ND-2 and ND-3 pay bands allows more flexibility in adjusting base pay of employees to an appropriate level, commensurate with contribution.</P>
          <HD SOURCE="HD3">c. Above GS-15</HD>
          <P>The pay banding plan for the Supervisor/Manager career path includes a pay band 6 to accommodate classification of scientific and engineering positions having duties and responsibilities that exceed the GS-15 classification criteria. This pay band is based on the Above GS-15 Position concept found in other STRL personnel management demonstration projects that was created to solve a critical classification problem. The STRLs have positions warranting classification above GS-15 because of their technical expertise requirements including inherent supervisory and managerial responsibilities. However, these positions are not considered to be appropriately classified as Scientific and Professional Positions (STs) because of the degree of supervision and level of managerial responsibilities. Neither are these positions appropriately classified as Senior Executive Service (SES) positions because of their requirement for advanced specialized scientific or engineering expertise and because the positions are not at the level of general managerial authority and impact required for an SES position.</P>
          <P>The original Above GS-15 Position concept was to be tested for a five-year period. The number of trial positions was set at 40 with periodic reviews to determine appropriate position requirements. The Above GS-15 Position concept is currently being evaluated by DoD management for its effectiveness; continued applicability to the current STRL scientific, engineering and technology workforce needs; and appropriate allocation of billets based on mission requirements. Should the DoD evaluation endorse the establishment of a Professional Scientific and Engineering Corps (PSTC), SSC STRL will abide by all applicable guidance and regulation associated with DoD's administration of such a program.</P>
          <HD SOURCE="HD3">d. Seamless Movement to a Higher Pay Band Level</HD>

          <P>Under the SSC STRL demonstration project, non-competitive movement to a higher pay band may occur via the current accretion of duties process, as determined by local business rules, and in accordance with DoD/DON guidance and regulation; and potentially once a year as a direct result of the Contribution Assessment and Recognition System (CARS) process (see paragraph II.B.6.), as long as certain specific conditions are met. Movement to pay band 6 of the NM pay plan will be governed in accordance with section II.B.2.c, Above GS-15 positions. A key concept of the demonstration project is that career growth in a career path may be accomplished by movement through a career path's pay bands by significantly increasing levels of responsibilities, scope of work, and duties providing opportunities for<PRTPAGE P="1937"/>increasing employee contributions toward the organizational mission. An employee's contribution is a reflection of his/her contribution score, which is derived from the employee's performance relative to contribution elements. Because contribution elements are written at progressively higher levels of expected contribution, and equate therefore to work performed at higher pay band levels, higher scores reflect that the employee's contribution is equivalent to the pay band level associated with the score he/she is awarded.</P>
          <P>The pay band level of a position may be increased when an employee consistently contributes at the higher pay band level through increased expertise and by performing expanded duties and responsibilities commensurate with the higher pay band's contribution elements. If an employee's contributions consistently enhance and broaden the scope, nature, intent and expectations of the position and are reflective of higher pay band level contribution elements, the classification of the position can be updated accordingly. This form of movement through pay bands in a career path is referred to as a seamless pay band movement and can only happen within the same career path. Employees cannot cross over career paths through this process. The criteria is similar to that used in SSC Atlantic's and SSC Pacific's current accretion of duties process and must be met for an employee to move seamlessly to the higher pay band level. For this movement to occur: (1) The employee's current position is absorbed into the reclassified position, with the employee continuing to perform the same basic duties and responsibilities, albeit at a higher level and (2) the employee's current position is reclassified to a higher pay band as a result of additional higher level duties and responsibilities. No additional pay band movement to another higher pay band level is guaranteed. It may take a number of years for contribution levels to increase to the extent a pay band move is warranted, and not all employees will achieve the increased contribution levels required for such moves.</P>
          <P>Movement to a higher level pay band may be “triggered” by the CARS process and deferred to the standard accretion schedule or may be carried out following the appraisal cycle as an immediate result of the CARS process. In either case, pay band movement is always at the discretion of the leadership of the Centers and only as a result of direct leadership decision. In no case is such movement “automatic” on the basis of contribution score-based performance alone.</P>
          <P>Any resulting changes in pay bands that occur as a result of the CARS process will be processed and documented with the appropriate personnel action. Management also has the option to fill vacancies throughout the year using various staffing avenues, including details, reassignments, or competitive selection procedures as applicable and/or required for competitive promotions or temporary promotions. Employees may be considered for vacancies at higher pay band positions consistent with the demonstration project competitive selection procedures.</P>
          <HD SOURCE="HD3">3. Classification</HD>
          <HD SOURCE="HD3">a. Simplified Classification Process</HD>
          <P>The Systems Centers will create generic, one page pay band descriptors with appropriate titles that also serve as the core of pre-classified position descriptions within the demonstration project. Those descriptions may need to be further supplemented with information on Fair Labor Standards Act (FLSA) coverage, selective placement factors specialized knowledge, skills and abilities required. When announcing positions to potential applicants, a description of specific duties will be used to enable potential candidates to understand the expectations associated with each position. Within the SSC STRL demonstration project, the term “classification of a position” for positions covered by pay banding is defined as the placement of a position in its appropriate career path, occupational series, and pay band based on the application of standards that are referred to as pay band descriptors established at the Systems Center level. Line managers will be meaningfully involved in the classification process to make it more relevant to their organization's needs.</P>
          <HD SOURCE="HD3">b. Delegation of Classification Authority</HD>
          <P>The Systems Centers' Technical Directors/Commanding Officers may delegate classification authority only to the designated management authority within their organizational supervisory chain for all positions except those in Supervisor/Manager pay band 6. Classification authority for Supervisor/Manager pay band 6 will be consistent with DoD guidance. Requesting supervisors at any level will provide classification recommendations. Support of the applicable Human Resources Organization (HRO) will be available for guidance and recommendations concerning the classification process. Any dispute over the proper classification between a manager and the HRO will be resolved by the Technical Director/Commanding Officer. Those to whom authority is delegated are accountable to the Technical Director/Commanding Officer and are expected to comply with demonstration project guidelines on classification and position management, observe the principle of equal pay for work of equal value, and ensure that position descriptions are current and accurate. All positions must be approved through the appropriate Center chain of command, as established by internal business rules, policies, and procedures.</P>
          <HD SOURCE="HD3">c. Classification Appeals</HD>
          <P>An employee may appeal the occupational series, career path, or pay band of his or her position at any time. Classification appeal procedures for employees placed in pay band 6 of the NM career path are governed by DoD and are not affected by the appeal procedures described in this demonstration project. For all other employees, the Classification Appeals to OPM will be replaced by a two-level appeal process modeled after the demonstration project previously approved for the Naval Weapons Center, China Lake, and Naval Ocean Systems Center, San Diego. The two levels of classification appeals are (1) within each Systems Center under guidelines developed by governance boards established, or as otherwise delegated, by each Center's Technical Director/Commanding Officer, and if not resolved locally, (2) at the other Systems Center (i.e., at SSC Pacific for SSC Atlantic appeals and vice versa). Decisions made at the second level of the appeal process are final.</P>
          <P>An employee may not appeal the demonstration project classification criteria, the accuracy of the pay band descriptor, or the pay setting criteria; the assignment of occupational series to a career path; the title of a position; the propriety of a base pay schedule; or matters grievable under an administrative or an alternative dispute resolution procedure. The evaluation of a classification appeal under this demonstration project is based upon the demonstration project classification criteria. Case files and final adjudication documentation will be forwarded to the servicing HRO.</P>
          <HD SOURCE="HD3">d. Simplified Assignment Process</HD>

          <P>Today's environment of rapid technology development and workforce transition mandates that the<PRTPAGE P="1938"/>organization have maximum flexibility to assign individuals. Pay banding can be used to address these needs. As a result of the assignment to a particular pay band descriptor, the organization will have maximum flexibility to assign an employee within pay band descriptors consistent with the needs of the organization, the individual's qualifications and rank, and pay band. Subsequent assignments to projects, tasks, or functions anywhere within the organization requiring the same area of expertise and qualifications would not constitute an assignment outside the scope or coverage of the employee's pay band descriptor. Such assignments within the coverage of the generic descriptors are accomplished as realignments and do not constitute a position change. For instance, an employee can be assigned to any project, task, or function requiring similar technical expertise. Likewise, a manager could be assigned to manage any similar function or organization consistent with that individual's qualifications. This flexibility allows broader latitude in assignments and further streamlines the administrative process and system.</P>
          <HD SOURCE="HD3">4. Pay Setting Outside the Contribution Assessment and Recognition System (CARS)</HD>
          <P>The following definitions and policies will apply to the pay setting of new hires, movement of employees within the demonstration project from one career path or pay band to another, as well as any other pay action outside the CARS.</P>
          <HD SOURCE="HD3">a. Advanced In-Hire Rate</HD>
          <P>Upon initial assignment into the STRL demonstration project, base pay may be set anywhere within the pay band consistent with the special qualifications of the individual and the unique requirements of the position. These special qualifications may be in the form of education, training, experience, scarcity of qualified candidates, labor market considerations, programmatic urgency, or any combination thereof that is pertinent to the position in which the employee is being placed. Management of base pay approval decisions will be delineated in internal business rules, policies, or procedures. Consideration should be given to the base pay of employees performing similar work within the work unit. This provision applies to any action which places a non-demonstration project employee into the demonstration project, specifically initial hires, transfers, and reinstatements (or rehires). Specific guidelines for application of advanced in-hire rate will be established in internal business rules, policies, or procedures.</P>
          <HD SOURCE="HD3">b. Promotion</HD>
          <P>Within the SSC STRL demonstration project career path pay banding system, a promotion will be defined as the movement of an employee from a lower to a higher pay band in the same career path, or from one career path to another wherein the pay band in the new career path has a higher maximum base pay than the pay band from which the employee is moving (seamless pay band movement under the CARS is not considered a promotion under this definition). The minimum base pay increase upon promotion to a higher pay band will be 6% or the minimum base pay of the new pay band whichever is higher. Promotions will follow Federal Merit Promotion policy that provides for competitive and non-competitive promotions. Promotion pay thresholds may be modified by internal business rules, policies, or procedures as organizational experience dictates. Promotion increases may not result in base pay higher than the maximum base pay of the pay band. Other specific guidelines regarding promotions will be documented in internal business rules, policies, or procedures.</P>
          <HD SOURCE="HD3">c. Reassignment</HD>
          <P>A reassignment occurs when an employee moves, voluntarily or involuntarily, to a different position or set of duties within his/her pay band or to a position in a comparable pay band at a comparable level of work, on either a temporary or permanent basis. Under this system, employees may be eligible for an increase to base pay upon temporary or permanent reassignment as described in this section. A decision to increase an employee's base pay under this section will be based upon clear Systems Centers' business rules that will define criteria necessary to justify a base pay increase. Examples of criteria may include, but are not limited to, one or more of the following factors:</P>
          <P>(1) A determination that an employee's responsibilities will significantly increase;</P>
          <P>(2) Critical mission or business requirements;</P>
          <P>(3) Need to advance multi-functional competencies;</P>
          <P>(4) Labor market conditions (<E T="03">e.g.,</E>availability of candidates and labor market rates);</P>
          <P>(5) Reassignment from a nonsupervisory to a supervisory position;</P>
          <P>(6) Employee's past and anticipated performance and contribution;</P>
          <P>(7) Physical location of position;</P>
          <P>(8) Specialized skills, knowledge, or education possessed by the employee in relation to those required by the position; and</P>
          <P>(9) Base pay of other employees in the organization performing similar work.</P>
          <P>When an employee is reassigned within his/her current pay band or to a comparable pay band, an authorized management official will set base pay at an amount no less than the employee's current base pay and may increase the employee's current base pay by up to five percent. If the employee's current base pay exceeds the maximum of the new pay band, no increase is provided, and the employee's base pay will be set at that maximum base pay rate. There is no limit to the number of times an employee can be reassigned, but local business rules will be established to monitor and control all cases that receive reassignment base pay change to ensure fairness and consistency across the workforce. Reassignment base pay thresholds may be modified or increased by internal business rules, policies, or procedures as organizational experience dictates.</P>
          <HD SOURCE="HD3">d. Change to Lower Pay Band</HD>
          <P>Within the SSC STRL demonstration project, a change to a lower pay band will be defined as the movement of an employee from a higher pay band to a lower pay band within the same career path, or from one career path to another where the pay band in the new career path has a lower maximum base pay than the pay band from which the employee is moving. This action may or may not result in a pay reduction; however, an employee's base pay may not exceed the maximum of the assigned pay band unless the employee is entitled to pay retention as described in 5 CFR part 536. In cases where change to a lower pay band is involuntary and accompanied by a reduction in pay, adverse action procedures under 5 CFR part 752 remain unchanged.</P>
          <HD SOURCE="HD3">e. Locality Pay</HD>

          <P>All employees will be entitled to the locality pay authorized for their official duty station in accordance with 5 CFR part 531 subpart F. In addition, the locality-adjusted pay of any employee may not exceed the rate for Executive Level IV. Geographic movement within the demonstration project will result in the employee's locality pay being recomputed using the newly applicable locality pay percentage, which may result in a higher or lower locality pay<PRTPAGE P="1939"/>and, thus, a higher or lower adjusted base pay. This adjustment is not an adverse action.</P>
          <HD SOURCE="HD3">f. Staffing Supplements</HD>
          <P>If at any time after establishment of the demonstration project special salary rates (SSRs) are deemed necessary by SSC Atlantic and SSC Pacific leadership, they will be implemented via a staffing supplement. If implemented, additional internal business rules, policies, and procedures will be established on the use and application of staffing supplements including any limitations. Employees assigned to occupational categories and geographic areas where GS special rates apply may be entitled to a staffing supplement if the maximum adjusted base pay rate for the demonstration band to which the employee is assigned is exceeded by a GS special rate for the employee's occupational category and geographic area. The staffing supplement is added to the base pay, much like locality rates are added to base pay.</P>
          <P>The staffing supplement plus the base pay is the staffing supplement adjusted pay. To calculate the staffing supplement a staffing factor must be determined. The staffing factor will be determined by dividing the maximum special rate for the banded grades by the GS unadjusted rate corresponding to that special rate (step 10 of the GS rate for the same grade as the special rate). The employee's staffing supplement is then derived by multiplying the base pay rate by the staffing factor minus one. Therefore, the employee's final staffing supplement adjusted pay equals the base pay rate plus the staffing supplement. The specific formulas are:</P>
          
          <FP SOURCE="FP-2">Staffing factor = Maximum special rate for the banded grades</FP>
          <FP SOURCE="FP-2">GS unadjusted rate corresponding to that special rate</FP>
          <FP SOURCE="FP-2">Staffing supplement = Base pay rate * (staffing factor −1)</FP>
          <FP SOURCE="FP-2">Staffing supplement adjusted pay = base pay rate + staffing supplement</FP>
          
          <P>For newly hired employees into the demonstration project, basic pay will be determined in accordance with section II.B.4.a, Advanced In-Hire Rate. Any applicable staffing supplement will be calculated after base pay is determined. If a staffing supplement has been authorized by Systems Center leadership, any GS or special rate schedule adjustment will require re-computing the staffing supplement. Employees receiving a staffing supplement remain entitled to an underlying locality rate, which may over time supersede the need for a staffing supplement. If OPM discontinues or decreases a special rate schedule, pay retention provisions will be applied. Upon geographic movement of employees, the applicability and amount of any staffing supplement will be re-determined. Any resulting reduction in pay will not be considered an adverse action or a basis for pay retention.</P>

          <P>An established base pay rate plus the staffing supplement will be considered adjusted base pay for the same purposes as a locality rate under 5 CFR 531.610 (<E T="03">e.g.,</E>for purposes of retirement, life insurance, premium pay, severance pay, and advances in pay). It will also be used to compute worker's compensation payments and lump-sum payments for accrued and accumulated annual leave.</P>
          <HD SOURCE="HD3">g. Other Provisions</HD>
          <P>(1)<E T="03">Grade and Pay Retention.</E>The new system will eliminate retained grade but will preserve retained pay in accordance with 5 CFR part 536. Former NSPS employees retaining a rate that exceeds the limits or conditions imposed by 5 CFR part 536 will retain that pay until it falls back within those limits or conditions or until the employee's eligibility is lost or the retained pay is terminated in accordance with 5 CFR 536.308.</P>
          <P>(2)<E T="03">Highest Previous Rate.</E>Employees in the demonstration project may have their base/basic pay set consistent with the highest previous rate provisions at 5 CFR 531.221 through 223. Use of the highest previous rate will be governed by local pay setting policies.</P>
          <P>(3)<E T="03">Recruitment, Retention, and Relocation Incentives.</E>The demonstration project may continue to employ these incentives, as described in 5 CFR part 575, and provide internal policy, guidance, and/or internal procedures for utilizing the incentives as necessary.</P>
          <P>(4)<E T="03">Qualification Standards for Demonstration Project Positions.</E>OPM's “Qualification Standards for General Schedule Positions” will be used to determine qualifications for demonstration project positions except with minor modifications to address application of OPM qualifications in a pay banding environment.</P>
          <HD SOURCE="HD3">h. Distinguished Contribution Allowance (DCA)</HD>
          <P>SSC Atlantic and SSC Pacific will implement a Distinguished Contribution Allowance, a temporary monetary allowance up to 25 percent of base pay, which, when added to an employee's rate of locality-adjusted pay, may not exceed the rate of base pay for Executive Level I. It is paid on either a bi-weekly basis concurrent with scheduled pay days or as a lump sum following completion of a designated contribution period, or a combination of these, at the discretion of the Technical Director/Commanding Officer of the appropriate Systems Center. It is not base pay for any purpose, such as retirement, life insurance, severance pay, promotion, or any other payment or benefit calculated as a percentage of base pay. The DCA will be available to certain employees whose present contributions are worthy of scores found at a higher career level and whose level of contribution is expected to continue at the higher career level for at least one year.</P>
          <P>Award of the DCA rather than a change to a higher career level will generally be appropriate for employees under the following circumstances: (1) Employees have reached the top of their target career levels; (2) when it is not certain that the higher level contributions will continue indefinitely (e.g., a special project expected to be of one- to five-year duration); (3) when no further promotion or compensation opportunities are available, but in all situations, when current market conditions compensate similar contributions at a greater rate in private industry and academia than the organization is able to do under normal compensation conditions.To be eligible for DCA, employees must meet the criteria below:</P>
          <P>(1) Employees in the S&amp;E, Technical, Administrative Professional, General, and Supervisor/Manager career paths are eligible for the DCA if their contribution to the organization is deemed worthy, as determined by the appropriate Center Technical Director/Commanding Officer.</P>
          <P>(2) Employees may receive a DCA for up to five years but for no more than 10 cumulative years over an employee's entire career. The DCA authorization will be reviewed and reauthorized as necessary, but at least annually at the time of the CARS appraisal through nomination by the pay pool manager and approval by the appropriate Technical Director/Commanding Officer.</P>
          <P>(3) Monetary payment may be up to 25 percent of base pay.</P>
          <P>(4) Nominees are required to sign a statement indicating they understand that the DCA is a temporary allowance; it is not a part of base pay for any purpose; it is subject to review at any time, but at least on an annual basis, and the reduction or termination of the DCA is not appealable or grievable.</P>

          <P>All other details regarding nomination, termination, reduction, allocation, and budget determination<PRTPAGE P="1940"/>will be stipulated by internal business rules, policies, or procedures approved by the applicable Center Technical Director/Commanding Officer.</P>
          <HD SOURCE="HD3">i. Pay Differential for Supervisory Functions</HD>
          <P>SSC Atlantic and SSC Pacific will establish a pay differential to be provided at the discretion of the appropriate Center Technical Director or assigned delegates to incentivize and reward personnel performing supervisory functions but the functions do not meet all the specific criteria to be classified to the formal supervisory career path, or the functions are temporary in nature, or the functions are otherwise considered not eligible for supervisory career path pay band classification. Pay differential-eligible positions will be further defined and managed by internal business rules, policies, or procedures. A pay differential is a cash incentive that may range up to 10 percent of the employee's base rate of pay. It is paid on a pay period basis as documented via time and attendance, and is not included as part of the employee's base rate of pay. The pay differential must be terminated if the employee is removed from the designated position/duties (and is not placed in a position with equivalent duties/responsibilities), regardless of cause, or who initiates removal. All personnel actions involving a pay differential will require a statement signed by the employee acknowledging that the differential is not part of base pay for any purpose, and may be terminated or reduced as dictated by fiscal limitations, changes in assignment or scope of work, or by the appropriate Center Technical Director/Commanding Officer. Positions, titles, duties and responsibilities which are eligible for supervisory differential, as well as standards for differential awards will be defined in internal business rules, policies, or procedures. The termination or reduction of the differential is not an adverse action and is not subject to appeal or grievance.</P>
          <HD SOURCE="HD3">j. Accelerated Compensation for Developmental Positions</HD>
          <P>SSC Atlantic and SSC Pacific will implement Accelerated Compensation for Developmental Positions (ACDP) to facilitate applicability to a compensation-based assessment approach. ACDP is an increase to base pay that may be provided to employees participating in Center training programs or in other developmental capacities as determined by Center policy. ACDP recognizes growth and development in the acquisition of job-related competencies combined with successful contribution to the organization. The use of ACDP is limited to: (1) Employees in a developmental pay band of a non-supervisory pay plan who are in developmental or trainee level positions (developmental/trainee positions will be defined by local business rules, policies, or procedures); and (2) employees in positions which are assigned to the Student Career Experience Program (SCEP).</P>
          <P>Standards by which ACDP increases are provided and development criteria by which additional base pay increases may be given will be established and documented in internal business rules, policies, or procedures. The amount of the ACDP increase generally will not exceed 20 percent of an employee's base pay. The decision to grant an ACDP exceeding 20 percent of an employee's base pay must be made on a case-by-case basis and approved by the appropriate Center Technical Director/Commanding Officer or their delegates as established by internal business rules, policies, or procedures. The amount of the ACDP increase may not cause the employee's base pay to exceed the top of the employee's pay band or that set by internal business rules, policies, or procedures. An ACDP increase may not be granted unless an employee is in a pay and duty status under the SSC STRL demonstration project on the effective date of the increase.</P>
          <HD SOURCE="HD3">k. Educational Base Pay Adjustment</HD>
          <P>SSC Atlantic and SSC Pacific will establish an educational base pay adjustment which is separate from other incentive pay(s) and may not exceed the top of the employee's assigned pay band. The educational base pay adjustment may be used to adjust the base pay of individuals who have acquired a level of mission-related education that would otherwise make the employee qualified for an appointment at a higher level and would be used in lieu of a new appointment. For example, this authority may be used to adjust the base pay of employees who are participating in a graduate level SCEP, or employees who have obtained an advanced degree, such as a Ph.D., in a field related to the work of their position or the mission of their organization.</P>
          <HD SOURCE="HD3">l. Expanded Development Opportunity</HD>
          <P>(1) SSC Atlantic and SSC Pacific will establish an Expanded Development Opportunities Program which will cover all demonstration project employees. An expanded developmental opportunity provides possibilities such as (1) long-term training, (2) one-year work experiences in an industrial setting via the Relations With Industry Program, (3) one-year work experiences in laboratories of allied nations via the Science and Engineer Exchange Program, (4) rotational job assignments within both SSC Atlantic and SSC Pacific, (5) developmental assignments in higher headquarters within the DON and DoD, (6) self-directed study via correspondence courses and at local colleges and universities, (7) details within SSC Atlantic and SSC Pacific and to other Federal agencies, (8) Intergovernmental Personnel Act Program Agreements, and (9) sabbaticals.</P>
          <P>Each developmental opportunity period should benefit the organization and increase the employee's individual effectiveness as well. Various learning or uncompensated developmental work experiences may be considered, such as advanced academic teaching or research and sabbaticals. An expanded developmental opportunity period will not result in loss of or reduction in base pay, leave to which the employee is otherwise entitled, or credit for time or service. Input for performance rating purposes will be obtained from the gaining supervisor to ensure a rating of record is on file and, if warranted, a contribution award and/or bonus and retention years' credit for RIF purposes is documented.</P>
          <P>Expanded Development Opportunities Program openings will be announced as opportunities arise. Instructions for application and the selection criteria will be included in the announcement. Final selection/approval for participation in the program will be made by the appropriate Center Technical Director/Commanding Officer. The position of employees on an expanded developmental opportunity may be backfilled by temporary assignment of another employee(s) or temporary redistribution of work. However, that position or its equivalent must be made available to the employee returning from the expanded developmental opportunity.</P>

          <P>An employee accepting an Expanded Developmental Opportunity must sign a continuing service agreement up to three times the length of the assignment with the service obligation to the respective Systems Center organization. If the employee voluntarily leaves the organization before the service obligation is completed, the employee is liable for repayment unless the service agreement or the repayment is waived by the SSC Atlantic or SSC Pacific<PRTPAGE P="1941"/>Technical Director/Commanding Officer.</P>
          <HD SOURCE="HD3">(2) Critical Skills Training</HD>
          <P>(a) The Commanding Officers/Technical Directors have the authority to approve academic degree training consistent with 5 U.S.C. 4107. Training is an essential component of an organization that requires continuous acquisition of advanced and specialized knowledge. Degree training is also a critical tool for recruiting and retaining employees with or requiring critical skills.</P>
          <P>(b) Each academic degree training program in its entirety can be approved based upon a complete individual degree study program plan. It will ensure continuous acquisition of advanced specialized knowledge essential to the organization and enhance the ability to recruit and retain personnel critical to the present and future requirements of the organization. Degree or certificate payment may not be authorized where it would result in a tax liability for the employee without the employee's express and written consent. Any variance from this policy must be rigorously determined and documented. Guidelines will be developed to ensure competitive approval of degree or certificate payment and that such decisions are fully documented. Employees approved for degree training must sign a service obligation agreement to continue service in the respective Systems Center for a period three times the length of the training period commencing after the completion of the entire degree program. If an employee voluntarily leaves the Systems Center before the service obligation is completed, he/she is liable for repayment of expenses incurred by the SSC STRL that are related to the critical skills training. Expenses do not include salary costs. The Commanding Officers/Technical Directors have the authority to waive this requirement. Criteria for such waivers will be addressed in the operating procedures.</P>
          <P>(c) Student Career Experience Program (SCEP) Service Agreement. The extended repayment period also applies to employees under the SCEP who have received tuition assistance. They will be required to sign a service agreement up to three times the length of the academic training period or periods (semesters, trimesters, or quarters). In addition, the Technical Directors/Commanding Officers of the Systems Centers may approve relocation incentives for new SCEP students, and relocation incentives to SCEP students whose worksite is in a different geographic location than that of the college enrolled.</P>
          <HD SOURCE="HD3">m. Awards</HD>
          <P>To provide additional flexibility in motivating and rewarding individuals and groups, some portion of the performance award budget will be reserved for special acts and other categories as they occur. Awards may include, but are not limited to, special achievements, patents, inventions, suggestions, and on-the-spot. The funds available to be used for awards are separately funded within the constraints of the organization's overall award budget. While not directly linked to CARS, this additional flexibility is important to encourage outstanding accomplishments and innovation in accomplishing the diverse missions of the Systems Centers. Additionally, to foster and encourage teamwork among its employees, group awards may be given. Under the SSC STRL demonstration project, a team leader or supervisor may allocate a sum of money to a team for outstanding performance, and the team may decide the individual distribution of the total dollars among themselves, with any disputes being resolved by the award allocator. The appropriate Center Technical Director/Commanding Officer will have the authority to grant special achievement awards to covered employees of up to $25,000.</P>
          <HD SOURCE="HD3">5. Performance/Contribution Management Principles</HD>
          <P>The philosophical base of this demonstration project is that employees are valued and trusted and are the organization's most critical assets. Accordingly, the primary objectives of the SSC STRL demonstration project are to: Develop employees to meet the changing needs of the organization; help employees achieve their career goals; improve contribution in current positions; retain high performers; and improve communication with customers, colleagues, managers, and employees. The system focuses on continuous contribution improvement and minimizes administrative requirements.</P>
          <HD SOURCE="HD3">a. Performance Development Assistance</HD>
          <P>At the heart of the performance-contribution system is the concept of providing organizational resources to support the development process. While the design of these resources will be delegated to each Systems Center, they will typically consist of performance development assistance, specific to each pay pool, for employees or supervisors requiring developmental support. These resources will act as a support system to identify or help provide for the needs of employees and supervisors in the development process.</P>
          <P>Performance development assistance will be available to facilitate communications around expectations and needs and help supervisors and employees seek agreement throughout all aspects of the performance development process. Should performance problems arise, these resources will be particularly useful in diagnosing issues impacting performance (e.g., employee skills, attitudes and motivation, clarity of job expectations, systemic issues, access to information and resources, and relationships with co-workers and supervisor). Additional support may take the form of identifying options for addressing these issues (e.g., development opportunities, tools or equipment to support improved performance, and/or reassignment of the employee to a position that better matches his/her capabilities and interests). Referrals may also be made to other beneficial resources/services and systemic or organizational issues may be examined. Supervisors are expected to utilize performance development assistance in order to prevent and alleviate performance problems. Employees may also seek performance development assistance to help in correcting self identified performance deficiencies, development planning to enhance their career opportunities consistent with the needs of the organization, and facilitating communication and feedback with their supervisors, etc.</P>
          <HD SOURCE="HD3">b. Two-Level Performance Rating System</HD>

          <P>Employee performance ratings will be documented annually. The system employs a two-level performance rating system: Acceptable and unacceptable performance. Acceptable performance is defined as, “performance that fulfills the requirements for which the position exists.” Basic performance standards will be established for each contribution element; however, a baseline standard of performance from which element-specific performance standards are derived is provided in Appendix C. This baseline is intended to represent the methodology on which performance will be evaluated for all employees, and may be modified as organizational experience with the demonstration project dictates. A formal determination of unacceptable performance is made only if the employee does not meet the requirements detailed in a Performance Improvement Plan (PIP) (see paragraph<PRTPAGE P="1942"/>II.B.5.f.). No performance-related adverse action will be initiated against an STRL employee under 5 U.S.C. chapter 43 until a formal PIP has been completed and an employee's performance has been found to be unacceptable. Nothing in this section will preclude a performance-related adverse action under title 5 U.S.C. chapter 75.</P>
          <HD SOURCE="HD3">c. Establishing Contribution Expectations</HD>
          <P>Clear, mutually understood contribution expectations that are linked to organizational goals, strategies, and values are fundamental to successful individual and organizational performance. The outcome of mutually understood contribution expectations is clear communication of the products and/or services to be delivered by the employee(s), and the success criteria against which those outputs will be assessed. Documentation of outputs and success criteria is required to facilitate mutual understanding of contribution expectations.</P>
          <P>The most effective means of creating a common understanding is through a process in which the supervisor and employee discuss requirements and establish contribution goals and expectations. Documentation of contribution expectations will be done annually, at a minimum, at the beginning of the appraisal cycle. Employees and supervisors are expected to actively participate in these discussions to seek clarity regarding expectations and identify potential obstacles to meeting goals. In addition, employees should explain to the extent possible what they need from their supervisor to support goal accomplishment. More frequent task specific discussions of expectations may be appropriate. In cases where work is accomplished by a team, team discussions regarding goals and expectations may be appropriate. Expectations for individual contributions to the team goals, however, should always be clearly specified.</P>
          <P>Documentation of contribution expectations is a helpful mechanism for ensuring clarity of understanding and providing a focus for later discussions on progress and developmental needs. In addition to the yearly documentation of contribution expectations, documentation of expectations is required within 30 days of when an employee begins a new or substantially different job.</P>
          <P>It is important that employees understand what is expected in order to receive a base pay increase. Supervisors will interpret organizational criteria for their employees to clarify how it applies to their work and have periodic assessment discussions with employees to prevent surprise decisions at the time of payout. In addition, supervisors will document their payout recommendation decisions and discuss their decision rationale with employees.</P>
          <HD SOURCE="HD3">d. On-Going Contribution Dialogue</HD>
          <P>To facilitate contribution development, employees and supervisors will engage in on-going dialogue. Ideally this dialogue will occur as part of the day-to-day interactions for the purpose of ensuring a common understanding of expectations, reviewing whether expectations are being met, providing support in identifying resources or solving problems, providing coaching on complex or sensitive issues, providing information to increase the understanding of the project context, and keeping the supervisor informed of progress. In addition to this on-going interaction, however, more formal dialogues will occur focused on reviewing progress, discussing customer feedback, exploring process improvements that could remove obstacles to effective performance, and identifying developmental needs to support continual improvement and career growth. At a minimum, the employee and supervisor will meet twice annually—once at mid-year and again at the end of the contribution appraisal cycle. Documentation of these discussions and resulting plans to support the continuous improvement of individual contribution and organizational performance will be accomplished as described in each organization's internal business rules, policies, or procedures.</P>
          <HD SOURCE="HD3">e. Feedback From Multiple Sources</HD>
          <P>The primary purpose of feedback in CARS is to provide employees with information regarding how well the results of their performance is meeting customer requirements in order to help the employees continually improve their contribution to the organization. This feedback provides input to the review and continuous improvement planning discussed as part of the on-going dialogue component.</P>
          <P>The responsibility for employee development and continuous improvement is jointly held between the supervisor and employee. They are expected to work together to identify internal and external customers and to define and implement a process by which the employee can regularly receive feedback. A variety of mechanisms may be appropriate, such as customer surveys, process measures which track customer requirements, and discussions with customers. Supervisors are expected to facilitate this process and work with employees to interpret the feedback and establish improvement goals.</P>
          <P>Managers and supervisors are also expected to obtain feedback from their customers, including their employees, and to use that feedback as a basis for establishing their own personal and organizational performance development goals.</P>
          <HD SOURCE="HD3">f. Performance Improvement Plan (PIP)</HD>

          <P>When an employee has continued performance difficulties, as evidenced by the employee's repeated failure to perform even at the basic performance level specified for all employees, the supervisor will develop a formal PIP to support the employee in resolving performance problems. Performance development assistance may be an integral part of this effort. Supervisors may request assistance in preventing or alleviating performance problems before the need for formal action arises. When there is an indication that the results of an employee's performance are consistently failing to meet customer and organizational requirements, supervisors are expected to provide performance development assistance to analyze the causes of the difficulty and develop an approach for resolving it. Development of a formal PIP is indicated if and when it is determined that the employee's performance, is lagging, as evidenced by the employee's repeated failure to perform even at the basic performance level specified for all employees and informal intervention has not been successful in correcting the problem. Use of the performance development assistance is expected throughout the period of the PIP in an attempt to facilitate a solution to the problem. The PIP must be written and will clearly document organizational expectations for successful job performance, specify accountability, identify developmental resources to correct any skill deficiencies, define the time frame of the PIP, specify organizational support that will be provided and how performance results will be monitored. In addition, the PIP will clearly specify potential consequences if performance does not improve to an acceptable level. Discussions between the supervisor and employee will occur during the time frame of the PIP to review progress. These discussions must be documented. Unacceptable performance may ultimately be addressed via adverse<PRTPAGE P="1943"/>action procedures available in 5 U.S.C. chapter 43 or 5 U.S.C. Chapter 75.</P>
          <P>If an employee's performance is found to be unacceptable following the PIP, one of three actions will be taken: (1) Removal from the Federal service, (2) placement in a lower pay band (demotion) with or without a corresponding reduction in pay, or (3) reduction in pay while remaining in the same pay band. Following any base pay reduction, the objective is to restore performance, produce acceptable results, and maintain base pay commensurate with contribution. A plan will be established to maximize the opportunity for success in the assignment by clearly identifying performance expectations and defining a plan to achieve them within an appropriate time frame, not to exceed 12 months. Typically, PIPs should be complete prior to or within 90 days after the end of an appraisal period. If a PIP is not completed in that time frame the Technical Director/Commanding Officer may grant an additional 90 day extension. Ratings of record and any contribution scores and associated payouts following a PIP that completed after the appraisal period will be made retroactive to the end of the appraisal period. Formal and informal performance guidance will always be made available. If and when performance improves during the period, some or all of the reduced base pay may be restored. Such restoration is not retroactive and is separate and apart from incentive pay.</P>
          <P>For the demotion actions, the employee may be moved to a lower pay band within the most appropriate career path, and the employee's new base pay cannot exceed the top of the lower pay band. Within the SSC STRL demonstration project, a change to a lower band without a reduction in pay would not be considered an adverse action and would not be appealable through a statutory appeals process.</P>
          <HD SOURCE="HD3">6. Contribution Assessment and Recognition System (CARS)</HD>
          <P>SSC Atlantic and SSC Pacific plan to model a contribution-based system similar to that in use at the NAVSEA Warfare Center's Dahlgren Division and NRL's Contribution-based Compensation System (CCS) models, with some specific modifications designed to integrate elements of each system. SSC Atlantic and SSC Pacific will conduct a careful financial review prior to demonstration project implementation and will make minor adjustments as needed within the specific budgetary guidelines of the NAVSEA contribution-based system procedures.</P>
          <P>The purpose of the CARS is to provide an effective means for evaluating and compensating the SSC Atlantic and SSC Pacific workforces. It will enhance and increase fairness and consistency in the appraisal process, facilitate natural career progression for employees, and provide an understandable basis for career progression by linking contribution to compensation determinations.</P>
          <P>Supervisors will conduct an annual review of each employee's base pay and contribution in order to decide how base pay should be adjusted to reflect the employee's contribution to the organization. The adjustment may be made as a continuing increase to base pay and/or as a one-time cash bonus. The philosophical foundation for contribution-based pay is described as follows.</P>
          <P>One of the outcomes of pay banding, defined here as any base pay range that includes the base pay range of two or more GS grades, is an expanded range of base pay progression opportunities for employees consistent with proper classification of duties. Contribution-based pay is awarded to personnel based on the combination of their contribution and their current base pay. With this comes the necessity to ensure that pay decisions are consistent with the needs and values of the organization. At the same time, they should be seen as fair and equitable. While the SSC STRL demonstration project provides discretion for SSC Atlantic and SSC Pacific to substantially define the criteria and process for managing contribution-based pay, it is appropriate that there be general project wide principles that provide a policy framework for organizational decisions. Those principles are described as follows.</P>
          <P>(a) PRINCIPLE: The organization succeeds through the collective contributions of personnel in all occupations.</P>
          <P>SSC Atlantic and SSC Pacific perform critical missions for the Navy in support of national defense. These missions require the collective efforts of all personnel. While certain positions and occupations are highly visible, it is the entirety of the organization operating as a collective team toward the same goals that enables the Centers to excel. In that regard, no occupational groups under this demonstration project will be excluded from opportunities for contribution-based pay and bonuses, incentive awards, or other forms of reward or recognition. Further, all personnel whose performance is deemed “acceptable” in an annual SSC STRL demonstration project performance rating can participate in contribution assessment and recognition. Amounts and time intervals will be set by SSC Atlantic and SSC Pacific.</P>
          <P>(b) PRINCIPLE: Base pay should be commensurate with value of contribution to the organization.</P>
          <P>There should be relative base pay equity among personnel whose contributions to the organization are of equal value. Consistent with this principle, base pay increases should be commensurate with contribution. It follows that as an individual's base pay increases; there is a corresponding increase in expected level of contribution to the organization.</P>
          <P>Typically, when a person is hired or promoted to a higher pay band, and base pay is at or near the lower end of that band, there are expected successive increases in base pay toward the mid-range of the corresponding pay band. This base pay growth is reflective of the expected learning curve upon entering a new position and the corresponding increase in contribution commensurate with increasing experience. Pay progression through the mid-range occurs with progressively higher levels of contribution. Beyond that, increasingly higher levels of contribution are expected for base pay to correspondingly increase through the upper range of the pay band.</P>
          <HD SOURCE="HD3">a. Rating and Contribution Assessment Process</HD>
          <P>(1) Eligibility.</P>
          <P>All employees whose performance is determined to be acceptable in an annual performance rating can participate in contribution assessment and recognition. Employees receiving an unacceptable rating are ineligible for participation in contribution assessment and recognition. Additionally, the annual General Pay Increase (GPI) will be denied for those with a current rating of unacceptable.</P>
          <P>(2) Contribution-Based Pay Pool.</P>

          <P>Payments under the contribution-based pay system are made from the contribution-based pay pool. Each Systems Center will have authority to manage the contribution-based pay allocation derived from the base pay of employees in that Center that are participating in this demonstration project. Within the contribution-based pay pool, there are separate funds for base pay increases and bonus payments. The contribution-based pay pool is not used to fund promotions between pay bands. Pay pool panels or managers may reduce or deny the next annual GPI for<PRTPAGE P="1944"/>employees whose contributions are in the “contribution significantly below expectations” category. Such reduction or denial may not place an employee in the “contribution above expectations” category. The employees on retained pay in the demonstration project will receive base pay adjustments in accordance with 5 U.S.C. 5363 and 5 CFR part 536. An employee receiving retained pay is not eligible for a contribution base pay increase, but may be eligible for a contribution bonus.</P>
          <P>The contribution-based pay pool will be operated within the parameters of the overall finance system governing the Systems Centers. As a predominately Navy Working Capital Fund (NWCF) activity, SSC Atlantic and SSC Pacific operate on a fee-for-service/break-even basis within the DoD. Under NWCF, the Centers provide reimbursable services for their customers and receive payments based on published stabilized rates. The Assistant Secretary of the Navy for Financial Management and Comptroller oversees the establishment of these stabilized rates through reviews of Biannual Financial Management Budget submissions, which are highly visible at all Command levels. This funding process imposes a discipline in controlling costs.</P>
          <P>The size of the base pay fund is based on appropriate factors, including the following:</P>
          <P>(a) Historical spending for base pay increase (prior China Lake/Naval Ocean Systems Center demonstration project C Points Fund);</P>
          <P>(b) Labor market conditions and the need to recruit and retain a skilled workforce to meet the business needs of the organization; and</P>
          <P>(c) The fiscal condition of the organization.</P>
          <P>The size of the bonus fund will be based on appropriate factors, including the following:</P>
          <P>(a) Historical spending for bonuses (prior China Lake/Naval Ocean Systems Center demonstration project B Points Fund);</P>
          <P>(b) The organization's fiscal condition and financial strategies; and</P>
          <P>(c) Employee retention rates.</P>
          <P>The decision process for defining the size of the contribution-based pay pool and the funds within that pool will be established at the Systems Center level.</P>
          <P>(3) Contribution Assessment and Recognition System (CARS)</P>
          <P>CARS combines performance appraisal and contribution assessment into a single annual process. At the end of each appraisal period, base pay adjustment decisions are made based on each employee's actual contribution to the organization's mission during the period and the employee's current base pay. A separate but related function is also accomplished by determining if an employee's performance fulfills the requirements for which the position was established. Supervisory officials recommend scores to reflect each employee's contribution, considering both how well the employee is performing and at what level the employee is contributing. Often the two considerations are inseparable. The performance planning and rating portions of the demonstration project's appraisal process constitute a performance appraisal program which complies with 5 CFR part 430 and the DoD Performance Management System, except where waivers have been approved. Performance-related actions initiated prior to implementation of the demonstration project (under DON performance management regulations) shall continue to be processed in accordance with the provisions of the appropriate system.</P>
          <P>Supervisors will use CARS to measure employee contributions. CARS employs standardized contribution elements that represent contribution areas for all employees. Each employee in the SSC STRL demonstration project will have four basic contribution elements defined in Appendix D. The four basic elements may be further differentiated, or additional elements derived for specific job functions as demonstration project experience dictates.</P>
          <P>Each contribution element will be broken down into specific target language, designed to capture the contribution of the jobs in each pay band of each career path. For each element, this more detailed guidance will assist in distinguishing levels of contribution within a specific pay band and ultimately serve as guidance for managers and supervisors relative to an employee's contribution. Base pay adjustments are based on a comparison of the employee's actual level of contribution and current base pay to an expected level of contribution for typical employees in a pay band and corresponding base pay range.</P>
          <P>A sample chart showing detailed benchmark standards for the technical contribution element in the Scientific and Engineering career path (ND) is provided in Appendix E. This example, representative of a single contribution element in one career path, is intended to demonstrate the model, methodology, and approach to evaluating employee contribution. Currently written at the highest contribution standard for the contribution elements, specific language and target level may be adjusted with demonstration project experience, and based on further modifications to contribution elements themselves.</P>
          <P>The CARS process will be carried out by supervisors and pay pools in order to facilitate equity and consistency across the organization. Contribution assessments and base pay adjustments may be recommended by the supervisor and must be approved by the appropriate pay pool manager after being validated by the respective pay pool panel, which will consist of supervisory officials or other individuals who are familiar with the organization's work and the contributions of its employees.</P>
          <P>In the case of Systems Center attorneys, special consideration must be made relative to assigned score. To avoid conflict with state bar rules, the pay pool panel may not alter the contribution element scores or the overall contribution score that SPAWAR counsel assigns to an attorney; however, the pay pool panel may make independent judgments, such as pay adjustments after considering that score. A reconsideration from a SPAWAR attorney will be handled in accordance with the Office of General Counsel's grievance procedures after SPAWAR counsel and the pay pool panel recommend a resolution.</P>
          <P>Both SSC Atlantic and SSC Pacific expect to have their evaluation year run from July 1-June 30, and expect to conduct the annual payout no later than the last pay period in October of each year. The first partial SSC STRL appraisal cycle is expected to end on 30 June 2011 (after which the cycle will run 1 July 2011-30 June 2012, with pay adjustments being effective no later than the last pay period in October 2012, and each year thereinafter). Dates of rating and appraisal cycles may be modified further as organizational experience dictates.</P>
          <P>(4) Contribution Expectations and Element Weighting</P>

          <P>Supervisors and/or managers may decide that some contribution elements are more important than others relative to the applicability of the individual employee's function or that some do not apply at all to the effective accomplishment of the organization's mission. In such instances, element weights may be established in increments of 5% including a weight of zero which renders the element not applicable to a given employee's position. These supervisor-recommended weights should be reviewed by a higher level supervisor. Contribution elements and any supplemental criteria will be assigned and agreed to by the employee and supervisor. In cases of disagreement<PRTPAGE P="1945"/>between employee and supervisor, the higher level supervisor will finalize element weighting and any supplemental criteria.</P>
          <P>(5) Assessment.</P>
          <P>The appraisal period will generally be one year, with a minimum appraisal period of 90 days. At the beginning of the appraisal period, upon an employee's arrival at either Systems Center, or into a new position, the following information will be communicated to employees so that they are informed of the basis on which their performance and contributions will be assessed: Their career path and pay band; applicable contribution elements, element details, element weights, any established supplemental criteria, and basic acceptable performance standards. This communication will be documented and retained in accordance with internal business rules, policies, or procedures. The communication of information described by this paragraph constitutes performance planning as required by 5 CFR 430.206(b).</P>
          <P>At each mid-year assessment and the end of the appraisal period, employees will have the opportunity to provide input describing their contributions. Standard operating procedures will provide guidance for supervisors, pay pools and employees on the requirement, content and format of their annual supervisory and employee contribution assessments, and on other types of information about employee contributions which should be developed and considered by supervisors. This will include procedures for capturing contribution information regarding employees who serve on details, who change positions during the appraisal period, who are new to the Systems Center, and other such circumstances.</P>
          <P>If an employee changes positions before the final 90 days of the appraisal period, feedback will be provided by the losing supervisor to the gaining supervisor. If an employee changes positions within the demonstration project during the final 90 days of the appraisal period, the losing supervisor will conduct a performance rating and recommend a contribution score at the time the employee moves to the new position. All employees who have worked 90 days or more by the end of the appraisal period will receive a performance rating of record and a contribution score. For employees currently under a formal PIP at the end of the appraisal period, their rating may be delayed up to 90 days to allow for completion of the PIP. Employees who report to SSC Atlantic or SSC Pacific during the last 90 days of the appraisal period, will receive a presumed rating of acceptable, but will not be eligible for a contribution assessment. The employees mentioned above who are not appraised under CARS will not be eligible for base pay increases or bonus awards, but will be given full GPI and locality increases. For other position changes within the last 90 days, the rating and contribution assessment will be conducted in accordance with local business rules, policies, and procedures.</P>
          <P>Contributions will be assessed consistent with the organization's policy and criteria as reflected in the written guidance for all employees except those not meeting the minimum 90-day performance threshold or those receiving an unacceptable rating. Supervisors will then review any available employee input and the contribution elements to recommend an appropriate contribution score for each employee. Recommendations on appropriate base pay increases and/or bonuses, both amount and type, will be made based on the employee's contribution score and current base pay in accordance with organizational guidance. These recommendations will be reviewed by the second-level supervisor. Decisions regarding approval/disapproval of recommendations will be made at the organizational level to which authority has been delegated to manage the pay pool.</P>
          <P>The pay pool panel will meet to compare scores, make appropriate adjustments, and approve/determine the final base pay adjustment for each employee. Final approval of contribution scores, summary ratings and base pay/bonus award decisions will rest with the pay pool manager (unless higher level approval is requested or deemed necessary). Supervisors will communicate the ratings, scores, and base pay adjustment and/or bonus award to each employee, in accordance with timeline and guidance determined by internal business rules, policies, or procedures.</P>
          <P>(6) Normal Pay Range (NPR)—Base Pay Versus Contribution.</P>
          <P>The NPR is defined as a numerical range of base pay corresponding to a related range of contribution scores in which the ideal combination of contribution score and base pay falls within that expected range. The mathematical output follows a directly proportional relationship between contribution score and base pay for each career path and pay band centered around a Normal Pay Line, on which a minimum contribution score directly corresponds to the minimum base pay of the pay band and a maximum contribution score corresponds to the maximum base pay of the pay band. By this methodology a base pay half way between the minimum base pay and the maximum base pay in a specific pay band would correspond roughly to a contribution score of 50% (± x %) of the maximum score possible in order to fall within the NPR.</P>
          <P>A sample Normal Pay Range/Contribution Chart is represented in Appendix F. This example is intended to demonstrate the methodology, model and approach to be used in determining the relationship between employee contribution and current salary, and will further be used to assist in determining future compensation adjustments. Certain specifics, including contribution element score range (0-10 in this example), the NPR (as defined by the normal pay line, and both sets of upper and lower “rails”), and associated nomenclature (“zone” labeling/designation) may be adjusted by the demonstration project in accordance with normal salary growth, as well as organizational experience with the contribution system.</P>
          <P>CARS assumes a relationship between the assessed contribution of the employee and an expected range of base pay commensurate with an employee's contribution score. Employees whose contribution scores are higher than the expected level of contribution for their base pay are considered to have “contribution above expectations,” while employees whose contribution scores are lower than the expected level of contribution for their base pay are considered to have “contribution below expectations.” All other cases are considered “appropriately compensated” or within the “contribution as expected” category. Each year, the boundaries for the NPR plus the minimum and maximum rate of base pay for each pay band will be adjusted by the amount of the GPI increase granted to the Federal civilian workforce as applied in the GS increase.</P>
          <HD SOURCE="HD3">b. Compensation Decision Process</HD>
          <P>(1) Employee Compensation.</P>
          <P>Employee compensation can be established, adjusted, and/or augmented in a variety of ways, including general pay increases, base pay increases, locality pay increases, contribution and incentive awards, and promotions. Under the SSC STRL demonstration project, SSC Atlantic and SSC Pacific will distribute the budget authority in accordance with section II.B.6.a.(2) above, into five categories:</P>

          <P>(a) General pay increases (not part of contribution-based pay pool funds);<PRTPAGE P="1946"/>
          </P>
          <P>(b) Locality pay increases (not part of contribution-based pay pool funds);</P>
          <P>(c) Continuing base pay increases;</P>
          <P>(d) Contribution bonuses; and</P>
          <P>(e) Incentive awards (not part of contribution-based pay pool funds).</P>
          <P>From these categories, two annual personnel actions will be authorized based primarily on employees' contributions, relative to the NPR. Continuing base pay and contribution bonuses typically become effective no later than October following each appraisal cycle. General Pay Increases (dependent on employee's contribution score in relationship to the NPR) and Locality Pay adjustments will be issued at the same time they are issued for the greater Federal workforce. Payout dates may be redefined as organizational experience is gained.</P>
          <P>In general, the goal of CARS is to pay in a manner such that base pay is consistent with employee contribution. A basic matrix of compensation eligibility vs. placement relative to NPR is provided in Appendix G. More detailed industry and organizational-based guidance is being developed to provide specific compensation recommendations to pay pool management. This data will change as market, and organizational experience dictates. All contribution-based pay pool amounts, and consequent payouts, will be in terms of dollars.</P>
          <P>After the annual appraisal process has been completed and the employees' contribution scores, and base pay adjustments and/or contribution awards have been initially assigned by the appropriate supervisory authority, the pay pool manager, in consultation with the pay pool panel or other pay pool supervisory and staff officials, will finalize/approve the base pay increases, portions of the GPI, and contribution bonuses. Internal policies will provide guidance to assist pay pool managers in making payout determinations. In most cases, the pay pool manager will approve contribution-based continuing pay changes and bonuses. In some cases, however, approval of a higher level official will be required.</P>
          <P>(2) General Pay Increases.</P>
          <P>General pay increase budget authority will be available as derived under 5 U.S.C. 5303 or similar authority. Pay pool panels or managers may reduce or deny the annual GPI for employees whose contributions are in the “contribution significantly below expectations” category. Such reduction or denial may not place an employee in the “contribution above expectations” category.</P>
          <P>(3) Base Pay Increases.</P>
          <P>Base pay increases will normally be granted to employees whose contribution places them in the “contribution as expected” or “contribution above expectations” categories. In general, the level of continuing base pay increase should correspond to the level of contribution relative to the normal pay range for the career path and pay band. In other words, contribution above the level of the established pay range should result in a corresponding increase in base pay. The following limitations apply in that a base pay increase should not place any employee's:</P>
          <P>(a) Base pay in the “contribution below expectations” category;</P>
          <P>(b) Adjusted base pay in excess of Executive Level IV;</P>
          <P>(c) Base pay in excess of the maximum rate of base pay for the individual's pay band (unless the employee is being concurrently advanced to a higher pay band).</P>
          <P>Continuing base pay increase guidance will be outlined in internal business rules.</P>
          <P>Each Systems Center's base pay increase category will be set each year at or near 2.4 percent of their individual total base pay rates. The 2.4 percent figure will be adjusted as necessary to facilitate the most efficient business operations.</P>
          <P>The amount of budget authority available to each pay pool will be determined annually by the appropriate Center Technical Director/Commanding Officer. Factors to be considered by the Technical Director/Commanding Officer in determining annual budget authority may include market salaries, mission priorities, and organizational growth. Because statistical variations will occur in year-to-year personnel growth, any unexpended base pay increase allocation may be transferred to the contribution-bonus category.</P>
          <P>(4) Contribution Bonus Awards.</P>
          <P>Authority for contribution bonuses (lump-sum payments recognizing significant contributions not adequately recognized through a base pay increase) will be initially available to pay pools as a straight one percent of the total of employees' base pay. The percentage rate may be adjusted in future years of the demonstration project. Generally, bonuses will be granted to those employees whose contributions place them in the “contribution as expected,” or in the “contribution above expectations,” category. Internal business rules will provide guidance to pay pool managers in establishing and applying criteria and contribution-based bonus award limits to determine significant contributions which warrant awards.</P>
          <P>Much of the terminology used above is consistent with both performance, and contribution-based evaluation and compensation. Use of terms such as “elements” and categories of “contribution above expectations” or “contribution below expectations” are to provide the direct linkage between the SSC STRL demonstration project and those systems from which it has evolved. As SSC STRL is implemented, language associated with these areas may be modified in order to facilitate workforce understanding and acceptance of contribution theory, as well as to effectively integrate annual performance requirements with contribution appraisal. Any such changes in terms or associated language will not change the essential meaning of performance/objective/contribution theory.</P>
          <HD SOURCE="HD3">c. Reconsideration of Rating and Scoring Decisions</HD>

          <P>Employees will have the opportunity to request reconsideration of their ratings of record and/or assessed contribution scores. In this way, SSC Atlantic and SSC Pacific believe that contribution assessment disputes will be focused on the substantive and relevant contribution issues, which in turn guide base pay and bonus decisions. While the specific purpose of the reconsideration dispute is for employees to address concerns about such decisions, the process is also intended to facilitate communication and understanding between employees and supervisors/managers concerning contributions and their impact on pay decisions. In addition, the process seeks to identify possible systemic problems that need to be addressed. In that regard, reconsideration is considered a positive and integral component of an effective contribution-based pay system by providing a mechanism to support continuous improvement. Accordingly, employees will not be discouraged from requesting reconsideration, nor will they be subjected to reprisal or stigma. The specific process for reconsideration will be defined at the Systems Center level. That process will include, but will not necessarily be limited to, the following characteristics: it should be administratively streamlined; provide expedited resolution; maintain appropriate confidentiality; be fair and impartial; address assertions of harmful error involving issues of process and procedure; and ensure that management rating and scoring decisions reflect reasonableness in judgment in evaluating applicable criteria. Harmful<PRTPAGE P="1947"/>error is defined as: Error by the Systems Center in the application of its procedures which, in the absence or cure of the error, might have caused the Systems Center to reach a conclusion different than the one reached. The burden is upon the appellant to show that based upon the record as a whole the error was harmful (i.e., caused substantial harm or prejudice to his/her rights).</P>
          <P>SSC Atlantic and SSC Pacific will employ an appeal process in which the employee desiring reconsideration appeals directly to the organization's Technical Director/Commanding Officer or delegate. Prior to this consolidated appeal process, employees will be encouraged to seek informal reconsideration with first-, second- or third-level supervisors. The formal consolidated process will eliminate costly and staggered review processes, and will provide the employees timely and high-level appeal decisions by a senior third party. The Technical Director/Commanding Officer ruling is final. If an employee's rating or contribution score is changed during the reconsideration process, the new score will be applied to the compensation adjustment process. The following are not considered appealable under the reconsideration process: compensation decisions such as receipt, non-receipt, or amount of general increase, base pay increase, and bonus.</P>
          <P>Appeals that contain allegations that a performance rating was based on prohibited action(s) that are subject to formal review and adjudication by a third party may not be processed through the reconsideration process, but instead may be processed by the employee through the applicable third party process. Such third parties include, but are not limited to: The Merit Systems Protection Board (MSPB), the Office of Special Counsel (OSC), the OPM, the Federal Labor Relations Authority (FLRA), and the Equal Employment Opportunity Commission (EEOC).</P>
          <HD SOURCE="HD3">7. Reduction-in-Force (RIF)</HD>
          <P>Flexible and responsive alternatives are needed to restructure an organization in a short period of time. The proposed RIF system will have a single round of competition to replace the “two round” process. Once the position to be abolished has been identified, the incumbent of that position may “displace” another employee when the incumbent has a higher retention standing and meets OPM and agency qualification standards for the position occupied by the employee with a lower standing. Retention standing is based on tenure, veterans' preference, and RIF Service Computation Date (SCD) as adjusted by the employee's contribution scores. Adjustments applied and RIF procedures will be specified in internal business rules, policies, or procedures, and will be consistent across all pay bands and career paths. An employee rated as unacceptable during the 12-month period preceding the effective date of a RIF may only displace an employee rated unacceptable during that same period.</P>
          <P>5 CFR 351.702 will serve as the criteria to determine employee qualification in RIF placement. The displaced individual may similarly displace other employees. If/when there is no position in which an employee can be placed by this process or assigned to a vacant position, that employee will be separated. Displacement is limited to one pay band below the employee's present level. A preference eligible employee with a compensable service connected disability of 30 percent or more may displace up to two pay bands (or the equivalent of five GS grades) below the employee's present level. The new system will eliminate retained grade but will preserve retained pay in accordance with 5 CFR part 536. The competitive area may be determined by career paths, business units, product lines, organizational units, funding lines, occupational series, competency, geographic location, or a combination of these elements, and must include all STRL demonstration project employees within the defined competitive area. All positions included in the demonstration project within an activity at a specific geographic location will be considered a separate competitive area. RIFs are conducted by the DON Human Resources Service Centers.</P>
          <HD SOURCE="HD3">8. Conversion From NSPS Into the Demonstration Project</HD>
          <HD SOURCE="HD3">a. Placement Into Demonstration Project Pay Plans and Pay Bands From NSPS</HD>
          <P>The employee's NSPS occupational series, pay plan, pay band, and supervisory code will be considered upon converting into the demonstration project as follows.</P>
          <P>(1) Determine the Appropriate Demonstration Project Pay Plan. Employees will be converted into a pay plan based on the occupational series of their position. For supervisors, conversion to that pay plan will be without regard to the occupational series. In cases where the employee is assigned to a NSPS-unique occupational series, a corresponding OPM occupational series must be identified using OPM GS classification standards and guidance to determine the proper demonstration project pay plan.</P>
          <P>(2) Determine the Appropriate Pay Band. The appropriate pay band will be determined primarily by classifying each employee's position using the applicable classification standards for the Demo project. Relevant background information such as GS conversion grade, grade/level held previously, etc., may be an indicator of the level of classification review required.</P>
          <HD SOURCE="HD3">b. Pay Upon Conversion</HD>
          <P>Conversion from NSPS into the demonstration project will be accomplished with full employee pay protection. Adverse action provisions will not apply to the conversion action. In accordance with section 1113(c)(1) of NDAA for FY 2010, which prohibits a loss of or decrease in pay upon transition from NSPS, employees converting to the demonstration project will retain the adjusted base salary (as defined in 5 CFR 9901.304) from their NSPS permanent position at the time the position converts or have base pay adjusted to correspond to the base pay of the pay band minimum to which they are converting. Upon conversion, the retained NSPS adjusted salary may not exceed Level IV of the Executive Schedule (EX-IV) plus 5 percent. If the employee's base/basic pay exceeds the maximum rate for his or her assigned demonstration project pay band, the employee will be placed on indefinite pay retention until an event, as described in 5 CFR 536.308, results in a loss of eligibility for or termination of pay retention. Increases to the retained rate after conversion will be in accordance with applicable regulations; however, for any NSPS employee whose retained rate exceeds EX-IV upon conversion, any adjustment to the retained rate in accordance with applicable pay retention regulations may not cause the employee's adjusted pay to exceed EX-IV plus 5 percent.</P>
          <P>In the case of employees temporarily assigned to an NSPS position prior to that position converting to the demonstration project, who is then in turn retained in that temporary position immediately after conversion—Section 1113(c)(1) would still apply to the temporary position, i.e., there will be no loss or decrease in pay as a result of the conversion of either a temporary or permanent position from NSPS to the demonstration project.</P>

          <P>Employees who were covered by an NSPS targeted local market supplement (TLMS) prior to conversion to the demonstration project will no longer be covered by a TLMS. Instead they may<PRTPAGE P="1948"/>receive a locality or, if applicable similar supplement (e.g., a staffing supplement), whichever is greater, or pay retention, if applicable. The adjusted base pay upon conversion will not change.</P>
          <P>Once converted, employees may receive other adjustments and/or differentials if applicable, as described in this regulation or an implementing issuance.</P>
          <P>(1) Fair Labor Standards Act (FLSA) Status. Since FLSA provisions were not waived under NSPS and duties do not change upon conversion to the demonstration project, the FLSA status determination will remain the same upon conversion. Employees will be converted to the demonstration project with the same FLSA status they had under NSPS.</P>
          <P>(2) Transition Equity. During the first 12 months following conversion to the demonstration project, management may approve certain adjustments within the pay band for pay equity reasons stemming from conversion. For example, if an employee would have been otherwise promoted but demonstration project pay band placement no longer provides the opportunity for a promotion, a pay equity adjustment may be authorized provided the adjustment does not cause the employee's base pay to exceed the maximum rate of his or her assigned pay band and the employee's contribution warrants an adjustment. The decision to grant a pay equity adjustment is at the sole discretion of management and is not subject to employee appeal procedures.</P>
          <P>During the first 12 months following conversion, management may approve an adjustment of not more than 10 percent, provided the adjustment does not cause the employee's base pay to exceed the maximum rate of his or her assigned pay band and the employee's contribution warrants an adjustment, to mitigate compensation inequities that may be caused by artifacts of the process of conversion into STRL pay bands.</P>
          <HD SOURCE="HD3">c. Pay Band Retention</HD>
          <P>Employees converting from NSPS to the demonstration project will not be granted pay band retention based on the pay band formerly assigned to their NSPS position.</P>
          <HD SOURCE="HD3">d. Converting Employees on NSPS Term and Temporary Appointments</HD>
          <P>Employees serving under term appointments at the time of conversion to the demonstration project will be converted to modified term appointments provided they were hired for their current positions under competitive procedures. These employees will be eligible for conversion to career or career-conditional appointments in the competitive service provided they:</P>
          <P>(1) Have served two years of continuous service in the term position;</P>
          <P>(2) Were selected for the term position under competitive procedures; and</P>
          <P>(3) Are performing at a satisfactory level.</P>
          <P>Converted term employees who do not meet these criteria may continue on their term appointment up to the not-to-exceed date established under NSPS. Extensions of term appointments after conversion may be granted in accordance with 5 CFR part 316, subpart D.</P>
          <P>Employees serving under temporary appointments under NSPS will be converted when their organization converts to the demonstration project and may continue on their temporary appointment up to the not-to-exceed date established under NSPS. Extensions of temporary appointments after conversion may be granted in accordance with 5 CFR 213.104 for excepted service employees and 5 CFR part 316, subpart D, for competitive service employees.</P>
          <HD SOURCE="HD3">e. Probationary Periods</HD>
          <P>(1)<E T="03">Initial Probationary Period.</E>NSPS employees who have completed an initial probationary period prior to conversion from NSPS will not be required to serve a new or extended initial probationary period. NSPS employees who are serving an initial probationary period upon conversion from NSPS will serve the time remaining on their initial probationary period.</P>
          <P>(2)<E T="03">Supervisory Probationary Period.</E>NSPS employees who have completed a supervisory probationary period prior to conversion from NSPS will not be required to serve a new or extended supervisory probationary period. NSPS employees who are serving a supervisory probationary period upon conversion from NSPS will serve the time remaining on their supervisory probationary period.</P>
          <HD SOURCE="HD3">9. Conversion From Other Personnel Systems</HD>
          <P>Employees who enter this demonstration project from other personnel systems (e.g., Defense Civilian Intelligence Personnel System, DoD Civilian Acquisition Workforce Demonstration Project, or other STRLs) due to a reorganization, mandatory conversion, Base Closure and Realignment Commission decision, or other directed action will be converted into the SSC STRL demonstration project via movement of their positions using an 890 Nature of Action Code. Employees' positions will be classification based upon the position classification criteria under the laboratory demonstration project rules and their pay, upon conversion, maintained under applicable pay setting rules.</P>
          <HD SOURCE="HD3">10. Movement Out of the SSC STRL Demonstration Project</HD>
          <HD SOURCE="HD3">a. Termination of Coverage Under the SSC STRL Demonstration Project Pay Plans</HD>
          <P>In the event employees' coverage under the SSC STRL demonstration project pay plans is terminated, employees move with their demonstration project position to another system applicable to SSC STRL employees. The grade of their demonstration project position in the new system will be based upon the position classification criteria of the gaining system. Employees when converted to their positions classified under the new system will be eligible for pay retention under 5 CFR part 536, if applicable.</P>
          <HD SOURCE="HD3">b. Determining a GS-Equivalent Grade and GS-Equivalent Rate of Pay for Pay Setting Purposes When an SSC Employee's Coverage by a Demonstration Project Pay Plan Terminates or the Employee Voluntarily Exits the SSC STRL Demonstration Project</HD>

          <P>If a demonstration project employee is moving to a GS or other pay system position, the following procedures will be used to translate the employee's project pay band to a GS-equivalent grade and the employee's project base pay to the GS-equivalent rate of pay for pay setting purposes. The equivalent GS grade and GS rate of pay must be determined before movement out of the demonstration project and any accompanying geographic movement, promotion, or other simultaneous action. For lateral reassignments, the equivalent GS grade and rate will become the employee's converted GS grade and rate after leaving the demonstration project (before any other action). For transfers, promotions, and other actions, the converted GS grade and rate will be used in applying any GS pay administration rules applicable in connection with the employee's movement out of the project (e.g., promotion rules, highest previous rate rules, pay retention rules), as if the GS converted grade and rate were actually<PRTPAGE P="1949"/>in effect immediately before the employee left the demonstration project.</P>
          <P>(1) Equivalent GS-Grade-Setting Provisions.</P>
          <P>An employee in a pay band corresponding to a single GS grade is provided that grade as the GS-equivalent grade. An employee in a pay band corresponding to two or more grades is determined to have a GS-equivalent grade corresponding to one of those grades according to the following rules:</P>
          <P>(a) The employee's adjusted base pay under the demonstration project (including any locality payment or staffing supplement) is compared with step 4 rates in the highest applicable GS rate range. For this purpose, a GS rate range includes a rate in:</P>
          <P>i. The GS base schedule;</P>
          <P>ii. The locality rate schedule for the locality pay area in which the position is located; or</P>
          <P>iii. The appropriate special rate schedule for the employee's occupational series, as applicable.</P>
          <P>If the series is a two-grade interval series, only odd-numbered grades are considered below GS-11.</P>
          <P>(b) If the employee's adjusted base pay under the demonstration project equals or exceeds the applicable step 4 adjusted base pay rate of the highest GS grade in the band, the employee is converted to that grade.</P>
          <P>(c) If the employee's adjusted base pay under the demonstration project is lower than the applicable step 4 adjusted base pay rate of the highest grade, the adjusted base pay under the demonstration project is compared with the step 4 adjusted base pay rate of the second highest grade in the employee's pay band. If the employee's adjusted base pay under the demonstration project equals or exceeds the step 4 adjusted base pay rate of the second highest grade, the employee is converted to that grade.</P>
          <P>(d) This process is repeated for each successively lower grade in the band until a grade is found in which the employee's adjusted base pay under the demonstration project rate equals or exceeds the applicable step 4 adjusted base pay rate of the grade. The employee is then converted at that grade. If the employee's adjusted base pay is below the step 4 adjusted base pay rate of the lowest grade in the band, the employee is converted to the lowest grade.</P>
          <P>(e) Exception: An employee will not be provided a lower grade than the grade held by the employee immediately preceding a conversion, lateral reassignment, or lateral transfer into the project, unless since that time the employee has either undergone a reduction in band or a reduction within the same pay band due to unacceptable performance.</P>
          <P>(2) Equivalent GS-Rate-of-Pay-Setting Provisions.</P>
          <P>An employee's pay within the converted GS grade is set by converting the employee's demonstration project rates of pay to GS rates of pay in accordance with the following rules:</P>
          <P>(a) The pay conversion is done before any geographic movement or other pay-related action that coincides with the employee's movement or conversion out of the demonstration project.</P>
          <P>(b) An employee's adjusted base pay under the demonstration project (i.e., including any locality payment or staffing supplement) is converted to a GS adjusted base pay rate on the highest applicable GS rate range for the converted GS grade. For this purpose, a GS rate range includes a rate range in:</P>
          <P>i. The GS base schedule,</P>
          <P>ii. An applicable locality rate schedule, or</P>
          <P>iii. An applicable special rate schedule.</P>
          <P>(c) If the highest applicable GS rate range is a locality pay rate range, the employee's adjusted base pay under the demonstration project is converted to a GS locality rate of pay. If this rate falls between two steps in the locality-adjusted schedule, the rate must be set at the higher step. The converted GS unadjusted rate of base pay would be the GS base rate corresponding to the converted GS locality rate (i.e., same step position).</P>
          <P>(d) If the highest applicable GS rate range is a special rate range, the employee's adjusted base pay under the demonstration project is converted to a special rate. If this rate falls between two steps in the special rate schedule, the rate must be set at the higher step. The converted GS unadjusted rate of base pay will be the GS rate corresponding to the converted special rate (i.e., same step position).</P>
          <P>(3) Employees with Pay Retention.</P>
          <P>If an employee is receiving a retained rate under the demonstration project, the employee's GS-equivalent grade is the highest grade encompassed in his or her pay band level. Demonstration project operating procedures will outline the methodology for determining the GS-equivalent pay rate for an employee retaining a rate under the demonstration project.</P>
          <HD SOURCE="HD1">III. SSC STRL Demonstration Project Duration</HD>
          <P>Section 342 of the National Defense Authorization Act for fiscal year 1995 (Pub. L. 103-337) does not require a mandatory expiration date for this demonstration project. The project evaluation plan addresses how each intervention will be comprehensively evaluated for at least the first 5 years of the demonstration project. Major changes and modifications to the interventions would be made using the provisions of DoDI 1400.37.</P>
          <P>At the five-year point, the entire demonstration will be reexamined for either: (a) Permanent implementation, (b) modification and another test period, or (c) termination of the project.</P>
          <HD SOURCE="HD1">IV. SSC STRL Demonstration Project Evaluation Plan</HD>
          <P>Consistent with guidance from DoD, SSC Atlantic and SSC Pacific propose utilizing the same evaluation plan as is being used by existing demonstration projects. Accordingly, standard language for Evaluation Plan, Evaluation, and Method of Data Collection (sections IV.B., IV.C, and IV.D., respectively) provided by DoD is used in this document to describe SSC Atlantic's and SSC Pacific's plans and procedures for the demonstration project evaluation. The use of parallel evaluation methodologies will facilitate comparisons across demonstration projects to derive higher-order conclusions about the benefits, challenges, and overall effectiveness of these programs.</P>
          <HD SOURCE="HD2">A. Overview</HD>

          <P>Chapter 47 of 5 U.S.C. requires that an evaluation be performed to measure the effectiveness of the proposed laboratory demonstration project, and its impact on improving public management. A comprehensive evaluation plan for the entire laboratory demonstration program, originally covering 24 DoD laboratories, was developed by a joint OPM/DoD Evaluation Committee in 1995. This plan was submitted to the Office of Defense Research &amp; Engineering and was subsequently approved (see Proposed Plan for Evaluation of the Department of Defense S&amp;T Laboratory Demonstration Program, Office of Merit Systems Oversight and Effectiveness, June 1995). The main purpose of the evaluation is to determine whether the waivers granted result in a more effective personnel system and improvements in ultimate outcomes (i.e., laboratory effectiveness, mission accomplishment, and customer satisfaction). In March 1996, the Director of Defense Research &amp; Engineering (DDR&amp;E), who is responsible for laboratory management, entered into an agreement with OPM's Personnel Resources and Development Center (PRDC) to conduct the external evaluation of the project from FY 1996<PRTPAGE P="1950"/>to FY 2001. The Centers will make arrangements for the continued evaluation of the project beyond the PRDC evaluation period and throughout the life of the demonstration project so as to fulfill the requirements of 5 U.S.C. Chapter 47.</P>
          <HD SOURCE="HD2">B. Evaluation Model</HD>
          <P>Appendix H shows an intervention model for the evaluation of the demonstration project. The model is designed to evaluate two levels of organizational performance: Intermediate and ultimate outcomes. The intermediate outcomes are defined as the results from specific personnel system changes and the associated waivers of law and regulation expected to improve human resource (HR) management (i.e., cost, quality, and timeliness). The ultimate outcomes are determined through improved organizational performance, mission accomplishment, and customer satisfaction. Although it is not possible to establish a direct causal link between changes in the HR management system and organizational effectiveness, it is hypothesized that the new HR system will contribute to improved organizational effectiveness.</P>
          <P>Organizational performance measures established by the organization will be used to evaluate the impact of a new HR system on the ultimate outcomes. The evaluation of the new HR system for any given organization will take into account the influence of three factors on organizational performance: Context, degree of implementation, and support of implementation. The context factor refers to the impact which intervening variables (e.g., downsizing, changes in mission, or the economy) can have on the effectiveness of the program. The degree of implementation considers the extent to which the:</P>
          <P>(1) HR changes are given a fair trial period;</P>
          <P>(2) Changes are implemented; and</P>
          <P>(3) Changes conform to the HR interventions as planned.</P>
          <P>The support of implementation factor accounts for the impact that factors such as training, internal regulations and automated support systems have on the support available for program implementation. The support of implementation factor can also be affected by the personal characteristics (e.g., attitudes) of individuals who are implementing the program.</P>
          <P>The degree to which the project is implemented and operated will be tracked to ensure that the evaluation results reflect the project as it was intended. Data will be collected to measure changes in both intermediate and ultimate outcomes, as well as any unintended outcomes, which may happen as a result of any organizational change. In addition, the evaluation will track the impact of the project and its interventions on veterans and other protected groups, the Merit Systems Principles, and the Prohibited Personnel Practices. Additional measures may be added to the model in the event that changes or modifications are made to the evaluation plan.</P>
          <P>The intervention model presented in Appendix H will be used to measure the effectiveness of the personnel system interventions implemented. The intervention model specifies each personnel system change or “intervention” that will be measured and shows:</P>
          <P>(1) The expected effects of the intervention,</P>
          <P>(2) The corresponding measures, and</P>
          <P>(3) The data sources for obtaining the measures.</P>
          <P>Although the model makes predictions about the outcomes of specific interventions, causal attributions about the full impact of specific interventions will not always be possible for several reasons. For example, many of the initiatives are expected to interact with each other and contribute to the same outcomes. In addition, the impact of changes in the HR system may be mitigated by context variables, such as the job market, legislation, and internal support systems, or support factors, such as training and automation support systems.</P>
          <HD SOURCE="HD2">C. Evaluation</HD>
          <P>A modified quasi-experimental design will be used for the evaluation of the STRL Personnel Demonstration Program. Because most of the eligible laboratories are participating in the program, a title 5 U.S.C. comparison group will be compiled from the Central Personnel Data File (CPDF). This comparison group will consist of workforce data from Government-wide research organizations in civilian Federal agencies with missions and job series matching those in the DoD laboratories. This comparison group will be used primarily in the analysis of pay banding costs and turnover rates.</P>
          <HD SOURCE="HD2">D. Method of Data Collection</HD>
          <P>Data from several sources will be used in the evaluation. Information from existing management information systems and from personnel office records will be supplemented with perceptual survey data from employees to assess the effectiveness and perception of the project. The multiple sources of data collection will provide a more complete picture as to how the interventions are working. The information gathered from one source will serve to validate information obtained through another source. The confidence of overall findings will be strengthened as the different collection methods substantiate each other.</P>
          <P>Both quantitative and qualitative data will be used when evaluating outcomes. The following data will be collected:</P>
          <P>(1) Workforce data;</P>
          <P>(2) Personnel office data;</P>
          <P>(3) Employee attitude surveys;</P>
          <P>(4) Focus group data;</P>
          <P>(5) Local site historian logs and implementation information;</P>
          <P>(6) Customer satisfaction surveys; and</P>
          <P>(7) Core measures of organizational performance.</P>
          <P>The evaluation effort will consist of two phases, formative and summative evaluation, covering at least five years to permit inter- and intra-organizational estimates of effectiveness. The formative evaluation phase will include baseline data collection and analysis, implementation evaluation, and interim assessments. The formal reports and interim assessments will provide information on the accuracy of project operation, and current information on impact of the project on veterans and protected groups, Merit System Principles, and Prohibited Personnel Practices. The summative evaluation will focus on an overall assessment of project outcomes after five years. The final report will provide information on how well the HR system changes achieved the desired goals, which interventions were most effective, and whether the results can be generalized to other Federal installations.</P>
          <HD SOURCE="HD1">V. Demonstration Project Costs</HD>
          <P>SSC Atlantic and SSC Pacific will model their demonstration project on existing demonstration projects, but must assume some expanded demonstration project costs, as detailed in Figure 3-1.</P>
          <P>Current cost estimates associated with implementing the SSC Atlantic and SSC Pacific demonstration project are shown in Figure 3.1. These include possible automation of training and project evaluation systems. The automation and training costs are startup costs. Transition costs are one-time costs. Costs for project evaluation will be ongoing for at least 5 years.</P>
          <GPH DEEP="179" SPAN="3">
            <PRTPAGE P="1951"/>
            <GID>EN11JA11.190</GID>
          </GPH>
          <HD SOURCE="HD1">VI. Automation Support</HD>
          <HD SOURCE="HD2">A. General</HD>
          <P>One of the major goals of the demonstration project is to streamline the personnel processes to increase cost effectiveness. Automation must play an integral role in achieving that goal. Without the necessary atuomation to support the interventions proposed for the demonstration project, optimal cost benefit cannot be realized. In addition, adequate information to support decision making must be available to managers if line management is to assume greater authority and responsibility for human resources management.</P>
          <P>Automation to support the demonstration project is required at the DON and DoD level, (in the form of changes to the Defense Civilian Personnel Data System (DCPDS)) to facilitate processing and reporting of demonstration project personnel actions, and may be ultimately required by the Systems Centers to assist in processing a variety of personnel-related actions in order to facilitate management processes and decision making.</P>
          <HD SOURCE="HD2">B. Defense Civilian Personnel Data System (DCPDS)</HD>
          <P>DCPDS is the DoD's authoritative personnel data system and program of record and, as such, will be the system of choice for the STRL labs. The detailed specifications for required changes to DCPDS will be provided in the System Change Request (SCR), Form 804, concurrent with submission of this document.</P>
          <HD SOURCE="HD2">VII. Project Oversight and Management</HD>
          <P>Project oversight and management will be carried out by the Systems Centers' Senior Leadership, composed of the Technical Directors and Commanding Officers of both organizations. They will be assisted initially by the SSC STRL Demonstration Project Implementation Committee, and once established, by the permanent SSC STRL Project Management team.</P>
          <HD SOURCE="HD2">B. Personnel Administration</HD>
          <P>All personnel laws, regulations, and guidelines not waived by this plan will remain in effect. Basic employee rights will be safeguarded and merit system principles will be maintained.</P>
          <HD SOURCE="HD2">C. Modifications</HD>
          <P>Many aspects of a demonstration project are experimental. Modifications may be made from time to time as experience is gained, results are analyzed, and conclusions are reached on how the new system is working. Modifications would be made in accordance with DoD Instruction (DoDI) 1400.37.</P>
          <HD SOURCE="HD1">VIII. Required Waivers to Law and Regulation</HD>
          <P>Public Law 106-398 gave the DoD the authority to experiment with several personnel management innovations. In addition to the authorities granted by the law, the following are waivers of law and regulation that will be necessary for implementation of the demonstration project. In due course, additional laws and regulations may be identified for waiver request.</P>
          <P>The following waivers and adaptations of certain title 5 U.S.C. and 5 CFR provisions are required only to the extent that these statutory provisions limit or are inconsistent with the actions contemplated under this demonstration project. Nothing in this plan is intended to preclude the demonstration project from applying, adopting or incorporating any law or OPM, DoD, or DON regulation enacted, adopted, or amended after the effective date of this demonstration project.</P>
          <HD SOURCE="HD2">A. Waivers to title 5, U.S.C.</HD>
          <P>Chapter 5, section 552a: Records. Waive to the extent required to clarify that volunteers under the Voluntary Emeritus Program are considered employees of the Federal government for purposes of this section.</P>
          <P>Chapter 31, section 3111: Acceptance of volunteer service. Waived to allow for a Volunteer Emeritus Program in addition to student volunteers.</P>
          <P>Chapter 33, section 3317(a): Competitive service, certification from register (in so far as “rule of three” is eliminated under the demonstration project).</P>
          <P>Chapter 33, section 3318(a): In so far as “rule of three” is eliminated under the demonstration Project. Veterans' preference provisions remain unchanged.</P>
          <P>Chapter 33, section 3321: Competitive Service; Probationary Period. This section waived only to the extent necessary to replace grade with “pay band.”</P>
          <P>Chapter 33, section 3341: Details. Waived in its entirety.</P>
          <P>Chapter 41, section 4108(a)-(c): Employee Agreements; Service after Training. Waived to the extent necessary to: (1) Provide that the employee's service obligation is to the respective Systems Center organization for the period of the required service; (3) permit the Technical Directors/Commanding Officers to waive in whole or in part a right of recovery; and (3) require employees under the Student Career Experience Program who have received tuition assistance to sign a service agreement up to three times the length of the training.</P>

          <P>Chapter 43, section 4303: Only insofar as it applies to the downward<PRTPAGE P="1952"/>movement between pay bands because of failure to receive base pay increases.</P>
          <P>Chapter 43, section 4304(b)(1) and (3): Responsibilities of the OPM. Waived in its entirety to remove the responsibilities of the OPM with respect to the performance appraisal system.</P>
          <P>Chapter 45, section 4502: Limitation of cash awards to $10K. Waived to allow Technical Director/Commanding Officer to award up to $25K with the same level of authority as the Secretary of Defense to grant cash awards. The requirement for certification and approval of the cash awards by OPM is not required. All other provisions of section 4502 apply.</P>
          <P>Chapter 51, section 5101-5112: Purpose, definitions, basis, classification of positions, review, authority—to the extent that white collar employees will be covered by broad banding.</P>
          <P>Chapter 53, section 5301; 5302(1), (8), and (9); section 5303; and section 5304: Pay Comparability System. (To the extent necessary to allow demonstration project employees covered by broad banding to be treated as General Schedule employees and to allow basic rates of pay under the demonstration project to be treated as scheduled rates of basic pay.)</P>
          <P>Chapter 53, section 5305: Special Pay Authority. Waived in its entirety.</P>
          <P>Chapter 53, section 5331-5336: General Schedule Pay Rates. Waived in its entirety.</P>
          <P>Chapter 53, section 5362: Grade Retention. Waived in its entirety.</P>
          <P>Chapter 53, section 5363: Pay Retention. Waived only to the extent necessary to (1) Replace “grade” with “pay band;” (2) allow demonstration project employees to be treated as General Schedule employees; (3) provide that pay retention does not apply to reductions in basic pay due solely to the operation of the pay setting rules for geographic movement within the demonstration project; (4) enable reduction in the GPI for under-contributing employees receiving a retained rate; (5) allow no provision of grade or pay band retention under this demonstration project; and (6) allow STRL employees receiving a staffing supplement to be considered for pay retention when the staffing supplement is discontinued or reduced. (The waiver of this section does not apply to SL/ST employees unless they move to a GS equivalent position under conditions that trigger entitlement to pay retention.)</P>
          <P>Chapter 55, section 5545(d): Related to hazardous duty premium pay (only to the extent necessary to allow demonstration project employees to be treated as General Schedule employees).</P>
          <P>Chapter 57, sections 5753, 5754, and 5755: Related to recruitment, relocation, retention payments, and supervisory differential. (These sections waived to the extent necessary to allow: (1) Employees and positions under the demonstration project to be treated as employees and positions under the GS; and (2) that management may offer a bonus to incentivize geographic mobility to a SCEP student.)</P>
          <P>Chapter 59, section 5941: Allowances based on living costs and conditions of environment; employees stationed outside continental United States or Alaska (Only to the extent necessary to provide that COLA's paid to employees under the demonstration project are paid in accordance with regulations prescribed by the President (as delegated to OPM)).</P>
          <P>Chapter 75, sections 7501(1), 7511(a)(1)(A)(ii), and 7511(a)(1)(C)(ii): Adverse Actions—Definitions. Waived to the extent necessary to allow for up to a three-year probationary period and to permit termination during the extended probationary period without using adverse action procedures for those employees serving a probationary period under an initial appointment except for those with veterans' preference.</P>
          <P>Chapter 75, section 7512(3); To the extent necessary to (1) replace “grade” with “pay band” and (2) exclude reductions in pay band not accompanied by a reduction in pay taken under Chapter 43.</P>
          <P>Chapter 75, section 7512(4): Adverse Action. (Only to the extent necessary to provide that adverse action provisions do not apply to (1) conversions from General Schedule special rates to demonstration project pay and reallocations of demonstration project pay rates within special rate extensions to locality adjusted pay rates due to promotions of general or locality pay increases, as long as the employee's total rate of pay is not reduced; and (2) reductions in basic pay due solely to the operations of the pay setting rules for geographic movement within the demonstration project.)</P>
          <HD SOURCE="HD2">B. Waivers to title 5, CFR</HD>
          <P>Part 300, sections 300.601 through .605: Time-in-grade restrictions are eliminated in the demonstration project.</P>
          <P>Part 308, sections 308.101 through 308.103: Volunteer service. Waived to allow for a Volunteer Emeritus Program in addition to student volunteers.</P>
          <P>Part 315, sections 315.801(a), 315.801(b)(1), (c), and (e), and 315.802(a) and (b)(1): Probationary period and Length of probationary period. Waived to the extent necessary to allow for up to a three-year probationary period and to permit termination during the extended probationary period without using adverse action procedures for those employees serving a probationary period under an initial appointment except for those with veterans' preference.</P>

          <P>Part 316, sections 316.301, 316.303, and 316.304: Term Employment. These sections are waived to allow modified term appointments as described in this<E T="04">Federal Register</E>.</P>
          <P>Part 332, section 332.402: “Rule of three” will not be used in the demonstration project. When there are no more than 15 qualified applicants and no preference eligible, all eligible applicants are referred to the selection official without rating or rankings. Statutes and regulations covering veterans' preference are observed in the selection process and when rating and ranking are required.</P>
          <P>Part 332, section 332.404: Waived to provide that the order of selection is not limited to highest three eligibles.</P>
          <P>Part 335, section 335.103: Agency promotion programs. Waived to the extent necessary to extend the length of details and temporary promotions without requiring competitive procedures or numerous short-term renewals.</P>
          <P>Part 337, section 337.101(a): Rating applicants. Waived to the extent necessary to allow referral without rating when there are 15 or fewer qualified candidates and no qualified preference eligibles.</P>
          <P>Part 340, subpart A, subpart B, and subpart C: Other than Full-Time Career Employment. These subparts are waived to the extent necessary to allow a Volunteer Emeritus Program.</P>
          <P>Part 351, section 351.402(b): Competitive area to the extent that “part of the agency” can be defined by career paths, business units, product lines, organizational units, funding lines, occupational series, competency, and geographic locations.</P>
          <P>Part 351, sections 351.403(a) and (b): Competitive levels to the extent that there is no requirement for the establishment of competitive levels in the demonstration project.</P>
          <P>Part 351, section 351.404(a) and (b): Retention register to the extent that the requirement to establish separate retention registers by competitive level is eliminated.</P>

          <P>Part 351, section 351.501(a)(3): For order of retention, delete “as augmented by credit for performance” under section 351.504. Part 351, section 351.504: Credit for performance to the extent that<PRTPAGE P="1953"/>the demonstration project eliminates service credit for performance.</P>
          <P>Part 351, section 351.504: Performance Credit for RIF, to the extent veteran standing is based on Service Computation Data (SCD), veterans' preference and contribution scores.</P>
          <P>Part 351, section 351.601 through .608: References to competitive levels are eliminated.</P>
          <P>Part 351, section 351.701(b) and (c) Assignment rights (bump and retreat): To the extent that the distinction between bump and retreat is eliminated and the placement of demonstration project employees is restricted to no more than one broad band below the employee's current level, except that for a preference eligible with a compensable service connected disability of 30 percent or more, the limit is two pay bands (or the equivalent of five General Schedule grades) below the employee's present level.</P>
          <P>Part 410, section 410.308(a) and (c) sufficient to allow the Systems Centers to pay for all courses related to an academic degree program approved by the applicable Systems Centers' Technical Director/Commanding Officer.</P>
          <P>Part 410, section 410.309: Agreements to continue in service. Waived to the extent necessary to allow the applicable Systems Centers' Technical Director/Commanding Officer to determine requirements related to continued service agreements, including employees under the Student Career Experience Program who have received tuition assistance.</P>

          <P>Part 430, subpart B, Performance appraisal for General Schedule, Prevailing Rate and certain other employees: Section 430.210, OPM Responsibilities, is waived. The remainder of subpart B is waived to the extent that it is inconsistent with the STRL performance appraisal program as described in this<E T="04">Federal Register</E>notice, and, for example, sections 430.208(a)(1) and (2): Rating Performance, is waived to allow presumptive ratings for new employees hired 90 days or less before the end of the appraisal cycle or for other situations not providing adequate time for an appraisal.</P>
          <P>Part 432: Only insofar as it applies to the downward movement between pay bands because of failure to receive base pay increases. Also, modified to delete reference to critical element. For employees who are reduced in pay band without a reduction in pay, sections 432.105 and 432.106(a) do not apply.</P>
          <P>Part 432, sections 432.104 and .105: Proposing and Taking Action Based on Unacceptable Performance: Insofar as references to “critical elements” are deleted and adding that the employee may be “reduced in grade or pay or removed” if performance does not improve to acceptable levels after a reasonable opportunity.</P>
          <P>Part 451, subpart A, section 451.103(c)(2): Waived with respect to performance awards under the SPAWAR CARS and Distinguished Contribution Allowance.</P>
          <P>Part 511, section 511.201: To the extent that White Collar positions are covered by broad banding.</P>
          <P>Part 511, subpart A: General Provisions and subpart B: Coverage of the GS. Waived to the extent necessary to allow for the demonstration project classification system and pay banding structure.</P>
          <P>Part 511, section 511.601: Applicability of regulations. Classification appeals modified to the extent that white collar positions established under the project plan, although specifically excluded from title 5 CFR, are covered by the classification appeal process outlined in this FRN section III.B.5, as amended below.</P>
          <P>Part 511, section 511.603(a): Right to appeal. Waived to the extent necessary to substitute pay band for grade.</P>
          <P>Part 511, section 511.607(b): Non-Appealable Issues. Add to the list of issues that are neither appealable nor reviewable, the assignment of series under the project plan to appropriate occupational families and the demonstration project classification criteria.</P>
          <P>Part 530, subpart C: Special Rate Schedules for Recruitment and Retention. Waived in its entirety to allow for staffing supplements.</P>
          <P>Part 531, subparts B, D, and E: Determining the Rate of Basic Pay, Within-Grade Increases and Quality Step Increases. (Except that the provisions relating to highest previous rate under Parts 531.202 and 531.203 are waived only to the extent necessary to work in a broad banding system.)</P>
          <P>Part 531, subpart F: Locality-Based Comparability Adjustments. (This waiver applies only to the extent necessary to allow demonstration project employees covered by broad banding, except, to be treated as General Schedule employees; and to allow basic rates of pay under the demonstration project to be treated as scheduled annual rates of pay. This waiver does not apply to FWS employees.</P>
          <P>Part 531, subparts B: Determining Rate of Basic Pay. Waived to the extent necessary to allow for pay setting and pay for performance/contribution under the provisions of the demonstration project.</P>
          <P>Part 531, subparts D and E: Within-Grade Increases and Quality Step Increases. Waived in its entirety.</P>
          <P>Part 531, subpart F: Locality-Based Comparability Payments. Waived to the extent necessary to allow demonstration project employees to be treated as GS employees and base rates of pay under the demonstration project to be treated as scheduled annual rates of pay.</P>
          <P>Part 536: All provisions pertaining to grade retention. Waived in their entirety.</P>
          <P>Part 536, section 536.104: Pay Retention. Waived only to the extent necessary to (1) Replace “grade” with “pay band;” (2) allow demonstration project employees to be treated as General Schedule employees; and (3) provide that pay retention does not apply to reductions in basic pay due solely to the operation of the pay setting rules for geographic movement within the demonstration project.) (This waiver does not apply to SL/ST employees unless they move to a GS equivalent position under conditions that trigger entitlement to pay retention.)</P>
          <P>Part 536, subpart B, waived in its entirety. Sections 536.305, Adjusting an employee's retained rate when a pay schedule is adjusted, and 536.306, Limitation on retained rates. Waived only to the extent that under-contributing employees receiving a retained rate will not be entitled to the full amount of any increase in the maximum rate of the employees' pay band.</P>
          <P>Part 550, sections 550.703: Severance Pay, definition of “reasonable offer” waived by replacing “two grade or pay levels” with “one pay band” and “grade or pay level” with “pay band.”</P>
          <P>Part 550, section 550.902, definition of “employee:” Hazardous Duty Pay. (Only to the extent necessary to treat demonstration project employees covered by broad banding as General Schedule employees.)</P>
          <P>Part 575, subparts A, B, and C: Recruitment Bonuses, Relocation Bonuses, Retention Allowances, and Supervisory Differentials. Waived only to the extent necessary to allow: (1) Employees and positions under the demonstration project covered by broad banding to be treated as employees and positions under the General Schedule; (2) relocation incentives to new SCEP students; and (3) relocation incentives to SCEP students whose worksite is in a different geographic location than that of the college enrolled.</P>
          <P>Part 575, subpart D: Waive in its entirety.</P>

          <P>Part 591, subpart B: Cost-of-Living Allowances and Post Differential-Non-foreign Areas. (To the extent necessary<PRTPAGE P="1954"/>to allow demonstration project employees covered by broad banding to be treated as employees under the General Schedule.)</P>
          <P>Part 752, sections 752.101, 752.201, 752.301 and 752.401: Principal statutory requirements and Coverage. Waived to the extent necessary to allow for up to a three-year probationary period and to permit termination during the extended probationary period without using adverse action procedures for those employees serving a probationary period under an initial appointment except for those with veterans' preference.</P>
          <P>Part 752, sections 752.401(a)(3): Reduction in grade and pay (but only to the extent necessary to exclude reductions in pay band not accompanied by a reduction in pay) and 752.401(a)(4) (but only to the extent necessary to exclude conversions from a General Schedule special rate to demonstration project pay that do not result in a reduction in the employee's total rate of pay).</P>
          <P>Part 752, section 752.401(a)(4): Adverse Action. (Only to the extent necessary to provide that adverse action provisions do not apply to— (1) conversions from General Schedule special rates or NSPS Targeted Local Market Supplements to demonstration project pay and reallocations of demonstration project pay rates within special rate extensions to locality adjusted pay rates due to promotions or general or locality pay increases, as long as the employee's total rate of pay is not reduced; and (2) reductions in basic pay due solely to the operation of the pay setting rules for geographic movement within the demonstration project.</P>
          <HD SOURCE="HD1">IX. Appendices</HD>
          <HD SOURCE="HD1">Appendix A: STRL Demonstration Project Series</HD>
          <BILCOD>BILLING CODE 5001-06-P</BILCOD>
          <GPH DEEP="555" SPAN="3">
            <PRTPAGE P="1955"/>
            <GID>EN11JA11.191</GID>
          </GPH>
          <BILCOD>BILLING CODE 5001-06-C</BILCOD>
          <HD SOURCE="HD1">Appendix B: SSC STRL Demonstration Project Series Distribution</HD>
          <GPOTABLE CDEF="s25,8,8,8,8,8,8,8,8,8" COLS="10" OPTS="L2,p1,8/9,i1">
            <TTITLE>SSC STRL Series Distribution</TTITLE>
            <BOXHD>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
              <CHED H="1"/>
            </BOXHD>
            <ROW>
              <ENT I="01">Science and Engineering (ND)</ENT>
              <ENT>0401</ENT>
              <ENT>0403</ENT>
              <ENT>0408</ENT>
              <ENT>0410</ENT>
              <ENT>0413</ENT>
              <ENT>0801</ENT>
              <ENT>0803</ENT>
              <ENT>0806</ENT>
              <ENT>0807</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0808</ENT>
              <ENT>0810</ENT>
              <ENT>0819</ENT>
              <ENT>0830</ENT>
              <ENT>0840</ENT>
              <ENT>0850</ENT>
              <ENT>0854</ENT>
              <ENT>0855</ENT>
              <ENT>0858</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0861</ENT>
              <ENT>0893</ENT>
              <ENT>0896</ENT>
              <ENT>1301</ENT>
              <ENT>1306</ENT>
              <ENT>1310</ENT>
              <ENT>1313</ENT>
              <ENT>1320</ENT>
              <ENT>1321</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>1330</ENT>
              <ENT>1340</ENT>
              <ENT>1350</ENT>
              <ENT>1360</ENT>
              <ENT>1370</ENT>
              <ENT>1386</ENT>
              <ENT>1515</ENT>
              <ENT>1520</ENT>
              <ENT>1529</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>1550</ENT>
              <ENT>0701</ENT>
              <ENT>0899</ENT>
              <ENT>1599</ENT>
              <ENT>0180</ENT>
              <ENT>1399</ENT>
              <ENT>1501</ENT>
            </ROW>
            <ROW>
              <PRTPAGE P="1956"/>
              <ENT I="01">Administrative Specialist/Professional (NO)</ENT>
              <ENT>0018</ENT>
              <ENT>0020</ENT>
              <ENT>0028</ENT>
              <ENT>0080</ENT>
              <ENT>0101</ENT>
              <ENT>0132</ENT>
              <ENT>0170</ENT>
              <ENT>0184</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0201</ENT>
              <ENT>0260</ENT>
              <ENT>0301</ENT>
              <ENT>0340</ENT>
              <ENT>0341</ENT>
              <ENT>0342</ENT>
              <ENT>0343</ENT>
              <ENT>0346</ENT>
              <ENT>0391</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0501</ENT>
              <ENT>0505</ENT>
              <ENT>0510</ENT>
              <ENT>0511</ENT>
              <ENT>0560</ENT>
              <ENT>0904</ENT>
              <ENT>0905</ENT>
              <ENT>0950</ENT>
              <ENT>1001</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>1021</ENT>
              <ENT>1035</ENT>
              <ENT>1040</ENT>
              <ENT>1071</ENT>
              <ENT>1082</ENT>
              <ENT>1083</ENT>
              <ENT>1084</ENT>
              <ENT>1101</ENT>
              <ENT>1102</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>1103</ENT>
              <ENT>1150</ENT>
              <ENT>1221</ENT>
              <ENT>1222</ENT>
              <ENT>1410</ENT>
              <ENT>1412</ENT>
              <ENT>1601</ENT>
              <ENT>1640</ENT>
              <ENT>1670</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>1712</ENT>
              <ENT>1750</ENT>
              <ENT>1801</ENT>
              <ENT>1810</ENT>
              <ENT>1811</ENT>
              <ENT>1910</ENT>
              <ENT>2001</ENT>
              <ENT>2003</ENT>
              <ENT>2010</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>2030</ENT>
              <ENT>2032</ENT>
              <ENT>2050</ENT>
              <ENT>2101</ENT>
              <ENT>2130</ENT>
              <ENT>2150</ENT>
              <ENT>2152</ENT>
              <ENT>2210</ENT>
              <ENT>0399</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0599</ENT>
              <ENT>1099</ENT>
              <ENT>1199</ENT>
              <ENT>2299</ENT>
            </ROW>
            <ROW>
              <ENT I="01">S&amp;E Technical/Technician (NR)</ENT>
              <ENT>0404</ENT>
              <ENT>0802</ENT>
              <ENT>0809</ENT>
              <ENT>0856</ENT>
              <ENT>0895</ENT>
              <ENT>1311</ENT>
              <ENT>1341</ENT>
              <ENT>1521</ENT>
              <ENT>1531</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0021</ENT>
              <ENT>1060</ENT>
              <ENT>1152</ENT>
              <ENT>1371</ENT>
            </ROW>
            <ROW>
              <ENT I="01">General Support (NG)</ENT>
              <ENT>0019</ENT>
              <ENT>0029</ENT>
              <ENT>0086</ENT>
              <ENT>0134</ENT>
              <ENT>0181</ENT>
              <ENT>0203</ENT>
              <ENT>0302</ENT>
              <ENT>0303</ENT>
              <ENT>0304</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0305</ENT>
              <ENT>0309</ENT>
              <ENT>0312</ENT>
              <ENT>0318</ENT>
              <ENT>0322</ENT>
              <ENT>0326</ENT>
              <ENT>0335</ENT>
              <ENT>0344</ENT>
              <ENT>0350</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0356</ENT>
              <ENT>0361</ENT>
              <ENT>0390</ENT>
              <ENT>0392</ENT>
              <ENT>0394</ENT>
              <ENT>0503</ENT>
              <ENT>0525</ENT>
              <ENT>0540</ENT>
              <ENT>0544</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>0561</ENT>
              <ENT>0986</ENT>
              <ENT>1087</ENT>
              <ENT>1105</ENT>
              <ENT>1106</ENT>
              <ENT>1107</ENT>
              <ENT>1411</ENT>
              <ENT>2005</ENT>
              <ENT>2102</ENT>
            </ROW>
            <ROW>
              <ENT I="22"/>
              <ENT>2135</ENT>
              <ENT>0332</ENT>
              <ENT>0335</ENT>
            </ROW>
            <ROW>
              <ENT I="01">Supervisor/Manager (NM)</ENT>
              <ENT>All Series</ENT>
            </ROW>
            <TNOTE>* NSPS-unique series 2203 &amp; 2204 were directly converted in the SSC STRL Demonstration Project to series 0332 &amp; 0335 (in the General Support Career Path) respectively.</TNOTE>
          </GPOTABLE>
          <HD SOURCE="HD1">Appendix C: Baseline Performance Standards (Career Path-Independent)</HD>
          <P>Work is timely, efficient, and of acceptable quality. Flexibility, adaptability, and decisiveness are exercised appropriately. Leadership effectively demonstrates commitment to mission, ethical behavior, and integrity. Interactions show respect for individual differences and diversity. Personal and organizational interactions exhibit and foster cooperation and teamwork. Communications are clear, concise, effective, and at appropriate level. Resources are utilized effectively and efficiently to accomplish the mission. Personal and organizational interactions also enhance customer relations and actively promote rapport with customers.</P>
          <HD SOURCE="HD1">Appendix D: Core Contribution Elements</HD>
          <P>
            <E T="03">Technical:</E>This element measures personal and organizational problem solving results. It is comprised of the following components: Scope/impact, Complexity/difficulty, Independence, and Creativity</P>
          <P>
            <E T="03">Teamwork and Communication:</E>This element measures individual and organizational teamwork and cooperation as well as effectiveness of oral/written communications. It is comprised of the following components: Scope of team effort, Contribution to team, Team effectiveness, Level of interaction (audience), and Communication (oral and written)</P>
          <P>
            <E T="03">Management:</E>This element measures personal and organizational utilization of resources to accomplish the mission. (Resources include but are not limited to personal time, equipment and facilities, human resources and funds.) This element also measures the effectiveness of personal and organizational interactions with customers, both internal and external. It is comprised of the following components: Scope of resource responsibility, Planning, Execution, Customer interaction level, Customer needs</P>
          <P>
            <E T="03">Leadership:</E>This element measures individual and organizational leadership. It is comprised of the following components: Scope of leadership influence, Leadership activities, Mentoring/employee development</P>
          <BILCOD>BILLING CODE 5001-06-P</BILCOD>
          <GPH DEEP="640" SPAN="3">
            <PRTPAGE P="1957"/>
            <GID>EN11JA11.192</GID>
          </GPH>
          <GPH DEEP="350" SPAN="3">
            <PRTPAGE P="1958"/>
            <GID>EN11JA11.193</GID>
          </GPH>
          <GPH DEEP="217" SPAN="3">
            <GID>EN11JA11.194</GID>
          </GPH>
          <GPH DEEP="520" SPAN="3">
            <PRTPAGE P="1959"/>
            <GID>EN11JA11.195</GID>
          </GPH>
          <GPH DEEP="596" SPAN="3">
            <PRTPAGE P="1960"/>
            <GID>EN11JA11.196</GID>
          </GPH>
          <GPH DEEP="614" SPAN="3">
            <PRTPAGE P="1961"/>
            <GID>EN11JA11.197</GID>
          </GPH>
          <GPH DEEP="621" SPAN="3">
            <PRTPAGE P="1962"/>
            <GID>EN11JA11.198</GID>
          </GPH>
          <GPH DEEP="573" SPAN="3">
            <PRTPAGE P="1963"/>
            <GID>EN11JA11.199</GID>
          </GPH>
          <GPH DEEP="119" SPAN="3">
            <PRTPAGE P="1964"/>
            <GID>EN11JA11.200</GID>
          </GPH>
        </SUPLINF>
        <FRDOC>[FR Doc. 2011-237 Filed 1-10-11; 8:45 am]</FRDOC>
        <BILCOD>BILLING CODE 5001-06-C</BILCOD>
      </NOTICE>
    </NOTICES>
  </NEWPART>
  <VOL>76</VOL>
  <NO>7</NO>
  <DATE>Tuesday, January 11, 2011</DATE>
  <UNITNAME>Notices</UNITNAME>
  <NEWPART>
    <PTITLE>
      <PRTPAGE P="1965"/>
      <PARTNO>Part VI</PARTNO>
      <AGENCY TYPE="P">Department of Commerce</AGENCY>
      <SUBAGY>International Trade Administration</SUBAGY>
      <HRULE/>
      <TITLE>Drill Pipe From the People's Republic of China; Final Determinations; Notices</TITLE>
    </PTITLE>
    <NOTICES>
      <NOTICE>
        <PREAMB>
          <PRTPAGE P="1966"/>
          <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
          <SUBAGY>International Trade Administration</SUBAGY>
          <DEPDOC>[A-570-965]</DEPDOC>
          <SUBJECT>Drill Pipe From the People's Republic of China: Final Determination of Sales at Less Than Fair Value and Critical Circumstances</SUBJECT>
          <AGY>
            <HD SOURCE="HED">AGENCY:</HD>
            <P>Import Administration, International Trade Administration, Department of Commerce.</P>
          </AGY>
          <DATES>
            <HD SOURCE="HED">DATES:</HD>
            <P>
              <E T="03">Effective Date:</E>January 11, 2011.</P>
          </DATES>
          <SUM>
            <HD SOURCE="HED">SUMMARY:</HD>

            <P>On August 18, 2010, the Department of Commerce (the “Department”) published in the<E T="04">Federal Register</E>the<E T="03">Preliminary Determination</E>of sales at less-than-fair-value (“LTFV”) and critical circumstances, in part, in the antidumping investigation of drill pipe from the People's Republic of China (“PRC”).<SU>1</SU>
              <FTREF/>The period of investigation (“POI”) is April 1, 2009, through September 30, 2009. Based on our analysis of the comments received, we have made changes to the margin calculation for DP-Master Manufacturing Co., Ltd. and Jiangyin Liangda Drill Pipe Co., Ltd. (collectively “the DP-Master Group”), Baoshan Iron &amp; Steel Co., Ltd. (“Baoshan”), and Shanxi Yida Special Steel Imp. &amp; Exp. Co., Ltd. (“Yida”). We continue to find that drill pipe from the PRC is being, or is likely to be, sold in the United States at LTFV as provided in section 735 of the Tariff Act of 1930, as amended (“the Act”). The estimated margins of sales at LTFV are shown in the “Final Determination Margins” section of this notice.</P>
            <FTNT>
              <P>
                <SU>1</SU>
                <E T="03">See Drill Pipe From the People's Republic of China: Preliminary Determination of Sales at Less Than Fair Value and Affirmative Determination of Critical Circumstances, and Postponement of Final Determination,</E>75 FR 51004 (August 18, 2010); and<E T="03">Drill Pipe From the People's Republic of China: Notice of Correction to the Preliminary Determination of Sales at Less Than Fair Value and Affirmative Determination of Critical Circumstances, and Postponement of Final Determination,</E>75 FR 51014 (August 18, 2010) (collectively,<E T="03">“Preliminary Determination</E>
                <E T="03">”</E>).</P>
            </FTNT>
          </SUM>
          <FURINF>
            <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
            <P>Toni Dach, Susan Pulongbarit, or Matthew Renkey, AD/CVD Operations, Office 9, Import Administration, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington DC 20230; telephone: (202) 482-1655, (202) 482-4031, or (202) 482-2312, respectively.</P>
          </FURINF>
        </PREAMB>
        <SUPLINF>
          <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
          <HD SOURCE="HD1">Background</HD>
          <P>The Department conducted sales and factors of production (“FOP”) verifications for the DP-Master Group and Yida, and an FOP verification for Baoshan, from September 20 through October 1, 2010, and sales verification for Baoshan on October 13 and 14, 2010.<SU>2</SU>
            <FTREF/>
            <E T="03">See</E>the “Verification” section below for additional information.</P>
          <FTNT>
            <P>

              <SU>2</SU>We conducted verifications of the DP-Master Group and Yida, which produced the merchandise under investigation and sold it to the United States, and Baoshan, which produced the merchandise under investigation.<E T="03">See</E>Memo to the File, from Toni Dach and Jerry Huang, International Trade Compliance Analysts, “Verification of the Sales and Factors of Production Response of DP-Master Manufacturing Co., Ltd. and Jiangyin Liangda Drill Pipe Co., Ltd. in the Antidumping Duty Investigation of Drill Pipe from the People's Republic of China,” dated October 26, 2010 (“DP-Master Verification Report”); Memo to the File, through Scot T. Fullerton, Program Manager, from Matthew Renkey, Senior International Trade Compliance Analyst, and Susan Pulongbarit, International Trade Compliance Analyst, “Verification of the Sales and Factors Response of the Yida Group in the Antidumping Investigation of Drill Pipe from the People's Republic of China,” dated October 27, 2010 (“Yida Verification Report”); Memo to the File, through Scot T. Fullerton, Program Manager, from Susan Pulongbarit, International Trade Compliance Analyst, and Matthew Renkey, Senior International Trade Compliance Analyst, “Verification of the Sales and Factors of Production Response of Baoshan Iron &amp; Steel Co., Ltd. in the Investigation of Drill Pipe from the People's Republic of China,” dated October 27, 2010 (“Baoshan Verification Report”). Additionally, for Baoshan's sales, we conducted verification of Baoshan's North American affiliate, Baosteel America, Inc., which handled all of Baoshan's POI sales.<E T="03">See</E>Memo to the File, through Scot T. Fullerton, Program Manager, from Susan Pulongbarit, International Trade Compliance Analyst, and Matthew Renkey, Senior International Trade Compliance Analyst, “Verification of the CEP Sales Response of Baoshan Iron &amp; Steel Inc. in the Investigation of Drill Pipe from the People's Republic of China,” dated October 27, 2010 (“Baoshan CEP Verification Report”).</P>
          </FTNT>
          <P>On November 16, 2010, the Department placed labor wage rate data on the record and invited parties to comment on the Department's labor wage rate methodology.<SU>3</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>3</SU>
              <E T="03">See</E>Memorandum to the File dated November 16, 2010.</P>
          </FTNT>
          <P>Between November 5, 2010 and November 12, 2010, we received case and rebuttal briefs from Petitioners,<SU>4</SU>
            <FTREF/>the government of the PRC (“GOC”), the DP-Master Group, Baoshan, and Yida.</P>
          <FTNT>
            <P>
              <SU>4</SU>The petitioners are VAM Drilling USA, Inc., Texas Steel Conversion, Inc., Rotary Drilling Tools, TMK IPSCO, and the United Steel, Paper and Forestry, Rubber, Manufacturing, Energy, Allied Industrial and Service Workers International Union, AFL-CIO-CLC (hereinafter referred to as “Petitioners”).</P>
          </FTNT>
          <P>On December 3, 2010, the Department placed additional surrogate value (“SV”) information on the record and invited parties to comment on the Department's selection of an SV for tool joints,<SU>5</SU>
            <FTREF/>and received comments on this data from the DP-Master Group and Petitioners between December 8 and 10, 2010. On December 14, 2010, the Department placed additional SV information on the record regarding galvanizing and zinc values,<SU>6</SU>
            <FTREF/>and received comments on this data from Baoshan on December 20, 2010. Also on December 14, 2010, the Department requested additional shipment data from Baoshan, the DP-Master Group, and Yida,<SU>7</SU>
            <FTREF/>and received their responses on December 17, 2010.</P>
          <FTNT>
            <P>
              <SU>5</SU>
              <E T="03">See</E>Memorandum to the File dated December 3, 2010.</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>6</SU>
              <E T="03">See</E>Memorandum to the File dated December 14, 2010.</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>7</SU>
              <E T="03">See</E>Letters to Baoshan, the DP-Master Group, and Yida dated December 14, 2010.</P>
          </FTNT>
          <HD SOURCE="HD1">Analysis of Comments Received</HD>

          <P>All issues raised in the case and rebuttal briefs by parties to this investigation are addressed in the “Drill Pipe from the People's Republic of China: Issues and Decision Memorandum for the Final Determination” (“I&amp;D Memo”), dated concurrently with this notice and which is hereby adopted by this notice. A list of the issues which parties raised, and to which we respond in the I&amp;D Memo, are attached to this notice as Appendix I. The I&amp;D Memo is a public document and is on file in the Central Records Unit, Room 7046, and is accessible on the World Wide Web at<E T="03">http://trade.gov/ia/index.asp</E>. The paper copy and electronic version of the memorandum are identical in content.</P>
          <HD SOURCE="HD1">Changes Since the Preliminary Determination</HD>
          <P>Based on our analysis of information on the record of this investigation, we have made changes to the DP-Master Group's, Baoshan's, and Yida's margin calculations for the final determination.</P>
          <HD SOURCE="HD2">The DP-Master Group</HD>
          <P>• Subsequent to the<E T="03">Preliminary Determination,</E>at the Department's request, the DP-Master Group provided a revised FOP database, including data from the six-month period immediately prior to the POI. Because this database more accurately reflects the FOPs consumed by the DP-Master Group in producing the merchandise under investigation than the database on the record prior to the<E T="03">Preliminary Determination,</E>we have determined that it is appropriate to use FOP data from the period October 1, 2008, to September 30, 2009, in calculating the DP-Master Group's margin for the final determination.<SU>8</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>8</SU>
              <E T="03">See</E>the DP-Master Group's September 9, 2010, response to the Department's 8th supplemental questionnaire (“8th Supplemental Response”).</P>
          </FTNT>
          <P>• We have changed the SV for green tubes used in the DP-Master Group's margin calculation.<SU>9</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>9</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 7.</P>
          </FTNT>
          <PRTPAGE P="1967"/>
          <P>• We have changed the SV for tool joints used in the DP-Master Group's margin calculation.<SU>10</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>10</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 6.</P>
          </FTNT>
          <P>• We have disallowed a by-product offset for brown aluminum oxide in the DP-Master Group's internal plastic coating process.<SU>11</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>11</SU>
              <E T="03">See</E>8th Supplemental Response; s<E T="03">ee also</E>Final Analysis Memo for the DP-Master Group, issued concurrently with this notice.</P>
          </FTNT>
          <P>• Based on our findings at verification,<SU>12</SU>
            <FTREF/>we are applying partial adverse facts available (“AFA”) to the DP-Master Group's phosphate treatment toller's consumption of direct materials in its production of the merchandise under investigation.<SU>13</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>12</SU>
              <E T="03">See</E>DP-Master Verification Report at 2, 6-8, and 10-11.</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>13</SU>
              <E T="03">See</E>I&amp;D Memo at the “Changes from Verification” section, part A.</P>
          </FTNT>
          <HD SOURCE="HD2">Baoshan</HD>
          <P>• We have used Baoshan's inputs to its intermediate inputs consumed in the production of the merchandise under investigation, instead of valuing Baoshan's intermediate inputs.<SU>14</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>14</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 12.</P>
          </FTNT>
          <P>• We have determined that it is more appropriate to use only the Jindal Saw, Ltd. (“Jindal Saw”) financial statement as the basis for Baoshan's surrogate financial ratios rather than the average of the Jindal Saw and Tata Steel Limited financial statements.<SU>15</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>15</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 5B.</P>
          </FTNT>
          <P>• We have not granted Baoshan a by-product offset for its production of pulverized ash, because it did not receive income for the by-product given free of charge to unaffiliated parties.<SU>16</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>16</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 13.</P>
          </FTNT>
          <P>• To calculate the SV of iron ore, we have included Baoshan's purchases of iron ore pellets from its affiliated supplier based on our determination that the affiliate's prices are reflective of unaffiliated market economy (“ME”) prices. Including these purchases will increase Baoshan's ME purchases to above the 33% threshold. Accordingly, we have weight-averaged Baoshan's ME purchase prices to value all of its iron ore purchases.<SU>17</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>17</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 11.</P>
          </FTNT>
          <P>• At verification, we found that certain of Baoshan's indirect selling expenses (“ISEs”) were not included in its ISEs ratio. We have corrected this for the final determination.<SU>18</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>18</SU>
              <E T="03">See</E>I&amp;D Memo at the “Changes from Verification” section, part B.</P>
          </FTNT>
          <P>• At verification, we found that Baoshan did not report credit expenses for the payments it received from its U.S. customer. We have included these credit expenses in Baoshan's margin for the final determination.<SU>19</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>19</SU>
              <E T="03">See</E>I&amp;D Memo at the “Changes from Verification” section, part C.</P>
          </FTNT>
          <HD SOURCE="HD2">Yida</HD>
          <P>• At verification, we found that Yida consumed rubber pads in its production of the merchandise under investigation.<SU>20</SU>
            <FTREF/>Therefore, we are including rubber pads as an FOP in calculating Yida's final margin.<SU>21</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>20</SU>
              <E T="03">See</E>Yida Verification Report.</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>21</SU>
              <E T="03">See</E>Final Analysis Memorandum for Yida, issued concurrently with this notice;<E T="03">see also</E>I&amp;D Memo at Comment 15.</P>
          </FTNT>
          <HD SOURCE="HD1">Scope of Investigation</HD>

          <P>The products covered by the investigation are steel drill pipe, and steel drill collars, whether or not conforming to American Petroleum Institute (“API”) or non-API specifications. Included are finished drill pipe and drill collars without regard to the specific chemistry of the steel (<E T="03">i.e.,</E>carbon, stainless steel, or other alloy steel), and without regard to length or outer diameter. Also included are unfinished drill collars (including all drill collar green tubes) and unfinished drill pipe (including drill pipe green tubes, which are tubes meeting the following description: seamless tubes with an outer diameter of less than or equal to 6<FR>5/8</FR>inches (168.28 millimeters), containing between 0.16 and 0.75 percent molybdenum, and containing between 0.75 and 1.45 percent chromium). The scope does not include tool joints not attached to the drill pipe, nor does it include unfinished tubes for casing or tubing covered by any other antidumping or countervailing duty order.</P>
          <P>The subject products are currently classified in the following Harmonized Tariff Schedule of the United States (“HTSUS”) categories: 7304.22.0030, 7304.22.0045, 7304.22.0060, 7304.23.3000, 7304.23.6030, 7304.23.6045, 7304.23.6060, 8431.43.8040 and may also enter under 8431.43.8060, 8431.43.4000, 7304.39.0028, 7304.39.0032, 7304.39.0036, 7304.39.0040, 7304.39.0044, 7304.39.0048, 7304.39.0052, 7304.39.0056, 7304.49.0015, 7304.49.0060, 7304.59.8020, 7304.59.8025, 7304.59.8030, 7304.59.8035, 7304.59.8040, 7304.59.8045, 7304.59.8050, and 7304.59.8055.</P>
          <P>While HTSUS subheadings are provided for convenience and customs purposes, the written description of the scope of the investigation is dispositive.</P>
          <HD SOURCE="HD1">Scope Comments</HD>
          <P>In the<E T="03">Preliminary Determination,</E>the Department indicated that it would solicit additional comments from parties regarding the specifications of drill pipe green tube. Between September 13 and 23, 2010, Petitioners and the DP-Master Group placed additional information on the record of this investigation regarding the characteristics of drill pipe green tube. Additionally, Petitioners and the DP-Master Group commented on the scope of the investigation in their case briefs. Based on analysis of this information and argument, the Department has modified the scope of the investigation to define drill pipe green tubes which were previously described as “green tubes suitable for drill pipe.”<SU>22</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>22</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 2.</P>
          </FTNT>
          <HD SOURCE="HD1">Verification</HD>
          <P>As provided in section 782(i) of the Act, we conducted verification of the information submitted by the DP-Master Group, Baoshan, and Yida for use in our final determination.<SU>23</SU>
            <FTREF/>We used standard verification procedures, including examination of relevant accounting and production records, as well as original source documents provided by the respondents.</P>
          <FTNT>
            <P>
              <SU>23</SU>
              <E T="03">See</E>DP-Master Verification Report, Yida Verification Report, Baoshan Verification Report, and Baoshan CEP Verification Report.</P>
          </FTNT>
          <HD SOURCE="HD1">Use of Facts Available</HD>
          <P>Section 776(a) of the Act provides that if, necessary information is not available on the record, or an interested party: (A) Withholds information that has been requested by the Department; (B) fails to provide such information in a timely manner or in the form or manner requested, subject to subsections 782(c)(1) and (e) of the Act; (C) significantly impedes a determination under the antidumping statute; or (D) provides such information but the information cannot be verified, the Department shall, subject to subsection 782(d) of the Act, use facts otherwise available in reaching the applicable determination.</P>

          <P>Section 782(c)(1) of the Act provides that if an interested party “promptly after receiving a request from {the Department} for information, notifies {the Department} that such party is unable to submit the information in the requested form and manner, together with a full explanation and suggested alternative form in which such party is able to submit the information,” the Department may modify its information request requirements to avoid imposing an unreasonable burden on that party.<PRTPAGE P="1968"/>
          </P>
          <P>Section 782(d) of the Act provides that, if the Department determines that a response to a request for information does not comply with the request, the Department will inform the person submitting the response of the nature of the deficiency and shall, to the extent practicable, provide that person the opportunity to remedy or explain the deficiency. If that person submits further information that continues to be unsatisfactory, or this information is not submitted within the applicable time limits, the Department may, subject to section 782(e), disregard all or part of the original and subsequent responses, as appropriate.</P>
          <P>In reaching a determination under section 735 of the Act, section 782(e) of the Act states that the Department shall not decline to consider information deemed “deficient” under section 782(d) if: (1) The information is submitted by the established deadline; (2) the information can be verified; (3) the information is not so incomplete that it cannot serve as a reliable basis for reaching the applicable determination; (4) the interested party has demonstrated that it acted to the best of its ability; and (5) the information can be used without undue difficulties.</P>
          <P>Furthermore, section 776(b) of the Act states that if the administering authority finds that an interested party has not acted to the best of its ability to comply with a request for information, the administering authority may, in reaching its determination, use an inference that is adverse to that party. The adverse inference may be based upon: (1) The petition, (2) a final determination in the investigation under this title, (3) any previous review under section 751 of the Act or determination under section 753 of the Act, or (4) any other information placed on the record.</P>
          <HD SOURCE="HD2">Baoshan</HD>
          <P>Following the<E T="03">Preliminary Determination,</E>Baoshan provided additional information to the Department concerning which of its FOPs were consumed to produce intermediate products.<SU>24</SU>
            <FTREF/>Based on this additional information, the Department has decided to value the FOPs Baoshan consumed in producing intermediate inputs in this final determination. However, because Baoshan provided an insufficient description of certain inputs to electricity, namely “power coal” and “light oil,” the Department has determined that, pursuant to section 776(a)(B), it is appropriate to use facts available to value these inputs. Thus, for power coal, the Department has averaged publicly-available, contemporaneous, India-wide GTA<SU>25</SU>
            <FTREF/>values for anthracite coal, bituminous coal, and steam coal. We note that, although Baoshan requested that the Department use 2007 Tata Energy Research Institute's Energy Data Directory &amp; Yearbook (“TERI Data”) to value this input, Baoshan provided neither the source data or the useful heat value of power coal necessary to use TERI Data in valuing this input. Additionally, for light oil, the Department has valued this input using the publicly-available, contemporaneous, and India-wide GTA value for “heavy oil” because it is also used in the electricity production process and no information concerning the value of “light oil” was placed on the record of this investigation.<SU>26</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>24</SU>
              <E T="03">See</E>Letter from Baoshan, to Secretary of Commerce, Regarding Drill Pipe from the People's Republic of China/Supplemental Sections C and D Questionnaire Responses, dated September 14, 2010.</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>25</SU>Global Trade Atlas (“GTA”).</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>26</SU>
              <E T="03">See</E>I&amp;D Memo at Comment 12.</P>
          </FTNT>
          <HD SOURCE="HD2">The DP-Master Group</HD>
          <P>As noted above, based on findings at verification, the Department is applying partial AFA to the FOPs reported by the D-Master Group's phosphate treatment toller. Specifically, the DP-Master Group's unaffiliated phosphate treatment toller's consumption of FOPs could not be verified by the Department and, pursuant to section 776(a)(2)(B) and (D) of the Act, we have determined that the application of facts available is appropriate. Further, we find that the application of partial AFA is also appropriate because the DP-Master Group failed to act to the best of its ability in responding to the Department's requests for information and significantly impeded the Department's proceeding.<SU>27</SU>
            <FTREF/>Accordingly, we have used the maximum monthly reported consumption for each material input in calculating the total consumption of inputs by the DP-Master Group's phosphate treatment toller.<SU>28</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>27</SU>
              <E T="03">See</E>Sections 776(a)(2)(C) and (D) and 776(b) of the Act;<E T="03">see also Certain Circular Welded Carbon Quality Steel Line Pipe from the People's Republic of China: Final Determination of Sales at Less Than Fair Value,</E>74 FR 14514, 14516 (March 31, 2009).</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>28</SU>
              <E T="03">See</E>I&amp;D Memo at the “Changes from Verification” section, part A.</P>
          </FTNT>
          <HD SOURCE="HD1">Surrogate Country</HD>
          <P>In the<E T="03">Preliminary Determination,</E>we stated that we selected India as an appropriate surrogate country to use in this investigation because: (1) Pursuant to section 773(c)(4) of the Act, we determined that it is a significant producer of comparable merchandise and it is at a similar level of economic development to the PRC; and (2) we have reliable data from India on the record of this investigation that we can use to value the FOPs.<SU>29</SU>
            <FTREF/>For the final determination, we received no comments and made no changes to our findings with respect to the selection of a surrogate country.</P>
          <FTNT>
            <P>
              <SU>29</SU>
              <E T="03">See Preliminary Determination,</E>75 FR at 51006.</P>
          </FTNT>
          <HD SOURCE="HD1">Critical Circumstances</HD>
          <P>In the<E T="03">Preliminary Determination,</E>the Department determined that, in accordance with section 733(e)(1) of the Act, critical circumstances existed with respect to the DP-Master Group, the separate rate respondents,<SU>30</SU>
            <FTREF/>and the PRC-wide entity.<SU>31</SU>
            <FTREF/>
          </P>
          <FTNT>
            <P>
              <SU>30</SU>As noted in the “Separate Rates” section below, these include Shanxi Fenglei Drilling Tools Co., Ltd.; Jiangsu Shuguang Huayang Drilling Tool, Co. Ltd.; and Jiangyin Long-Bright Drill Pipe Manufacturing Co., Ltd.</P>
          </FTNT>
          <FTNT>
            <P>
              <SU>31</SU>
              <E T="03">See Preliminary Determination,</E>75 FR at 51011.</P>
          </FTNT>
          <P>For the final determination, we collected additional shipment data from each of the three respondents being individually investigated. We collected four months of additional shipment data (two months for the base period and two months for the comparison period). Based on this additional data we continue to find that critical circumstances do not exist for Yida and Baoshan.</P>

          <P>With respect to the DP-Master Group, we find that the additional data no longer supports a finding of critical circumstances. Specifically, we no longer find that there has been an increase in imports greater than 15 percent when comparing the base period to the comparison period.<E T="03">See</E>Memorandum to The File, from Matthew Renkey, Senior Analyst, through Paul Walker, Acting Program Manager, regarding “Investigation of Drill Pipe from the People's Republic of China: Final Determination Critical Circumstances Analysis,” dated concurrently with this notice (“Final Critical Circumstances Memo”).</P>
          <P>Consistent with our<E T="03">Preliminary Determination,</E>the Department relied upon import data from the three individually investigated companies in determining whether there have been massive imports for the separate rate respondents.<E T="03">See Preliminary Determination,</E>75 FR at 51013. Based on the analysis of the additional data submitted for each of the three individually investigated companies, we no longer find that critical circumstances exist for the separate rate respondents.<E T="03">See</E>Final Critical Circumstances Memo, Attachment 1. Specifically, we no longer find that<PRTPAGE P="1969"/>there has been an increase in imports greater than 15 percent when comparing the base period to the comparison period, which is based on a weighted-average of data for the three individually investigated companies.</P>
          <P>Finally, consistent with our<E T="03">Preliminary Determination,</E>and as described below, the PRC-wide entity continues to receive AFA.<E T="03">See Preliminary Determination,</E>75 FR at 51013. Thus, as AFA, we find that the critical circumstances exist for the PRC-wide entity.</P>
          <HD SOURCE="HD1">Separate Rates</HD>
          <P>In proceedings involving non-market-economy (“NME”) countries, the Department begins with a rebuttable presumption that all companies within the country are subject to government control and, thus, should be assigned a single antidumping duty deposit rate. It is the Department's policy to assign all exporters of merchandise subject to an investigation in an NME country this single rate unless an exporter can demonstrate that it is sufficiently independent so as to be entitled to a separate rate.<SU>32</SU>
            <FTREF/>In the<E T="03">Preliminary Determination,</E>we found that Shanxi Fenglei Drilling Tools Co., Ltd.; Jiangsu Shuguang Huayang Drilling Tool, Co. Ltd.; and Jiangyin Long-Bright Drill Pipe Manufacturing Co., Ltd.,
