[Federal Register Volume 79, Number 181 (Thursday, September 18, 2014)]
[Notices]
[Pages 56107-56117]
[FR Doc No: 2014-22265]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2014-0021]

Qualification of Drivers; Exemption Applications; Diabetes
Mellitus

AGENCY: Federal Motor Carrier Safety Administration (FMCSA).

ACTION: Notice of applications for exemptions request for comments.

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SUMMARY: FMCSA announces receipt of applications from 78 individuals
for exemption from the prohibition against persons with insulin-treated
diabetes mellitus (ITDM) operating commercial motor vehicles (CMVs) in
interstate commerce. If granted, the exemptions would enable these
individuals with ITDM to operate CMVs in interstate commerce.

DATES: Comments must be received on or before October 20, 2014.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2014-0021 using any of the
following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the on-line instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket numbers for this notice. Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading below
for further information.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The Federal Docket Management System (FDMS) is
available 24 hours each day, 365 days each year. If you want
acknowledgment that we received your comments, please include a self-
addressed, stamped envelope or postcard or print the acknowledgement
page that appears after submitting comments on-line.
    Privacy Act: Anyone may search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or of the person signing the comment, if
submitted on behalf of an association, business, labor union, etc.).
You may review DOT's Privacy Act Statement for the Federal Docket
Management System (FDMS) published in the Federal Register on January
17, 2008 (73 FR 3316).

FOR FURTHER INFORMATION CONTACT: Elaine M. Papp, R.N., Chief, Medical
Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE., Room W64-224,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.,
Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

I. Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
from the Federal Motor Carrier Safety Regulations for a 2-year period
if it finds ``such exemption would likely achieve a level of safety
that is equivalent to or greater than the level that would be achieved
absent such exemption.'' The statute also allows the Agency to renew
exemptions at the end of the 2-year period. The 78 individuals listed
in this notice have recently requested such an exemption from the
diabetes prohibition in 49 CFR 391.41(b)(3), which applies to drivers
of CMVs in interstate commerce. Accordingly, the Agency will evaluate
the qualifications of each applicant to determine whether granting the
exemption will achieve the required level of safety mandated by
statute.

II. Qualifications of Applicants

Daniel S. Adams

    Mr. Adams, 34, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Adams understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Adams meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Maine.

Michael L. Agnitsch

    Mr. Agnitsch, 66, has had ITDM since 2004. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Agnitsch understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Agnitsch meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Nebraska.

Shaun M. Aguayo

    Mr. Aguayo, 47, has had ITDM since 2005. His endocrinologist
examined him in 2014 and certified that he has had no

severe hypoglycemic reactions resulting in loss of consciousness,
requiring the assistance of another person, or resulting in impaired
cognitive function that occurred without warning in the past 12 months
and no recurrent (2 or more) severe hypoglycemic episodes in the last 5
years. His endocrinologist certifies that Mr. Aguayo understands
diabetes management and monitoring, has stable control of his diabetes
using insulin, and is able to drive a CMV safely. Mr. Aguayo meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Texas.

Earl W. Avery

    Mr. Avery, 70, has had ITDM since 1980. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Avery understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Avery meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Tennessee.

Douglas W. Baker, Sr.

    Mr. Baker, 55, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Baker understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Baker meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Virginia.

Michael A. Baker

    Mr. Baker, 50, has had ITDM since 2005. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Baker understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Baker meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Connecticut.

Douglas E. Barron

    Mr. Barron, 47, has had ITDM since 1980. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Barron understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Barron meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from South
Carolina.

Pablo H. Bilbao La Vieja Pozo

    Mr. Bilbao La Vieja Pozo, 62, has had ITDM since 2011. His
endocrinologist examined him in 2014 and certified that he has had no
severe hypoglycemic reactions resulting in loss of consciousness,
requiring the assistance of another person, or resulting in impaired
cognitive function that occurred without warning in the past 12 months
and no recurrent (2 or more) severe hypoglycemic episodes in the last 5
years. His endocrinologist certifies that Mr. Bilbao La Vieja Pozo
understands diabetes management and monitoring, has stable control of
his diabetes using insulin, and is able to drive a CMV safely. Mr.
Bilbao La Vieja Pozo meets the requirements of the vision standard at
49 CFR 391.41(b)(10). His optometrist examined him in 2014 and
certified that he does not have diabetic retinopathy. He holds a Class
B CDL from Rhode Island.

Todd D. Bloomfield

    Mr. Bloomfield, 53, has had ITDM since 2006. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Bloomfield understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Bloomfield meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Washington.

Sylvester G. Clements, Jr.

    Mr. Clements, 78, has had ITDM since 2005. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Clements understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Clements meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class A CDL from
Wisconsin.

Fred W. Click

    Mr. Click, 60, has had ITDM since 1986. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Click understands diabetes
management and monitoring,

has stable control of his diabetes using insulin, and is able to drive
a CMV safely. Mr. Click meets the requirements of the vision standard
at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2014 and
certified that he has stable nonproliferative diabetic retinopathy. He
holds a Class A CDL from Indiana.

Kenneth M. Coco

    Mr. Coco, 47, has had ITDM since 1975. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Coco understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Coco meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined
him in 2014 and certified that he has stable nonproliferative diabetic
retinopathy. He holds an operator's license from Texas.

Christopher R. Cook

    Mr. Cook, 52, has had ITDM since 2013. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Cook understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Cook meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2014 and certified that he does not have diabetic retinopathy. He
holds a Class A CDL from New York.

Wygila M. Corliss

    Ms. Corliss, 43, has had ITDM since 2011. Her endocrinologist
examined her in 2014 and certified that she has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
Her endocrinologist certifies that Ms. Corliss understands diabetes
management and monitoring, has stable control of her diabetes using
insulin, and is able to drive a CMV safely. Ms. Corliss meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). Her
optometrist examined her in 2014 and certified that she does not have
diabetic retinopathy. She holds a Class B CDL from New Mexico.

Timothy J. Cornish

    Mr. Cornish, 34, has had ITDM since 1997. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Cornish understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Cornish meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Ohio.

Joshua D. Cresswell

    Mr. Cresswell, 37, has had ITDM since 2004. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Cresswell understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Cresswell meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class B CDL from New Hampshire.

Evan R. Dieken

    Mr. Dieken, 29, has had ITDM since 2000. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Dieken understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Dieken meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Minnesota.

Greg B. Duck

    Mr. Duck, 58, has had ITDM since 2013. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Duck understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Duck meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2014 and certified that he does not have diabetic retinopathy. He
holds a Class A CDL from Texas.

Arthur J. Dunn

    Mr. Dunn, 62, has had ITDM since 2013. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Dunn understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Dunn meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined
him in 2014 and certified that he does not have diabetic retinopathy.
He holds a Class A CDL from Pennsylvania.

Richard A. Durr

    Mr. Durr, 44, has had ITDM since 1990. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or

resulting in impaired cognitive function that occurred without warning
in the past 12 months and no recurrent (2 or more) severe hypoglycemic
episodes in the last 5 years. His endocrinologist certifies that Mr.
Durr understands diabetes management and monitoring, has stable control
of his diabetes using insulin, and is able to drive a CMV safely. Mr.
Durr meets the requirements of the vision standard at 49 CFR
391.41(b)(10). His ophthalmologist examined him in 2014 and certified
that he does not have diabetic retinopathy. He holds an operator's
license from Illinois.

Daniel R. Eloff

    Mr. Eloff, 59, has had ITDM since 1974. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Eloff understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Eloff meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds an operator's license
from Ohio.

Thomas O. Everett

    Mr. Everett, 61, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Everett understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Everett meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Washington.

Victor J. Flowers

    Mr. Flowers, 55, has had ITDM since 2013. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Flowers understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Flowers meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class B CDL from California.

Brian K. Forrest

    Mr. Forrest, 50, has had ITDM since 2008. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Forrest understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Forrest meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class A CDL from
Pennsylvania.

David S. Fortune

    Mr. Fortune, 54, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Fortune understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Fortune meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Virginia.

Michael S. Frederick

    Mr. Frederick, 43, has had ITDM since 2007. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Frederick understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Frederick meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from New Jersey.

Peter E. Ganss

    Mr. Ganss, 37, has had ITDM since 1999. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Ganss understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Ganss meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds an operator's license from Kansas.

David E. Gates

    Mr. Gates, 53, has had ITDM since 2010. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Gates understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Gates meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that

he has stable nonproliferative diabetic retinopathy in his right eye
and has stable proliferative diabetic retinopathy in his left eye. He
holds a Class A CDL from Massachusetts.

Timothy L. Grant

    Mr. Grant, 44, has had ITDM since 1987. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Grant understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Grant meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from North
Carolina.

James T. Heck

    Mr. Heck, 21, has had ITDM since 2009. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Heck understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Heck meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2014 and certified that he does not have diabetic retinopathy. He
holds an operator's license from Minnesota.

Rodney J. Hendricks

    Mr. Hendricks, 49, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Hendricks understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Hendricks meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Idaho.

Marcus T. Herring

    Mr. Herring, 52, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Herring understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Herring meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from California.

Charles R. Hoit

    Mr. Hoit, 59, has had ITDM since2014. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Hoit understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Hoit meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2014 and certified that he does not have diabetic retinopathy. He
holds a Class A CDL from Missouri.

Jason L. Hubbard

    Mr. Hubbard, 34, has had ITDM since 1988. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Hubbard understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Hubbard meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Maryland.

Andy L. Hughes

    Mr. Hughes, 44, has had ITDM since 1972. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Hughes understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Hughes meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
proliferative diabetic retinopathy. He holds a Class A CDL from
Illinois.

Jammie L. Hughes

    Mr. Hughes, 53, has had ITDM since 2004. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Hughes understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Hughes meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Ohio.

Charles J. Hurley

    Mr. Hurley, 47, has had ITDM since 1981. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist

certifies that Mr. Hurley understands diabetes management and
monitoring, has stable control of his diabetes using insulin, and is
able to drive a CMV safely. Mr. Hurley meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined
him in 2014 and certified that he has stable proliferative diabetic
retinopathy. He holds an operator's license from Minnesota.

Rodney L. Johnson

    Mr. Johnson, 54, has had ITDM since 2008. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Johnson understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Johnson meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Oregon.

Frederick B. Jones

    Mr. Jones, 50, has had ITDM since 2011. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Jones understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Jones meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Texas.

Tito D. Jones

    Mr. Jones, 41, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Jones understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Jones meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Georgia.

Scott M. Klain

    Mr. Klain, 51, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Klain understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Klain meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Oregon.

Jeffrey P. Kloeckl

    Mr. Kloeckl, 53, has had ITDM since 2013. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Kloeckl understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Kloeckl meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from South Dakota.

John J. Kress

    Mr. Kress, 53, has had ITDM since 2011. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Kress understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Kress meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds an operator's license from Arizona.

Russell A. Krogstad

    Mr. Krogstad, 59, has had ITDM since 1997. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Krogstad understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Krogstad meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Minnesota.

John B. Lebherz

    Mr. Lebherz, 62, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Lebherz understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Lebherz meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Texas.

Alan S. Lewis

    Mr. Lewis, 64, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the

assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Lewis understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Lewis meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from New Mexico.

William M. Linskey

    Mr. Linskey, 66, has had ITDM since 2011. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Linskey understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Linskey meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Massachusetts.

Jason D. Lowder

    Mr. Lowder, 42, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Lowder understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Lowder meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Ohio.

Arnold V. Magaoay

    Mr. Magaoay, 42, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Magaoay understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Magaoay meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Hawaii.

Norman C. Mallett

    Mr. Mallett, 23, has had ITDM since 1997. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Mallett understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Mallett meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Arkansas.

Patrick Marcantuono

    Mr. Marcantuono, 65, has had ITDM since 2005. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Marcantuono understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Marcantuono meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds an operator's license
from New Jersey.

Daniel E. McDonald

    Mr. McDonald, 57, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. McDonald understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. McDonald meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Minnesota.

William F. McQueen, Jr.

    Mr. McQueen, 47, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. McQueen understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. McQueen meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Missouri.

Kenneth M. Miller

    Mr. Miller, 31, has had ITDM since 2007. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Miller understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Miller meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist

examined him in 2014 and certified that he does not have diabetic
retinopathy. He holds an operator's license from Idaho.

William F. Mitchell

    Mr. Mitchell, 61, has had ITDM since 2009. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Mitchell understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Mitchell meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class B CDL from Connecticut.

Donald L. Mitzel

    Mr. Mitzel, 47, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Mitzel understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Mitzel meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Pennsylvania.

Gino P. Monterio

    Mr. Monterio, 42, has had ITDM since 2011. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Monterio understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Monterio meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Wisconsin.

Matthew K. Morrison

    Mr. Morrison, 23, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Morrison understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Morrison meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds an operator's license from Utah.

Gary R. Nelson

    Mr. Nelson, 68, has had ITDM since 2009. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Nelson understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Nelson meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Minnesota.

Edward L. Norfleet

    Mr. Norfleet, 58, has had ITDM since 1992. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Norfleet understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Norfleet meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class A CDL from
Alabama.

Kyle R. Perry

    Mr. Perry, 23, has had ITDM since 2013. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Perry understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Perry meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Pennsylvania.

Michael L. Plinski

    Mr. Plinski, 64, has had ITDM since 1966. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Plinski understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Plinski meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Washington.

Scott A. Porter

    Mr. Porter, 48, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in

the last 5 years. His endocrinologist certifies that Mr. Porter
understands diabetes management and monitoring, has stable control of
his diabetes using insulin, and is able to drive a CMV safely. Mr.
Porter meets the requirements of the vision standard at 49 CFR
391.41(b)(10). His optometrist examined him in 2014 and certified that
he does not have diabetic retinopathy. He holds a Class A CDL from
Washington.

James A. Rambo

    Mr. Rambo, 41, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Rambo understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Rambo meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Virginia.

Rondo L. Rininger

    Mr. Rininger, 53, has had ITDM since 2011. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Rininger understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Rininger meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Indiana.

Richard D. Sandison

    Mr. Sandison, 65, has had ITDM since 2010. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Sandison understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Sandison meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from North Dakota.

Calvin R. Smith

    Mr. Smith, 52, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Smith understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Smith meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Illinois.

Wesley J. Summerville

    Mr. Summerville, 62, has had ITDM since 2000. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Summerville understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Summerville meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Pennsylvania.

Jeffrey S. Thomas

    Mr. Thomas, 47, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Thomas understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Thomas meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Pennsylvania.

Stephen M. Thompson

    Mr. Thompson, 61, has had ITDM since 2009. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Thompson understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Thompson meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Georgia.

Randy L. Triplett

    Mr. Triplett, 58, has had ITDM since 1997. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Triplett understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Triplett meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class A CDL from
Ohio.

John E. Trygstad

    Mr. Trygstad, 44, has had ITDM since 2012. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Trygstad understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Trygstad meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from South Dakota.

Jared M. Wabeke

    Mr. Wabeke, 28, has had ITDM since 2013. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Wabeke understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Wabeke meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Michigan.

Steven R. Weir

    Mr. Weir, 56, has had ITDM since 2010. His endocrinologist examined
him in 2014 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Weir understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Weir meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2014 and certified that he does not have diabetic retinopathy. He
holds an operator's license from Massachusetts.

Donald D. Willard

    Mr. Willard, 69, has had ITDM since 1984. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Willard understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Willard meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class A CDL from
Iowa.

Gary W. Wozniak

    Mr. Wozniak, 53, has had ITDM since 2009. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Wozniak understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Wozniak meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2014 and certified that he does not
have diabetic retinopathy. He holds an operator's license from
Nebraska.

Steven L. Yokom

    Mr. Yokom, 61, has had ITDM since 2011. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Yokom understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Yokom meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Idaho.

Daniel R. Zuriff

    Mr. Zuriff, 39, has had ITDM since 2014. His endocrinologist
examined him in 2014 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Zuriff understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Zuriff meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2014 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Minnesota.

III. Request for Comments

    In accordance with 49 U.S.C. 31136(e) and 31315, FMCSA requests
public comment from all interested persons on the exemption petitions
described in this notice. We will consider all comments received before
the close of business on the closing date indicated in the date section
of the notice.
    FMCSA notes that section 4129 of the Safe, Accountable, Flexible
and Efficient Transportation Equity Act: A Legacy for Users requires
the Secretary to revise its diabetes exemption program established on
September 3, 2003 (68 FR 52441) \1\. The revision must provide for
individual assessment of drivers with diabetes mellitus, and be
consistent with the criteria described in section 4018 of the
Transportation Equity Act for the 21st Century (49 U.S.C. 31305).
---------------------------------------------------------------------------

    \1\ Section 4129(a) refers to the 2003 notice as a ``final
rule.'' However, the 2003 notice did not issue a ``final rule'' but
did establish the procedures and standards for issuing exemptions
for drivers with ITDM.
---------------------------------------------------------------------------

    Section 4129 requires: (1) Elimination of the requirement for 3
years of experience operating CMVs while being treated with insulin;
and (2) establishment of a specified minimum period of insulin use to
demonstrate stable control of diabetes before being allowed to operate
a CMV.
    In response to section 4129, FMCSA made immediate revisions to the
diabetes exemption program established by the September 3, 2003 notice.
FMCSA discontinued use of the 3-year driving experience and fulfilled
the

requirements of section 4129 while continuing to ensure that operation
of CMVs by drivers with ITDM will achieve the requisite level of safety
required of all exemptions granted under 49 U.S.C. 31136(e).
    Section 4129(d) also directed FMCSA to ensure that drivers of CMVs
with ITDM are not held to a higher standard than other drivers, with
the exception of limited operating, monitoring and medical requirements
that are deemed medically necessary.
    The FMCSA concluded that all of the operating, monitoring and
medical requirements set out in the September 3, 2003 notice, except as
modified, were in compliance with section 4129(d). Therefore, all of
the requirements set out in the September 3, 2003 notice, except as
modified by the notice in the Federal Register on November 8, 2005 (70
FR 67777), remain in effect.

IV. Submitting Comments

    You may submit your comments and material online or by fax, mail,
or hand delivery, but please use only one of these means. FMCSA
recommends that you include your name and a mailing address, an email
address, or a phone number in the body of your document so that FMCSA
can contact you if there are questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov and
in the search box insert the docket number FMCSA-2014-0021 and click
the search button. When the new screen appears, click on the blue
``Comment Now!'' button on the right hand side of the page. On the new
page, enter information required including the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. If you submit your comments by mail or
hand delivery, submit them in an unbound format, no larger than 8\1/2\
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 this proposed rule based on your
comments. FMCSA may issue a final rule at any time after the close of
the comment period.

V. Viewing Comments and Documents

    To view comments, as well as any documents mentioned in this
preamble, To submit your comment online, go to http://www.regulations.gov and in the search box insert the docket number
FMCSA-2014-0021 and click ``Search.'' Next, click ``Open Docket
Folder'' and you will find all documents and comments related to the
proposed rulemaking.

    Issued on: September 12, 2014.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2014-22265 Filed 9-17-14; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register Volume 85, Number 134 (Monday, July 13, 2020)]
[Notices]
[Pages 42039-42042]
[FR Doc No: 2020-14967]

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SECURITIES AND EXCHANGE COMMISSION

[No. 34-89236; File No. SR-CboeEDGA-2020-020]

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice
of Filing and Order Granting Accelerated Approval of a Proposed Rule
Change To Add the Consolidated Audit Trail Industry Member Compliance
Rules to the List of Minor Rule Violations in Rule 8.15

July 7, 2020.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on July 2, 2020, Cboe EDGA Exchange, Inc. (the ``Exchange'' or
``EDGA'') 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 and approving the proposal on an
accelerated basis.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    Cboe EDGA Exchange, Inc. (the ``Exchange'' or ``EDGA'') proposes to
add the Consolidated Audit Trail (``CAT'') industry member compliance
rules (``CAT Compliance Rules'') to the list of minor rule violations
in Rule 8.15. The text of the proposed rule change is provided in
Exhibit 5.
    The text of the proposed rule change is also available on the
Exchange's website (http://markets.cboe.com/us/equities/regulation/rule_filings/edga/), at the Exchange's Office of the Secretary, and at
the Commission's Public Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant aspects of such
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
    In order to implement the National Market System Plan Governing the
Consolidated Audit Trail (the ``CAT NMS Plan'' or ``Plan'') the
Exchange codified the CAT Compliance Rules in Rules 4.5 through
4.16.\3\ The CAT NMS Plan was filed by the Plan Participants to comply
with Rule 613 of Regulation NMS under the Exchange Act,\4\ and each
Plan Participant accordingly has adopted the same compliance rules as
in Exchange's Rules 4.5 through 4.16. The common compliance rules
adopted by each Plan Participant are designed to require industry
members to comply with the provisions of the CAT NMS Plan, which
broadly calls for industry members to record and report timely and
accurate customer, order, and trade information relating to activity in
NMS Securities and OTC Equity Securities.
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release Nos. 79962 (February 3,
2017), 82 FR 10047 (February 9, 2017) (SR-BatsEDGA-2017-03); and
80256 (March 15, 2017), 82 FR 14526 (March 21, 2017) (Order
Approving Proposed Rule Changes To Adopt Consolidated Audit Trail
Compliance Rules).
    \4\ 17 CFR 242.613.
---------------------------------------------------------------------------

    Rule 8.15 provides for disposition of certain violations through
assessment of fines in lieu of conducting a formal disciplinary
proceeding. Rule 8.15.01, specifically, sets forth the list of specific
EDGA Rules under which a any Member, associated person of a Member, or
registered or non-registered employee of a Member may be subject to a
fine for violations of such Rules. The Exchange proposes to amend Rule
8.15.01 to add the CAT Compliance Rules in Rules 4.5 through 4.16 to
the list of rules in Rule 8.15.01 eligible for disposition pursuant to
a minor fine; specifically, under proposed Rule 8.15.01(h).\5\ Proposed
Rule 8.15.01(h) provides that for failures to comply with the
Consolidated Audit Trail Compliance Rule requirements of Rules 4.5
through 4.16, the Exchange may impose a minor rule violation fine of up
to $2,500. The Exchange may seek other disciplinary action for more
serious violations.
---------------------------------------------------------------------------

    \5\ FINRA's maximum fine for minor rule violations under FINRA
Rule 9216(b) is $2,500. The Exchange will apply an identical maximum
fine amount for eligible violations of Rules 4.5 through 4.16 to
achieve consistency with FINRA and also amend its minor rule
violation plan (``MRVP'') to include such fines. Like FINRA, the
Exchange would be able to pursue a fine greater than $2,500 for
violations of Rules 4.5 through 4.16 in a regular disciplinary
proceeding or a letter of consent under Chapter 8 as appropriate.
Any fine imposed in excess of $2,500 or not otherwise covered by
Rule 19d-1(c)(2) of the Act would be subject to prompt notice to the
Commission pursuant to Rule 19d-1 under the Act. As noted below, in
assessing the appropriateness of a minor rule fine with respect to
CAT Compliance Rules, the Exchange will be guided by the same
factors that FINRA utilizes. See text accompanying notes 7-8 [sic],
infra.
---------------------------------------------------------------------------

    The Exchange is coordinating with the Financial Industry Regulatory
Authority, Inc. (``FINRA'') and other Plan Participants to promote
harmonized and consistent enforcement of all the Plan Participants' CAT
Compliance Rules. The Commission recently approved a Rule 17d-2 Plan
under which the regulation of CAT Compliance Rules will be allocated
among Plan Participants to reduce regulatory duplication for industry
members that are members of more than one Participant (``common
members'').\6\ Under the Rule 17d-2 Plan, the regulation of CAT
Compliance Rules with respect to common members that are members of
FINRA is allocated to FINRA. Similarly, under the Rule 17d-2 Plan,
responsibility for common members of multiple other Plan Participants
and not a member of FINRA will be allocated among those other Plan
Participants, including to the Exchange. For those non-common members
who are allocated to EDGA pursuant to the Rule 17d-2 Plan, the Exchange
and FINRA have entered into a Regulatory Services Agreement (``RSA'')
pursuant to which FINRA will assist the Exchange with conducting
surveillance, investigation, examination, and enforcement activity in
connection with the CAT Compliance Rules on the Exchange's behalf. The
Exchange expects that the other exchanges will be entering into similar
RSAs.
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 88366 (March 12,
2020), 85 FR 15238 (March 17, 2020).
---------------------------------------------------------------------------

    The Exchange notes that this proposal is based upon the FINRA
filing to amend FINRA Rule 9217 in order to add FINRA's corresponding
CAT Compliance Rules to FINRA's list of rules that are eligible for
minor rule violation plan treatment.\7\ The Exchange also notes that
the New York Stock Exchange LLC (``NYSE'') submitted a filing to amend
its Minor Rule Violation Plan (``MRVP'') to add its CAT Compliance
Rules in a manner consistent with FINRA's proposal,\8\ and other Plan
Participants intend to submit the same. Thus, in order to achieve
consistency with FINRA and the other Plan Participants, the Exchange
proposes to adopt fines up to $2,500 in connection with minor rule
fines for violations of the CAT Compliance Rules (Rules 4.5 through
4.16) in proposed Rule 8.15.01(h) under the Exchange's MRVP. In
connection with FINRA's proposed amendment to FINRA Rule 9217 to make
FINRA's CAT Compliance Rules MRVP eligible, FINRA has stated that it
will apply the minor fines for CAT Compliance Rules in the same manner
that FINRA has for its similar existing audit trail-related rules.\9\
Accordingly, in order to promote regulatory consistency, the Exchange
plans to do the same. Specifically, application of a minor fine with
respect to CAT Compliance Rule violations will be guided by the same
factors that FINRA references in its filing. However, more formal
disciplinary proceedings may be warranted instead of minor rule
dispositions in certain circumstances such as where violations prevent
regulatory users of the CAT from performing their regulatory functions.
Where minor rule dispositions are appropriate, the following factors
help guide the determination of fine amounts:
---------------------------------------------------------------------------

    \7\ See Securities Exchange Act Release No. 88870 (May 14,
2020), 85 FR 30768 (May 20, 2020) (SR-FINRA-2020-013).
    \8\ See SR-NYSE-2020-51 (filed June 12, 2020).
    \9\ See supra note 7; see also FINRA Notice to Members 04-19
(March 2004) available at https://www.finra.org/rules-guidance/notices/04-19 (providing specific factors used to inform
dispositions for violations of OATS reporting rules).
---------------------------------------------------------------------------

     Total number of reports that are not submitted or
submitted late;
     The timeframe over which the violations occur;
     Whether violations are batched;
     Whether the violations are the result of the actions of
one individual or the result of faulty systems or procedures;
     Whether the firm has taken remedial measures to correct
the violations;
     Prior minor rule violations within the past 24 months;
     Collateral effects that the failure has on customers; and
     Collateral effects that the failure has on the Exchange's
ability to perform its regulatory function.\10\
---------------------------------------------------------------------------

    \10\ See id.
---------------------------------------------------------------------------

    Upon effectiveness of this rule change, the Exchange will publish a
regulatory bulletin notifying its Members of the rule change and the
specific factors that will be considered in connection with assessing
minor rule fines described above.
    For the foregoing reasons, the Exchange believes that the proposed
rule change will result in a coordinated, harmonized approach to CAT
Compliance Rule enforcement across Plan Participants that will be
consistent with the approach FINRA has taken with the CAT rules.

2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\11\ Specifically, the
Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \12\ requirements that the rules of an exchange be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. Additionally,
the Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \13\ requirement that the rules of an exchange not be
designed to permit unfair discrimination between customers, issuers,
brokers, or dealers.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78f(b).
    \12\ 15 U.S.C. 78f(b)(5).
    \13\ Id.
---------------------------------------------------------------------------

    Minor rule fines provide a meaningful sanction for minor or
technical violations of rules when the conduct at issue does not
warrant stronger, immediately reportable disciplinary sanctions. The
inclusion of a rule in the Exchange's MRVP does not minimize the
importance of compliance with the rule, nor does it preclude the
Exchange from choosing to pursue violations of eligible rules through a
letter of consent if the nature of the violations or prior disciplinary
history warrants more significant sanctions. Rather, the Exchange
believes that the proposed rule change will strengthen the Exchange's
ability to carry out its oversight and enforcement responsibilities in
cases where full disciplinary proceedings are unwarranted in view of
the minor nature of the particular violation. The Exchange believes the
option to impose a minor rule sanction gives the Exchange additional
flexibility to administer its enforcement program in the most effective
and efficient manner while still fully meeting the Exchange's remedial
objectives in addressing violative conduct.\14\ Specifically, the
proposed rule change is designed to prevent fraudulent and manipulative
acts and practices because it will provide the Exchange the ability to
issue a minor rule fine for violations of the CAT Compliance Rules in
Rules 4.5 through 4.16 where a more formal disciplinary action may not
be warranted or appropriate consistent with the approach of other Plan
Participants for the same conduct.
---------------------------------------------------------------------------

    \14\ Pursuant to Rule 8.15(a) and (e), the Exchange has the
discretion to impose a fine in lieu of commencing a disciplinary
proceeding for a violation that is minor in nature. Rule 8.15(e)
states specifically that nothing in Rule 8.15 requires the Exchange
to impose a fine pursuant to Rule 8.15 with respect to the violation
of any Rule included in any such listing.
---------------------------------------------------------------------------

    In connection with the fine level specified in the proposed rule
change, adding proposed Rule 8.15.01(h) to specifically provide that
for violations of the CAT Compliance Rules in Rules 4.5 through 4.16
the Exchange may impose a fine not to exceed $2,500 would further the
goal of transparency within the Exchange's rules. Adopting the same cap
as FINRA for minor rule fines in connection with the CAT Compliance
Rules would also promote regulatory consistency across self-regulatory
organizations.
    The Exchange further believes that the proposed amendment to Rule
8.15.01 is consistent with Section 6(b)(6) of the Act,\15\ which
provides that members and persons associated with members shall be
appropriately disciplined for violation of the provisions of the rules
of the exchange, by expulsion, suspension, limitation of activities,
functions, and operations, fine, censure, being suspended or barred
from being associated with a member, or any other fitting sanction. As
noted, the proposed rule change would provide the Exchange the ability
to sanction minor or technical violations of Rules 4.5 through 4.16
pursuant to the Exchange's rules.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78f(b)(6).
---------------------------------------------------------------------------

    Finally, the Exchange also believes that the proposed change is
designed to provide a fair procedure for the disciplining of members
and persons associated with members, consistent with Sections 6(b)(7)
and 6(d) of the Act.\16\ Rule 8.15 does not preclude a Member,
associated person of a Member, or registered or non-registered employee
of a Member from contesting an alleged violation and receiving a
hearing on the matter with the same procedural rights through a
litigated disciplinary proceeding.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b)(7) and 78f(d).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    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. The proposed rule change is
not intended to address competitive issues but rather is concerned
solely with making the CAT Compliance Rules in Rules 4.5 through 4.16
eligible for a minor rule fine disposition, thereby strengthening the
Exchange's ability to carry out its oversight and enforcement functions
and deter potential violative conduct. Also, as stated above, the
proposed rule change is consistent with similar proposals recently
filed by FINRA and NYSE, and other Plan Participants intend to submit
the same.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    The Exchange neither solicited nor received comments on the
proposed rule change.

III. Solicitation of Comments

    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:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-CboeEDGA-2020-020 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.

All submissions should refer to File Number SR-CboeEDGA-2020-020. This
file number should be included on the subject line if email 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 (http://www.sec.gov/rules/sro.shtml).
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 10:00 a.m. and 3:00 p.m. Copies of
the filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change. Persons submitting comments are cautioned that we do
not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number SR-
CboeEDGA-2020-020 and should be submitted on or before August 3, 2020.

IV. Commission's Findings and Order Granting Accelerated Approval of
Proposed Rule Change

    The Commission finds that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder applicable to a national securities exchange.\17\ In
particular, the Commission finds that the proposed rule change is
consistent with Section 6(b)(5) of the Act,\18\ which requires that the
rules of an exchange be designed to promote just and equitable
principles of trade, to remove impediments and to perfect the mechanism
of a free and open market and a national market system, and, in
general, to protect investors and the public interest. The Commission
also believes that the proposal is consistent with Sections 6(b)(1) and
6(b)(6) of the Act \19\ which require that the rules of an exchange
enforce compliance with, and provide appropriate discipline for,
violations of Commission and Exchange rules. Finally, the Commission
finds that the proposal is consistent with the public interest, the
protection of investors, or otherwise in furtherance of the purposes of
the Act, as required by Rule 19d-1(c)(2) under the Act,\20\ which
governs minor rule violation plans.
---------------------------------------------------------------------------

    \17\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \18\ 15 U.S.C. 78f(b)(5).
    \19\ 15 U.S.C. 78f(b)(1) and 78f(b)(6).
    \20\ 17 CFR 240.19d-1(c)(2).
---------------------------------------------------------------------------

    As stated above, the Exchange proposes to add the CAT Compliance
Rules to the list of minor rule violations in Rule 8.15 to be
consistent with the approach FINRA has taken for minor violations of
its corresponding CAT Compliance Rules.\21\ The Commission has already
approved FINRA's treatment of CAT Compliance Rules violations when it
approved the addition of CAT Compliance Rules to FINRA's MRVP.\22\ As
noted in that order, and similarly herein, the Commission believes that
Exchange's treatment of CAT Compliance Rules violations as part of its
MRVP provides a reasonable means of addressing violations that do not
rise to the level of requiring formal disciplinary proceedings, while
providing greater flexibility in handling certain violations. However,
the Commission expects that, as with FINRA, the Exchange will continue
to conduct surveillance with due diligence and make determinations
based on its findings, on a case-by-case basis, regarding whether a
sanction under the rule is appropriate, or whether a violation requires
formal disciplinary action. Accordingly, the Commission believes the
proposal raises no novel or significant issues.
---------------------------------------------------------------------------

    \21\ As discussed above, the Exchange has entered into a Rule
17d-2 Plan and an RSA with FINRA with respect to the CAT Compliance
Rules. The Commission notes that, unless relieved by the Commission
of its responsibility, as may be the case under the Rule 17d-2 Plan,
the Exchange continues to bear the responsibility for self-
regulatory conduct and liability for self-regulatory failures, not
the self-regulatory organization retained to perform regulatory
functions on the Exchange's behalf pursuant to an RSA. See
Securities Exchange Release No. 61419 (January 26, 2010), 75 FR 5157
(February 1, 2010) (SR-BATS-2009-031), note 93 and accompanying
text.
    \22\ See supra note 7.
---------------------------------------------------------------------------

    For the same reasons discussed above, the Commission finds good
cause, pursuant to Section 19(b)(2) of the Act,\23\ for approving the
proposed rule change prior to the thirtieth day after the date of
publication of the notice of the filing thereof in the Federal
Register. The proposal merely adds the CAT Compliance Rules to the
Exchange's MRVP and harmonizes its application with FINRA's application
of CAT Compliance Rules under its own MRVP. Accordingly, the Commission
believes that a full notice-and-comment period is not necessary before
approving the proposal.
---------------------------------------------------------------------------

    \23\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\24\ and Rule 19d-1(c)(2) thereunder,\25\ that the proposed rule change
(SR-CboeEDGA-2020-020) be, and hereby is, approved on an accelerated
basis.
---------------------------------------------------------------------------

    \24\ 15 U.S.C. 78s(b)(2).
    \25\ 17 CFR 240.19d-1(c)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\26\
---------------------------------------------------------------------------

    \26\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-14967 Filed 7-10-20; 8:45 am]
BILLING CODE 8011-01-P