[Federal Register Volume 88, Number 107 (Monday, June 5, 2023)]
[Rules and Regulations]
[Pages 36479-36481]
[FR Doc No: 2023-11850]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R09-OAR-2023-0059; FRL-10645-02-R9]

Air Plan Limited Approval and Limited Disapproval; California;
Eastern Kern Air Pollution Control District

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: The Environmental Protection Agency (EPA) is finalizing a
limited approval and limited disapproval of a revision to the Eastern
Kern Air Pollution Control District (EKAPCD or ``District'') portion of
the California State Implementation Plan (SIP). This revision concerns
emissions of oxides of nitrogen (NOX) from Portland Cement
Kilns. Under the authority of the Clean Air Act (CAA or the Act), this
action simultaneously approves a local rule that regulates these
emission sources and directs California to correct rule deficiencies.
We are finalizing a limited approval of a local rule that regulates
these emission sources because the rule would strengthen the current
SIP-approved version of EKAPCD's Portland cement kiln rule. We are
finalizing a limited disapproval of this revision due to the presence
of exemptions for periods of startup, shutdown, and malfunction
(breakdown), which are inconsistent with CAA requirements.

DATES: This rule is effective July 5, 2023.

ADDRESSES: The EPA has established a docket for this action under
Docket No. EPA-R09-OAR-2023-0059. All documents in the docket are
listed on the https://www.regulations.gov website. Although listed in
the index, some information is not publicly available, e.g.,
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Certain other material, such as
copyrighted material, is not placed on the internet and will be
publicly available only in hard copy form. Publicly available docket
materials are available through https://www.regulations.gov, or please
contact the person identified in the FOR FURTHER INFORMATION CONTACT
section for additional availability information. If you need assistance
in a language other than English or if you are a person with a
disability who needs a reasonable accommodation at no cost to you,
please contact the person identified in the FOR FURTHER INFORMATION
CONTACT section.

FOR FURTHER INFORMATION CONTACT: Elijah Gordon, EPA Region IX, 75
Hawthorne St., San Francisco, CA 94105. By phone:<PHONE_NUMBER> or by
email at [email protected].

SUPPLEMENTARY INFORMATION: Throughout this document, ``we,'' ``us'' and
``our'' refer to the EPA.

Table of Contents

I. Proposed Action
II. Public Comments and EPA Responses
III. EPA Action
IV. Incorporation by Reference
V. Statutory and Executive Order Reviews

I. Proposed Action

    On February 15, 2023 (88 FR 9816), the EPA proposed a limited
approval and limited disapproval of the following rule that was
submitted for incorporation into the California SIP.

                                             Table 1--Submitted Rule
----------------------------------------------------------------------------------------------------------------
           Local agency                  Rule No.              Rule title             Amended        Submitted
----------------------------------------------------------------------------------------------------------------
EKAPCD...........................  Rule 425.3.........  Portland Cement Kilns         03/08/2018      08/22/2018
                                                         (Oxides of Nitrogen).
----------------------------------------------------------------------------------------------------------------

    As mentioned in our proposed action, submitted Rule 425.3
establishes more stringent emission limits for NOX than the
previously SIP-approved version and strengthens monitoring,
recordkeeping, and reporting requirements. As a result, we proposed a
limited approval because we determined that this rule strengthens the
SIP and is largely consistent with relevant CAA requirements. However,
we simultaneously proposed a limited disapproval because some rule
provisions conflict with section 110 and part D of title I of the Act.
These provisions include the following:
    1. Section (IV)(A) of the rule contains an exemption to an
otherwise applicable emission limitation for periods of startup and
shutdown, stating that ``the requirements of Section V of this Rule
shall not apply [. . .] to startup and shutdown as defined'' in
Sections (III)(J) and (III)(K). An emission limitation or requirement
that exempts a period of source operation, such as startup or shutdown,
cannot be considered continuous and is not consistent with CAA
requirements. Although the rule revision contains individual startup
(48 hours) and shutdown (36 hours) time limits in Sections (III)(J) and
(III)(K), along with SSM recordkeeping requirements in Section
(VI)(B)(4), these provisions are not sufficient to establish an
emission limit that could be considered adequate for CAA purposes.
Elimination of the existing startup and shutdown exemption to address
the concerns raised in the EPA's evaluation is necessary for full
approval of the rule into the SIP.
    2. Section (IV)(B) contains an exemption during breakdown
conditions from the emission limit, emission monitoring, and production
monitoring requirements found in Section (V). Similar to the first
deficiency noted above, an emission limitation or requirement that
exempts a period of source operation cannot be considered adequate for
CAA purposes. Removal of this exemption for breakdown conditions is
necessary for full approval of the rule into the SIP.
    Our proposed action and Technical Support Document contain more
information on the basis for this final rulemaking and on our
evaluation of the submittal.

II. Public Comments and EPA Responses

    The EPA's proposed action provided a 30-day public comment period.
During this period, we received no comments.

III. EPA Action

    No comments were submitted. Therefore, as authorized in sections
110(k)(3) and 301(a) of the Act, the EPA is finalizing a limited
approval of the submitted rule. This final action incorporates the
submitted rule into the California SIP, including those provisions
identified as deficient. As authorized under section 110(k)(3) and
301(a), the EPA is simultaneously finalizing a limited disapproval of
the rule.
    As a result of our limited disapproval, the EPA must promulgate a
federal implementation plan (FIP) under section 110(c) unless we
approve subsequent SIP revisions that correct the rule deficiencies
identified above within 24 months. In addition, the offset sanction in
CAA section 179(b)(2) will be imposed 18 months from the effective date
of this action, and the highway funding sanction in CAA section
179(b)(1) six months after the offset sanction is imposed. A sanction
will not be imposed if the EPA determines that a subsequent SIP
submission corrects the identified deficiencies before the applicable
deadlines.

IV. Incorporation by Reference

    In this rule, the EPA is finalizing regulatory text that includes
incorporation by reference. In accordance with requirements of 1 CFR
51.5, the EPA is finalizing the incorporation by reference of EKAPCD
Rule 425.3, ``Portland Cement Kilns (Oxides of Nitrogen),'' amended on
March 8, 2018, which regulates NOX emissions from the
operation of cement kilns, as described in Sections I and III. The EPA
has made, and will continue to make, these documents available through
www.regulations.gov and at the EPA Region IX Office (please contact the
person identified in the FOR FURTHER INFORMATION CONTACT section of
this preamble for more information).

V. Statutory and Executive Order Reviews

    Additional information about these statutes and Executive orders
can be found at https://www.epa.gov/laws-regulations/laws-and-executive-orders.

A. Executive Order 12866: Regulatory Planning and Review and Executive
Order 13563: Improving Regulation and Regulatory Review

    This action is not a significant regulatory action and was
therefore not submitted to the Office of Management and Budget (OMB)
for review.

B. Paperwork Reduction Act (PRA)

    This action does not impose an information collection burden under
the PRA because this action does not impose additional requirements
beyond those imposed by state law.

C. Regulatory Flexibility Act (RFA)

    I certify that this action will not have a significant economic
impact on a substantial number of small entities under the RFA. This
action will not impose any requirements on small entities beyond those
imposed by state law.

D. Unfunded Mandates Reform Act (UMRA)

    This action does not contain any unfunded mandate as described in
UMRA, 2 U.S.C. 1531-1538, and does not significantly or uniquely affect
small governments. This action does not impose additional requirements
beyond those imposed by state law. Accordingly, no additional costs to
State, local, or tribal governments, or to the private sector, will
result from this action.

E. Executive Order 13132: Federalism

    This action does not have federalism implications. It will not have
substantial direct effects on the states, on the relationship between
the national government and the states, or on the distribution of power
and responsibilities among the various levels of government.

F. Executive Order 13175: Coordination With Indian Tribal Governments

    This action does not have tribal implications, as specified in
Executive Order 13175, because the SIP is not approved to apply on any
Indian reservation land or in any other area where the EPA or an Indian
tribe has demonstrated that a tribe has jurisdiction, and will not
impose

substantial direct costs on tribal governments or preempt tribal law.
Thus, Executive Order 13175 does not apply to this action.

G. Executive Order 13045: Protection of Children From Environmental
Health Risks and Safety Risks

    The EPA interprets Executive Order 13045 as applying only to those
regulatory actions that concern environmental health or safety risks
that the EPA has reason to believe may disproportionately affect
children, per the definition of ``covered regulatory action'' in
section 2-202 of the Executive order. This action is not subject to
Executive Order 13045 because it does not impose additional
requirements beyond those imposed by state law.

H. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use

    This action is not subject to Executive Order 13211, because it is
not a significant regulatory action under Executive Order 12866.

I. National Technology Transfer and Advancement Act (NTTAA)

    Section 12(d) of the NTTAA directs the EPA to use voluntary
consensus standards in its regulatory activities unless to do so would
be inconsistent with applicable law or otherwise impractical. The EPA
believes that this action is not subject to the requirements of section
12(d) of the NTTAA because application of those requirements would be
inconsistent with the CAA.

J. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations

    Executive Order 12898 (Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations, 59 FR 7629,
Feb. 16, 1994) directs Federal agencies to identify and address
``disproportionately high and adverse human health or environmental
effects'' of their actions on minority populations and low-income
populations to the greatest extent practicable and permitted by law.
EPA defines environmental justice (EJ) as ``the fair treatment and
meaningful involvement of all people regardless of race, color,
national origin, or income with respect to the development,
implementation, and enforcement of environmental laws, regulations, and
policies.'' EPA further defines the term fair treatment to mean that
``no group of people should bear a disproportionate burden of
environmental harms and risks, including those resulting from the
negative environmental consequences of industrial, governmental, and
commercial operations or programs and policies.''
    Under the CAA, the Administrator is required to approve a SIP
submission that complies with the provisions of the Act and applicable
federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in
reviewing SIP submissions, the EPA's role is to review state choices,
and approve those choices if they meet the minimum criteria of the Act.
Accordingly, this final action is finalizing a limited approval and
limited disapproval of state law as meeting federal requirements and
does not impose additional requirements beyond those imposed by state
law.
    The State did not evaluate environmental justice considerations as
part of its SIP submittal; the CAA and applicable implementing
regulations neither prohibit nor require such an evaluation. EPA did
not perform an EJ analysis and did not consider EJ in this action.
Consideration of EJ is not required as part of this action, and there
is no information in the record inconsistent with the stated goal of
E.O. 12898 of achieving environmental justice for people of color, low-
income populations, and Indigenous peoples.

K. Congressional Review Act (CRA)

    This action is subject to the CRA, and the EPA will submit a rule
report to each House of the Congress and to the Comptroller General of
the United States. This action is not a ``major rule'' as defined by 5
U.S.C. 804(2).

L. Petitions for Judicial Review

    Under section 307(b)(1) of the CAA, petitions for judicial review
of this action must be filed in the United States Court of Appeals for
the appropriate circuit by August 4, 2023. Filing a petition for
reconsideration by the Administrator of this final rule does not affect
the finality of this rule for the purposes of judicial review nor does
it extend the time within which a petition for judicial review may be
filed, and shall not postpone the effectiveness of such rule or action.
This action may not be challenged later in proceedings to enforce its
requirements (see section 307(b)(2)).

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Incorporation by
reference, Intergovernmental relations, Nitrogen oxides, Ozone,
Reporting and recordkeeping requirements.

    Dated: May 26, 2023.
Martha Guzman Aceves,
Regional Administrator, Region IX.

    For the reasons stated in the preamble, the Environmental
Protection Agency amends Part 52, chapter I, title 40 of the Code of
Federal Regulations as follows:

PART 52--APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS

0
1. The authority citation for part 52 continues to read as follows:

    Authority:  42 U.S.C. 7401 et seq.

Subpart F--California

0
2. Section 52.220 is amended by adding paragraphs (c)(202)(i)(B)(3) and
(c)(520)(i)(B)(2) to read as follows:

Sec.  52.220  Identification of plan--in part.

* * * * *
    (c) * * *
    (202) * * *
    (i) * * *
    (B) * * *
    (3) Previously approved on July 20, 1999, in paragraph
(c)(202)(i)(B)(1) of this section and now deleted with replacement in
(c)(520)(i)(B)(2): Rule 425.3, adopted on October 13, 1994.
* * * * *
    (520) * * *
    (i) * * *
    (B) * * *
    (2) Rule 425.3, ``Portland Cement Kilns (Oxides of Nitrogen),''
amended on March 8, 2018.
* * * * *

[FR Doc. 2023-11850 Filed 6-2-23; 8:45 am]
BILLING CODE 6560-50-P


Ron Evans/RTP/USEPA/US

03/12/2008 12:48 PM

To

"Schwab, Margo"<EMAIL_ADDRESS> cc

darryl weatherhead, "King, Heidi R."<EMAIL_ADDRESS>Janet Cakir/RTP/USEPA/US@EPA, Lydia Wegman<EMAIL_ADDRESS>Tricia Crabtree/RTP/USEPA/US@EPA

Subject

RE: Ron - RIA comments attached

Margo, we will make changes per our conversation.   See changes in red.

Ron Evans/RTP/USEPA/US

03/12/2008 11:41 AM

To

"Schwab, Margo"<EMAIL_ADDRESS> cc

"King, Heidi R."<EMAIL_ADDRESS>Janet Cakir/RTP/USEPA/US@EPA, darryl weatherhead, Lydia Wegman, Tricia Crabtree/RTP/USEPA/US@EPA, <EMAIL_ADDRESS> Subject

RE: Ron - RIA comments attached

We will change the language per your suggestion

"Schwab, Margo"<EMAIL_ADDRESS> 03/12/2008 11:19 AM

To

Ron Evans/RTP/USEPA/US@EPA

cc

"King, Heidi R."<EMAIL_ADDRESS> Subject

RE: Ron - RIA comments attached

Text for bullet on page ES-10 currently reads "For the four areas that

do not attain 0.075 ppm"

How about if we change that to "For the 21 counties (in four geographic

areas)1 that do not attain 0.075 ppm that are not expected to attain 0.075 ppm in 2020 2"

Then just add the cross referencing materials to the Footnote on page

ES-10

We would then add new footnote 2 to say "This list of areas does not include the San Joaquin and South Coast air basins who are not expected to attain the current 0.08 ppm standard until 2024."

-----Original Message-----

From<EMAIL_ADDRESS><EMAIL_ADDRESS> Sent: Tuesday, March 11, 2008 9:59 AM

To: King, Heidi R.

Cc: Schwab, Margo; Johansson, Robert<EMAIL_ADDRESS> <EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS><EMAIL_ADDRESS> Subject: Re: Ron - RIA comments attached

Importance: High

Heidi, here are our repsonses to yesterday's comments.   Just a few to

discuss.   When are you avaialble to meet to walk thru these and other

hanging items from your list last nite?

(See attached file: NAAQS Ozone RIA comments_20080310_v2response.doc)

Ron Evans

Leader, Air Benefit & Cost Group

HEID/OAQPS/OAR/EPA

Mail Drop C-439-02

919-541-5488

919-541-0839 fax

We do one thing: overwhelm people's impossible expectations.

             "King, Heidi R."

             <Heidi_R._King@o

             mb.eop.gov>                                             To

                                      Ron Evans/RTP/USEPA/US@EPA

             03/10/2008 05:18                                        cc

             PM                       "Johansson, Robert"

<EMAIL_ADDRESS>                                       , "Schwab, Margo"

<EMAIL_ADDRESS>

                                                                Subject

                                      Ron - RIA comments attached

 [attachment "NAAQS Ozone RIA comments_20080310_v2.doc" deleted by Ron

Evans/RTP/USEPA/US] [attachment "RIA P 7-18_20080310.doc" deleted by Ron

Evans/RTP/USEPA/US]


[Federal Register Volume 87, Number 136 (Monday, July 18, 2022)]
[Notices]
[Pages 42716-42717]
[FR Doc No: 2022-15259]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 1394-081]

Southern California Edison Company; Notice of Application
Tendered for Filing With the Commission and Establishing Procedural
Schedule for Relicensing and Deadline for Submission of Final
Amendments

    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection.
    a. Type of Application: New Major License.
    b. Project No.: 1394-081.
    c. Date Filed: June 29, 2022.
    d. Applicant: Southern California Edison Company.
    e. Name of Project: Bishop Creek Hydroelectric Project (project).
    f. Location: The existing project is on Bishop Creek in Inyo
County, California. The project occupies approximately 758 acres of
federal land administered by the U.S. Forest Service and approximately
51 acres of federal land administered by the U.S. Bureau of Land
Management.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r).
    h. Applicant Contact: Matthew Woodhall, Project Lead, Regulatory
Support Services, Southern California Edison Company, 1515 Walnut Grove
Ave., Rosemead, CA 91770,<PHONE_NUMBER>, or [email protected].
    i. FERC Contact: Kelly Wolcott,<PHONE_NUMBER> or
[email protected].
    j. This application is not ready for environmental analysis at this
time.
    k. Project Description: The existing Bishop Creek Hydroelectric
Project generally consists of 5 powerhouses (Powerhouses 2 through 6)
on the Middle Fork of Bishop Creek; 3 primary storage reservoirs (South
Lake Reservoir, Lake Sabrina, and Longley Lake); 13 dams or diversions
and flowlines that collect water from Green Creek (a tributary to
Bishop Creek), Birch Creek, and McGee Creek; and appurtenant
facilities. The project has an authorized capacity of approximately 29
megawatts. The estimated average annual generation of the project is
129,550 megawatt-hours.
    The project is operated as a storage-release facility and does not
propose any changes to operation. Project operations are dictated by
the current license, as well as a 1922 water rights ruling (Chandler
Decree) and a 1933 Sales Agreement with the Los Angeles Department of
Water and Power. The

Bishop Creek Project begins diverting or impounding water at five
points: Green Creek at Bluff Lake, South Fork Bishop Creek at South
Lake, Middle Fork Bishop Creek at Lake Sabrina, McGee Creek at Longley
Lake, and Birch Creek at Birch-McGee diversion. Plant No. 2 receives
water originating from Longley Lake dam and the upper portions of the
Birch Creek watershed. Longley Lake dam discharges water to McGee
Creek, where it flows approximately 1 mile before being intercepted by
the McGee Creek diversion. Water is then diverted into a series of
pipelines and open channels and delivered to Birch Creek.
    After entering Birch Creek, the water flows approximately 0.5 mile
before being diverted again by the Birch-McGee diversion, where enters
a pipe and descends over 1,100 feet in elevation before intercepting
the penstock to Plant No. 2. A portion of the water flows down Bishop
Creek while another portion is conveyed through a series of pipes and
penstocks connecting Plants No. 2, through No. 6. Each powerhouse and
intake controls the portion of water entering Bishop Creek and the
portion directed into the pipe and penstock conveyances. After Plant
No. 6, Bishop Creek flows to the community of Bishop and the Owens
Valley. When Plant No. 6 is offline, there is an alternative take-off
below Plant No. 5. The regulated reaches between Lake Sabrina and
Intake No. 2 and those between South Lake and South Fork diversion
experience similar flow fluctuations. The current license requires
minimum flow releases into diverted reaches.
    SCE proposes to modify resource plans and measures it has
implemented under the current license, including: (1) water management;
(2) the Stocking Plan; (3) the Wildlife Resource Management Plans; (4)
the Botanical Resource Management Plan; and (5) the Historic Properties
Management Plan. In addition, SCE proposes to develop and implement the
following new plans: (1) a sediment management plan; (2) an invasive
species management plan; and (3) a recreation resources management
plan.
    l. In addition to publishing the full text of this notice in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this notice, as well
as other documents in the proceeding (e.g., license application) via
the internet through the Commission's homepage (http://www.ferc.gov)
using the ``eLibrary'' link. Enter the docket number excluding the last
three digits in the docket number field to access the document (P-
1394). For assistance, contact [email protected], or call
toll-free,<PHONE_NUMBER> or<PHONE_NUMBER> (TTY).
    m. You may also register online at https://ferconline.ferc.gov/FERCOnline.aspx to be notified via email of new filings and issuances
related to this or other pending projects. For assistance, contact FERC
Online Support.
    n. Procedural Schedule: The application will be processed according
to the following preliminary Hydro Licensing Schedule. Revisions to the
schedule may be made as appropriate.

------------------------------------------------------------------------
                 Milestone                           Target date
------------------------------------------------------------------------
Issue Deficiency Letter (if necessary)....  July 2022.
Request Additional Information (if          August 2022.
 necessary).
Notice of Acceptance/Notice of Ready for    September 2022.
 Environmental Analysis.
Filing of recommendations, preliminary      November 2022.
 terms and conditions, and fishway
 prescriptions.
------------------------------------------------------------------------

    o. Final amendments to the application must be filed with the
Commission no later than 30 days from the issuance date of the notice
of ready for environmental analysis.

    Dated: July 12, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-15259 Filed 7-15-22; 8:45 am]
BILLING CODE 6717-01-P


broker or dealer.\447\ This figure includes an estimate of hours
related to reviewing existing policies and procedures, making necessary
updates, conducting ongoing training, maintaining relevant systems and
internal controls, performing necessary testing and monitoring of
stock-leg transactions as they relate to the broker's or dealer's
activities and maintaining copies of the policies and procedures for
the period of time required by the amended rule.
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    \446\ This figure is based on the following: (Compliance Manager
at 5 hours) + (Compliance Attorney at 2.5 hours) + (Director of
Compliance at 0.5 hour) = 8 burden hours per broker or dealer.
    \447\ This figure is based on the following: (Compliance Manager
at 30 hours) + (Compliance Attorney at 12 hours) + (Director of
Compliance at 6 hours) = 48 burden hours per broker or dealer.
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    The Commission estimates that the initial, first year burden
associated with amended Rule 15b9-1 will be 56 hours per broker or
dealer, which corresponds to an initial aggregate burden of 952
hours.\448\ The Commission estimates that the ongoing annualized burden
associated with Rule 15b9-1 will be 48 hours per broker or dealer,
which corresponds to an ongoing annualized aggregate burden of 816
hours.\449\
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    \448\ This figure is based on the following: ((8 burden hours
per broker or dealer) + (48 burden hours per broker or dealer)) x
(17 brokers and dealers) = 952 burden hours during the first year.
In estimating these burden hours, the Commission also examined the
estimated initial and ongoing burden hours imposed on registered
security-based swap dealers under Regulation SBSR--Reporting and
Dissemination of Security-Based Swap Information. See Securities
Exchange Act Release No. 74244 (Feb. 11, 2015) 80 FR 14564, 14683
(Mar. 19, 2015) (``Regulation SBSR''). Regulation SBSR requires
registered security-based swap dealers to establish, maintain, and
enforce written policies and procedures that are reasonably designed
to ensure compliance with any security-based swap transaction
reporting obligations. Id. The estimated initial and ongoing
compliance burden on registered security-based swap dealers under
Regulation SBSR were 216 burden hours and 120 burden hours,
respectively. Id. The policies and procedures under amended Rule
15b9-1 are much more limited in nature.
    \449\ This figure is based on the following: (48 burden hours
per broker or dealer) x (17 brokers and dealers) = 816 ongoing,
annualized aggregate burden hours.
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E. Collection of Information is Mandatory

    All of the collection of information discussed above is mandatory.

F. Confidentiality of Responses to Collection of Information

    To the extent that the Commission receives confidential information
pursuant to the collection of information, such information will be
kept confidential, subject to the provisions of applicable law.\450\
---------------------------------------------------------------------------

    \450\ See, e.g., 5 U.S.C. 552 et seq.; 15 U.S.C. 78x (governing
the public availability of information obtained by the Commission).
---------------------------------------------------------------------------

G. Retention Period for Recordkeeping Requirements

    Brokers or dealers seeking to take advantage of the stock-option
order exemption will be required to preserve a copy of their policies
and procedures in a manner consistent with Rule 17a-4 \451\ until three
years after the date the policies and procedures are replaced with
updated policies and procedures.
---------------------------------------------------------------------------

    \451\ 17 CFR 240.17a-4. Registered brokers and dealers are
already subject to existing recordkeeping and retention requirements
under Rule 17a-4. However, amended Rule 15b9-1 contains a
requirement that a broker or dealer relying on the stock-option
order exemption preserve a copy of its policies and procedures in a
manner consistent with Rule 17a-4 until three years after the date
the policies and procedures are replaced with updated policies and
procedures. The burdens associated with this recordkeeping
obligation have been accounted for in the burden estimates discussed
above for amended Rule 15b9-1.
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VII. Regulatory Flexibility Act Certification

    The RFA requires that Federal agencies, in promulgating rules,
consider the impact of those rules on small entities.\452\ Section 3(a)
of the RFA requires the Commission to undertake a regulatory
flexibility analysis of the impact of the rule amendments on small
entities unless the Commission certifies that the rule amendments would
not have a significant economic impact on a substantial number of small
entities.\453\ For purposes of Commission rulemaking in connection with
the RFA,\454\ a small entity includes a broker or dealer that: (1) had
total capital (net worth plus subordinated liabilities) of less than
$500,000 on the date in the prior fiscal year as of which its audited
financial statements were prepared pursuant to 17 CFR 240.17a-5(d)
(``Rule 17a-5(d)''),\455\ or, if not required to file such statements,
a broker or dealer with total capital (net worth plus subordinated
liabilities) of less than $500,000 on the last day of the preceding
fiscal year (or in the time that it has been in business, if shorter);
and (2) is not affiliated with any person (other than a natural person)
that is not a small business or small organization.\456\
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    \452\ 5 U.S.C. 601 et seq.
    \453\ 5 U.S.C. 605(b).
    \454\ Although section 601(b) of the RFA defines the term
``small entity,'' the statute permits agencies to formulate their
own definitions. The Commission has adopted definitions for the term
``small entity'' for the purposes of Commission rulemaking in
accordance with the RFA. Those definitions, as relevant to this
rulemaking, are set forth in 17 CFR 240.0-10 (Rule 0-10 under the
Exchange Act). See Securities Exchange Act Release No. 18451 (Jan.
28, 1982), 47 FR 5215 (Feb. 4, 1982) (File No. AS-305).
    \455\ Rule 17a-5(d) under the Exchange Act.
    \456\ See 17 CFR 240.0-10(c).
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    In the 2022 Re-Proposal, after an examination of FOCUS data for the
then-active broker-dealers registered with the Commission, the
Commission certified, pursuant to section 605(b) of the RFA, that
amended Rule 15b9-1 would not, if adopted, have a significant impact on
a substantial number of small entities.\457\ One commenter disagreed
with the Commission's certification, stating that there are 39 non-
FINRA members of Nasdaq exchanges, 13 of which are overseen by Nasdaq
PHLX LLC as the DEA.\458\ The commenter further stated that certain of
those members trade off-exchange and would not be eligible for the re-
proposed exemptions in amended Rule 15b9-1, and that the economic
impact of the rule amendments on these members would

be significant based on the Commission's estimate of the costs of FINRA
membership.\459\ However, the commenter did not specify whether any of
its 39 non-FINRA members are small entities under RFA standards or
identify those non-FINRA members. Specifically, the commenter did not
assert that any of these non-FINRA members have total capital of less
than $500,000 and are not affiliates of any person (other than a
natural person) that is not a small business or small organization.
---------------------------------------------------------------------------

    \457\ See 5 U.S.C. 605(b). See also 2022 Re-Proposal, supra note
1, 87 FR 49972-73.
    \458\ See Nasdaq Letter at 4.
    \459\ See id.
---------------------------------------------------------------------------

    The Commission re-examined recent FOCUS data for the approximately
3,500 active broker-dealers registered with Commission as of April
2023, including the 64 non-FINRA member broker-dealer firms that the
Commission identified as of April 2023.\460\ Based on this re-
examination, the Commission estimates that not more than three of the
non-FINRA member broker-dealer firms have total capital of less than
$500,000 and are not affiliates of any person (other than a natural
person) that is not a small business or small organization and would,
as a result, be considered small entities under RFA standards. These
three small firms could be significantly impacted by the adopted rule
amendments because they could be required to become a member of FINRA
under section 15(b)(8) of the Act, if they effect off-member-exchange
securities transactions and do not qualify for one of the adopted
exemptions.\461\
---------------------------------------------------------------------------

    \460\ See supra section II.B.
    \461\ See supra section III. The costs of FINRA membership are
discussed in detail section V, supra. In addition, section V.D,
supra, discusses the alternatives considered by the Commission. As
discussed supra in section III.A, these three firms are not among
the 12 largest non-FINRA member broker-dealer firms identified by
the Commission as of April 2023, and so, as discussed in that
section as well as section V.C.2 supra, their initial and ongoing
FINRA membership costs, should they join FINRA, likely would be low,
suggesting that, while they would be significantly impacted if they
are required to join FINRA as a result of the adopted rule
amendments, their trading businesses nevertheless might not be
materially impeded by the costs of FINRA membership.
---------------------------------------------------------------------------

    Of the approximately 3,500 broker-dealers registered with the
Commission, 786 qualify as small entities because they have total
capital of less than $500,000 and are not affiliates of any person
(other than a natural person) that is not a small business or small
organization.\462\ Since three of these small broker-dealer entities
were not FINRA members as of April 2023, the Commission estimates that
approximately 783 of these small broker-dealer entities are already
registered with FINRA. The activities of these 783 FINRA member broker-
dealers could be impacted by the amendments to Rule 15b9-1 because the
amendments have changed the terms upon which they could deregister from
FINRA. Specifically, they will not be able to deregister with FINRA
unless they comply with Rule 15b9-1, as amended, which, compared to the
pre-amendment rule, sets forth much narrower grounds upon which a
broker-dealer may be exempt from FINRA membership. Because the
Commission estimates that not more than three small entities will be
significantly impacted by the amendments to Rule 15b9-1, compared to
786 total small entities that could be impacted by the rule amendments,
the Commission does not believe that a substantial number of small
entities will be significantly impacted by the amendments to Rule 15b9-
1. Therefore, the Commission certifies that the amendments to Rule
15b9-1 will not have a significant economic impact on a substantial
number of small entities.
---------------------------------------------------------------------------

    \462\ Data from FOCUS for Quarter 2 of 2023.
---------------------------------------------------------------------------

VIII. Other Matters

    If any of the provisions of this rule, or the application thereof
to any person or circumstance, is held to be invalid, such invalidity
shall not affect other provisions or application of such provisions to
other persons or circumstances that can be given effect without the
invalid provision or application.
    Pursuant to the Congressional Review Act, the Office of Information
and Regulatory Affairs has designated these rules as not a major rule,
as defined by 5 U.S.C. 804(2).

Statutory Authority

    The Commission is adopting the final amendments contained in this
release under the authority set forth in the Exchange Act, 15 U.S.C.
78a et seq., and particularly sections 3, 15, 15A, 17, 19, 23, and 36
thereof.

List of Subjects in 17 CFR Part 240

    Brokers, Dealers, Registration, Securities.

Text of Amendments

    For the reasons set out in the preamble, the Commission is amending
title 17, chapter II of the Code of Federal Regulations as follows.

PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934

0
1. The authority citation for part 240 continues to read in part as
follows:

    Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f,
78g, 78i, 78j, 78j-1, 78j-4, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o,
78o-4, 78o-10, 78p, 78q, 78q-1, 78s, 78u-5, 78w, 78x, 78dd, 78ll,
78mm, 80a-20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, 7201 et
seq., and 8302; 7 U.S.C. 2(c)(2)(E); 12 U.S.C. 5221(e)(3); 18 U.S.C.
1350; and Pub. L. 111-203, 939A, 124 Stat. 1376 (2010); and Pub. L.
112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise
noted.
* * * * *

0
2. Section 240.15b9-1 is revised to read as follows:

Sec.  240.15b9-1   Exemption for certain exchange members.

    Any broker or dealer required by section 15(b)(8) of the Act (15
U.S.C. 78o(b)(8)) to become a member of a registered national
securities association shall be exempt from such requirement if it:
    (a) Is a member of a national securities exchange;
    (b) Carries no customer accounts; and
    (c) Effects transactions in securities solely on a national
securities exchange of which it is a member, except that with respect
to this paragraph (c):
    (1) A broker or dealer may effect transactions in securities
otherwise than on a national securities exchange of which the broker or
dealer is a member that result solely from orders that are routed by a
national securities exchange of which the broker or dealer is a member
to comply with Sec.  242.611 of this chapter or the Options Order
Protection and Locked/Crossed Market Plan; or
    (2) A broker or dealer may effect transactions in securities
otherwise than on a national securities exchange of which the broker or
dealer is a member, with or through another registered broker or
dealer, that are solely for the purpose of executing the stock leg of a
stock-option order. A broker or dealer seeking to rely on this
exception shall establish, maintain and enforce written policies and
procedures reasonably designed to ensure and demonstrate that such
transactions are solely for the purpose of executing the stock leg of a
stock-option order. Such broker or dealer shall preserve a copy of its
policies and procedures in a manner consistent with Sec.  240.17a-4
until three years after the date the policies and procedures are
replaced with updated policies and procedures.

    By the Commission.

    Dated: August 23, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-18658 Filed 9-6-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 90 (Thursday, May 9, 2013)]
[Rules and Regulations]
[Pages 27035-27036]
[FR Doc No: 2013-10964]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2012-0199]

Safety Zone; Chicago Harbor, Navy Pier Southeast, Chicago, IL

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce the Navy Pier Southeast Safety
Zone in Chicago Harbor during specified periods

from May 25, 2013, through June 29, 2013. This action is necessary and
intended to ensure safety of life on the navigable waters of the United
States immediately prior to, during, and immediately after fireworks
events. Enforcement of this safety zone will establish restrictions
upon, and control movement of, vessels in a specified area immediately
prior to, during, and immediately after various fireworks events.
During the enforcement period, no person or vessel may enter the safety
zone without permission of the Captain of the Port, Lake Michigan.

DATES: The regulations in 33 CFR 165.931 will be enforced at the times
specified in the SUPPLEMENTARY INFORMATION section of this notice.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email MST1 Joseph McCollum, Prevention Department, Coast Guard
Sector Lake Michigan, Milwaukee, WI at<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    The Coast Guard will enforce the Safety Zone; Chicago Harbor, Navy
Pier Southeast, Chicago, IL listed in 33 CFR 165.931 for the following
events:
    (1) Navy Pier Fireworks with times and dates as follows:
May 25, 2013, from 10:00 p.m. through 10:30 p.m.;
May 29, 2013, from 9:15 p.m. through 9:45 p.m.;
June 1, 2013, from 10:00 p.m. through 10:30 p.m.;
June 5, 2013, from 9:15 p.m. through 9:45 p.m.;
June 8, 2013, from 10:00 p.m. through 10:30 p.m.;
June 12, 2013, from 9:15 p.m. through 9:45 p.m.;
June 15, 2013, from 10:00 p.m. through 10:30 p.m.;
June 19, 2013, from 9:15 p.m. through 9:45 p.m.;
June 21, 2013, from 10:00 p.m. through 10:30 p.m.;
June 26, 2013, from 9:15 p.m. through 9:45 p.m.;
June 29, 2013, from 10:00 p.m. through 10:30 p.m.;
    All vessels must obtain permission from the Captain of the Port,
Lake Michigan, or his or her on-scene representative to enter, move
within or exit the safety zone. Vessels and persons granted permission
to enter the safety zone shall obey all lawful orders or directions of
the Captain of the Port, Lake Michigan, or his or her on-scene
representative. While within a safety zone, all vessels shall operate
at the minimum speed necessary to maintain a safe course.
    This notice is issued under authority of 33 CFR 165.931 and 5
U.S.C. 552 (a). In addition to this notice in the Federal Register, the
Coast Guard will provide the maritime community with advance
notification of these enforcement periods via broadcast Notice to
Mariners or Local Notice to Mariners. If the Captain of the Port, Lake
Michigan, determines that the safety zone need not be enforced for the
full duration stated in this notice, he or she may use a Broadcast
Notice to Mariners to grant general permission to enter the safety
zone. The Captain of the Port, Lake Michigan, or his or her on-scene
representative may be contacted via VHF Channel 16.

    Dated: April 30, 2013.
M.W. Sibley,
Captain, U.S. Coast Guard, Captain of the Port, Lake Michigan.
[FR Doc. 2013-10964 Filed 5-8-13; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 76, Number 226 (Wednesday, November 23, 2011)]
[Notices]
[Pages 72486-72488]
[FR Doc No: 2011-30179]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-65780; File No. SR-BX-2011-076]

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Perform a
Test of Routing Functionality

November 17, 2011.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on November 10, 2011, NASDAQ OMX BX, Inc. (the ``Exchange'' or ``BX'')
filed with the Securities and Exchange Commission (``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.
---------------------------------------------------------------------------

    \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

    BX is filing this proposed rule change to allow a limited use of
its broker-dealer affiliate, Nasdaq Execution

Services LLC (``NES''), to perform a test of routing functionality to
be introduced by the Exchange. BX proposes to implement the rule change
prior to November 14, 2011. The text of the proposed rule change is
available at http://nasdaqomxbx.cchwallstreet.com, at BX's principal
office, 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
    As provided in Rule 4758, BX recently adopted rules that will allow
it to route orders to other trading venues for execution.\3\ Routing
will be performed by NES, a registered broker-dealer that is an
affiliate of the Exchange. In order to ensure that the routing
functionality is operating properly prior to making it available to
members, the Exchange proposes to use NES to perform test trades in an
actual security, so as to track the performance of the systems to be
used by the Exchange from order entry to clearance and settlement.
---------------------------------------------------------------------------

    \3\ Securities Exchange Act Release No. 65470 (October 3, 2011),
76 FR 62489 (October 7, 2011) (SR-BX-2011-048).
---------------------------------------------------------------------------

    The test will be performed through two buy orders for 100 shares in
a highly liquid security, such as the Power Shares QQQ Trust. Upon the
execution of each buy order, NES will enter an offsetting sell order in
the same security for the same quantity, in order to close out the test
position and minimize financial impact on the Exchange. For the buy
orders, NES will submit a routable marketable limit order with a time-
in-force of Immediate or Cancel to the Exchange, with instructions to
route to a directed away market. The Exchange will then deliver the
order to NES, as the routing broker, which will route to the designated
away market and receive an execution back. The first offsetting sell
order will be handled in a similar manner. The second offsetting sell
order will be executed at the Exchange itself, to ensure that the
Exchange's systems are correctly distinguishing between routed and non-
routed trades. To the extent that the offsetting trades require the
Exchange to pay out funds, the funds will be provided out of the cash
accounts of the Exchange; to the extent that the trades result in a
profit, the funds will be deposited in the cash accounts of the
Exchange.
2. Statutory Basis
    BX believes that the proposed rule change is consistent with the
provisions of Section 6 of the Act,\4\ in general, and with Section
6(b)(5) of the Act,\5\ in particular, in that the proposal is 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. Specifically, BX believes
that the change will allow it to perform adequate testing of its
systems for routing member orders before such systems become
operational. The Exchange believes that adequate testing of market
functionality is an important component of the operation of the
national market system.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78f.
    \5\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    BX does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended.

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

    Written comments were neither solicited nor received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Because the foregoing proposed rule change does not significantly
affect the protection of investors or the public interest, does not
impose any significant burden on competition, and, by its terms, does
not become operative for 30 days from the date on which it was filed,
or such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \6\ and Rule 19b-
4(f)(6) thereunder.\7\
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78s(b)(3)(A).
    \7\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    The Exchange has requested that the Commission waive the 30-day
operative delay. The Exchange believes that waiver of the 30-day
operative delay is consistent with the protection of investors and the
public interest because it would allow the Exchange to conduct a
limited test to assess the performance of its routing functionality and
related systems prior to implementation and use by its members. The
Exchange believes that a limited test prior to the launch of its
routing functionality will assist the Exchange in uncovering and fixing
any potential ``bugs'' so as to increase the likelihood of a successful
implementation. The Commission believes that waiver of the operative
delay is consistent with the protection of investors and the public
interest because such waiver would allow the Exchange to conduct a
limited test without undue delay to ensure that its routing
functionality and related systems are operating properly prior to
implementation. Therefore, the Commission designates the proposal
operative upon filing.\8\
---------------------------------------------------------------------------

    \8\ For purposes only of waiving the 30-day operative delay, the
Commission has considered
    the proposed rule's impact on efficiency, competition, and
capital formation. See 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. 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-BX-2011-076 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BX-2011-076. 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 Web site (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 Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-BX-2011-076 and should be
submitted on or before December 14, 2011.
---------------------------------------------------------------------------

    \9\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-30179 Filed 11-22-11; 8:45 a.m.]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 228 (Tuesday, November 27, 2018)]
[Notices]
[Page 60832]
[FR Doc No: 2018-25759]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER19-357-000]

Supplemental Notice That Initial Market-Based Rate Filing
Includes Request for Blanket Section 204 Authorization: KCE NY 1, LLC

    This is a supplemental notice in the above-referenced proceeding of
KCE NY 1, LLC's application for market-based rate authority, with an
accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is December 10, 2018.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the website that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
[email protected] or call<PHONE_NUMBER> (toll free). For TTY,
call<PHONE_NUMBER>.

    Dated: November 19, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-25759 Filed 11-26-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 174 (Tuesday, September 9, 2014)]
[Notices]
[Pages 53507-53508]
[FR Doc No: 2014-21443]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of Renewed Approval of Information Collection: Commercial
Space Transportation Reusable Launch Vehicle and Reentry Licensing
Regulation

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

-----------------------------------------------------------------------

SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FAA
invites public comments about our intention to request the Office of
Management and Budget (OMB) approval to renew an information
collection. The information is used to determine if applicants satisfy
requirements for obtaining a launch license to protect the public from
risks associated with reentry operations from a site not operated by or
situated on a Federal launch range.

DATES: Written comments should be submitted by November 10, 2014.

FOR FURTHER INFORMATION CONTACT: Kathy DePaepe at<PHONE_NUMBER>, or by
email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    OMB Control Number: 2120-0643.
    Title: Commercial Space Transportation Reusable Launch Vehicle and
Reentry Licensing Regulation.
    Form Numbers: There are no FAA forms associated with this
collection.
    Type of Review: Renewal of an information collection.
    Background: The data is necessary for a U.S. citizen to apply for
and obtain a reusable launch vehicle (RLV) mission license or a reentry
license for activities by commercial or non-federal entities (that are
not done by or for the U.S. Government) as defined and required by 49
U.S.C., Subtitle IX, Chapter 701, formerly known as the Commercial
Space Launch Act of 1984, as amended. The information is needed to
demonstrate to the FAA Office of Commercial Space Transportation (FAA/
AST) that the proposed activity meets applicable public safety,
national security, and foreign policy interests of the United States.
    Respondents: Approximately 6 applicants.
    Frequency: Information is collected on occasion.
    Estimated Average Burden per Response: 5,000 hours.
    Estimated Total Annual Burden: 30,000 hours.

ADDRESSES: Send comments to the FAA at the following address: Ms. Kathy
DePaepe, Room 126B, Federal Aviation Administration, ASP-110, 6500 S.
MacArthur Blvd., Oklahoma City, OK 73169.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for FAA's performance; (b) the
accuracy of the estimated burden; (c) ways for FAA to enhance the
quality, utility and clarity of the information collection; and (d)
ways that the burden could be minimized without reducing the quality of
the collected information. The agency will summarize and/or include
your comments in the request for OMB's clearance of this information
collection.

    Issued in Washington, DC, on September 3, 2014.
Albert R. Spence,
FAA Assistant Information Collection Clearance Officer, IT Enterprises
Business Services Division, ASP-110.
[FR Doc. 2014-21443 Filed 9-8-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 77, Number 122 (Monday, June 25, 2012)]
[Rules and Regulations]
[Pages 37768-37770]
[FR Doc No: 2012-15286]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0083; Directorate Identifier 2010-SW-022-AD;
Amendment 39-17077; AD 2012-11-13]
RIN 2120-AA64

Airworthiness Directives; Aeronautical Accessories, Inc., High
Landing Gear Aft Crosstube Assembly

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: We are adopting a new airworthiness directive (AD) for the
Aeronautical Accessories, Inc. (AAI), High Landing Gear Aft Crosstube
Assembly (aft crosstube) installed on certain Bell Helicopter Textron,
Inc. (Bell) and Agusta S.p.A. (Agusta) model helicopters as an approved
Bell part installed during production or based on a Supplemental Type
Certificate (STC). This AD requires certain recurring visual,
dimensional, and fluorescent penetrant inspections of each aft
crosstube, and replacing any cracked crosstube. This AD also requires
establishing a life limit and creating a component history card or
equivalent record for one of the affected part-numbered aft crosstubes.
This AD was prompted by three reports of failed crosstubes because of
cracks. The actions are intended to prevent failure of a crosstube,
collapse of the landing gear, and subsequent loss of control of the
helicopter.

DATES: This AD is effective July 30, 2012.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of July 30,
2012.

ADDRESSES: For service information identified in this AD, contact
Aeronautical Accessories, Inc., P.O. Box 3689, Bristol, Tennessee
37625-3689, telephone<PHONE_NUMBER> or 1-800-251-7094, fax (423) 538-
8469 or at http://www.aero-access.com. You may also get service
information from Bell Helicopter Textron, Inc., P.O. Box 482, Fort
Worth, TX 76101, telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>, or at
http://www.bellcustomer.com/files. You may review a copy of the
referenced service information at the FAA, Office of the Regional
Counsel, Southwest Region, 2601 Meacham Blvd., Room 663, Fort Worth,
Texas 76137.
    Examining the AD Docket: You may examine the AD docket on the
Internet at http://www.regulations.gov or in person at the Docket
Operations Office between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The AD docket contains this AD, any
incorporated-by-reference service information, the economic evaluation,
any comments received, and other information. The street address for
the Docket Operations Office (phone:<PHONE_NUMBER>) is U.S. Department
of Transportation, Docket Operations Office, M-30, West Building Ground
Floor, Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Martin R. Crane, Aviation Safety
Engineer, Rotorcraft Directorate, Rotorcraft Certification Office, 2601
Meacham Blvd., Fort Worth, Texas 76137, telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    On Feb. 3, 2012, at 77 FR 5420, the Federal Register published our
Notice of Proposed Rulemaking (NPRM), which proposed to amend 14 CFR
part 39 to include an AD that would apply to aft crosstube part number
(P/N) 412-321-104 and P/N 412-321-304, installed on Agusta Model AB412
and AB412EP and Bell Model 412, 412CF, and 412EP helicopters. The NPRM
proposed to require certain recurring visual, dimensional, and
fluorescent penetrant inspections of each aft crosstube. If there is a
crack, the NPRM proposed to require, before further flight, replacing
any cracked aft crosstube with an airworthy aft crosstube. The NPRM
also proposed to require establishing a life limit for one of the
affected part-numbered aft crosstubes (as the later part-numbered aft
crosstube already has limits established) and creating a component
history card or equivalent record for aft crosstube part number (P/N)
412-321-304. The proposed requirements were intended to prevent failure
of a crosstube, collapse of the landing gear, and subsequent loss of
control of the helicopter.

Comments

    We gave the public the opportunity to participate in developing
this AD, but we did not receive any comments on the NPRM.

FAA's Determination

    We have reviewed the relevant information and determined that an
unsafe condition exists and is likely to exist or develop on other
products of the same type design and that air safety and the public
interest require adopting the AD requirements as proposed except for
minor editorial changes. These minor editorial changes are consistent
with the intent of the proposals in the NPRM and will not increase the
economic burden on any operator nor increase the scope of the AD.

Related Service Information

    We have reviewed AAI Alert Service Bulletin (ASB) No. AA-07109,
dated April 3, 2008, which specifies recurring inspections and
maintenance of each aft crosstube, P/N 412-321-104, installed as an
approved part by Bell during production, and P/N 412-321-304, installed
under STC SR01052AT, on Bell Model 412, 412EP, and 412CF and Agusta
Model AB412 and AB412EP helicopters. This ASB specifies establishing a
high aft crosstube, P/N 412-321-304, ``takeoff/landing'' life limit of
20,000. Also, this ASB specifies that operators should follow
helicopter towing instructions to prevent crosstube damage or failure
as a result of ground handling or towing.
    We have also reviewed Bell ASB No. 412-08-129, dated May 12, 2008,
for Bell Model 412 and 412EP helicopters, serial numbers 33001 through
33213, 36001 and subsequent, with an aft crosstube P/N 412-321-104
installed. Bell issued its ASB ``to achieve complete distribution of
AA-07109 vendor bulletin to the current affected model distribution
list.''

Costs of Compliance

    We estimate that this AD will affect 115 helicopters of U.S.
Registry.
    We also estimate that the required actions will take about:
     1 hour to create a component history card or equivalent
record and determine and record the number of accumulated takeoffs and
landings for each affected aft crosstube;
     3 hours to prepare the area for a visual inspection;
     \1/2\ hour to do the repetitive visual inspections,
assuming 14 repetitive visual inspections per year;
     1 hour to do a dimensional inspection of the skid gear,
assuming 3 inspections per year;
     24 hours to prepare and fluorescent penetrant inspect the
aft crosstube, assuming 2 inspections per year; and
     10 hours to replace an aft crosstube, if necessary,
assuming 3 aft crosstubes are replaced.

    The average labor rate is $85 per work hour. Required parts will
cost about $9,315 per aft crosstube. Based on these figures, we
estimate the total cost impact of this AD on U.S. operators to be
$636,545.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    This AD will not have federalism implications under Executive Order
13132. This AD will not have a substantial direct effect on the States,
on the relationship between the national government and the States, or
on the distribution of power and responsibilities among the various
levels of government.
    For the reasons discussed above, I certify that this AD:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866;
    (2) Is not a ``significant rule'' under DOT Regulatory Policies and
Procedures (44 FR 11034, February 26, 1979);
    (3) Will not affect intrastate aviation in Alaska to the extent
that it justifies making a regulatory distinction; and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared an economic evaluation of the estimated costs to comply
with this AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

Adoption of the Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

2012-11-13 Aeronautical Accessories, Inc.: Amendment 39-17077;
Docket No. FAA-2012-0083; Directorate Identifier 2010-SW-022-AD.

(a) Applicability

    This AD applies to High Landing Gear Aft Crosstube Assembly (aft
crosstube) part number (P/N) 412-321-104 and P/N 412-321-304,
installed on Agusta S.p.A. Model AB412 and AB412EP and Bell
Helicopter Textron, Inc., Model 412, 412CF, and 412EP helicopters,
certificated in any category.

(b) Unsafe Condition

    This AD defines the unsafe condition as cracked aft crosstube.
This condition could result in collapse of the landing gear, and
subsequent loss of control of the helicopter.

(c) Effective Date

    This AD becomes effective July 30, 2012.

(d) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless it has already been
accomplished prior to that time.

(e) Required Actions

    (1) Within 50 hours time-in-service (TIS) establish a life limit
of 20,000 takeoffs and landings for each aft crosstube P/N 412-321-
304. For the purposes of this AD, a takeoff and landing is defined
as the cycle from when the helicopter gets light on the skids
(takeoff) unloading the aft crosstube and then settles on the skids
again (landing) reloading the aft crosstubes. Either the number of
landings or takeoffs may be counted.
    (i) Create a component history card or equivalent record.
    (ii) Determine and record on the history card or equivalent
record the total number of takeoffs and landings for each aft
crosstube. If the takeoff and landing information is unavailable,
estimate the number by multiplying the airframe hours by 10.
    (2) Within the next 450 takeoffs and landings, if an aft
crosstube has reached 20,000 or more takeoffs and landings, replace
it with an airworthy aft crosstube.
    (3) Before reaching 2,500 takeoffs and landings or for an aft
crosstube with 2,500 or more takeoffs and landings, within 50 hours
TIS or within the next 250 takeoffs and landings, whichever occurs
first, prepare the aft crosstube inspection areas as depicted in
Figure 1 of Aeronautical Accessories, Inc. (AAI), Alert Service
Bulletin No. AA-07109, dated April 3, 2008 (ASB), by following the
Accomplishment Instructions, Part B, paragraphs 1 through 4, of the
ASB. Using a 10X or higher magnifying glass, inspect the prepared
areas of each aft crosstube for a crack. If there is a crack, before
further flight, replace the cracked aft crosstube with an airworthy
aft crosstube. If there are no cracks, after completing the aft
crosstube inspection, prime and paint the inspection area by
following the Accomplishment Instructions, Part B, paragraphs 6 and
7, of the ASB.
    (4) Thereafter, at intervals not to exceed 450 takeoffs and
landings, clean the inspection area. Using a 10X or higher
magnifying glass, inspect the clear-coated area of the aft crosstube
for a crack.
    (5) If there is a crack, before further flight, replace the
cracked aft crosstube with an airworthy aft crosstube.
    (6) Within 30 days or before reaching 2,500 takeoffs and
landings, whichever occurs later, and thereafter at intervals not to
exceed 2,500 takeoffs and landings or 12 months, whichever occurs
first, determine the horizontal deflection of each aft crosstube
from the centerline of the helicopter (BL 0.0) to the outside of the
skid tubes by following the Accomplishment Instructions, Part D,
paragraphs 1 through 3, of the ASB. If the measured aft crosstube
horizontal deflection depicted in Figure 2 of the ASB is less than
57 inches (1,448 mm) or greater than 59 inches (1,499 mm), replace
the aft crosstube with an airworthy aft crosstube.
    (7) Within 3 months or on or before reaching 7,500 takeoffs and
landings, whichever occurs later, and thereafter at intervals not to
exceed 5,000 takeoffs and landings:
    (i) Remove the aft crosstube assembly by removing the aft
crosstube support beam assembly, P/N 604-030-001, and both aft
crosstube clamp assemblies, P/N 604-027-002.
    (ii) Remove paint and sealant from the aft crosstube outboard of
the upper center support to top of saddles, both sides, as depicted
in Figure 3 of the ASB.
    (iii) Fluorescent penetrant inspect each aft crosstube outboard
of the upper center support as depicted in Figure 3 of the ASB for a
crack.
    (iv) If there is a crack, before further flight, replace the
cracked aft crosstube with an airworthy aft crosstube.
    (8) Revise the helicopter Airworthiness Limitations section of
the applicable maintenance manuals or the Instructions for Continued
Airworthiness (ICA) by establishing a new retirement life of 20,000
takeoff and landings for aft crosstube P/N 412-321-304 by making pen
and ink changes or inserting a copy of this AD into the maintenance
manual or the ICAs.

(f) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Rotorcraft Certification Office, FAA, may
approve AMOCs for this AD. Send your proposal to: Martin R. Crane,
Aviation Safety Engineer, Rotorcraft Directorate, Rotorcraft
Certification Office, 2601 Meacham Blvd., Fort Worth, Texas 76137,
telephone<PHONE_NUMBER>, email<EMAIL_ADDRESS>    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under

14 CFR part 119, subpart K, we suggest that you notify your
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office or certificate holding
district office before operating any aircraft complying with this AD
through an AMOC.

(g) Additional Information

    The FAA-accepted AAI Instructions for Continued Airworthiness
Report Number AA-01136, and the Bell Helicopter Textron Alert
Service Bulletin No. 412-08-129, dated May 12, 2008, which are not
incorporated by reference, contain additional information about
inspecting the aft crosstube for a crack. For the AAI service
information, contact Aeronautical Accessories, Inc., P.O. Box 3689,
Bristol, Tennessee 37625-3689, telephone<PHONE_NUMBER> or 1-800-
251-7094, fax<PHONE_NUMBER>, or at http://www.aero-access.com. For
the Bell Helicopter Textron service information, contact Bell
Helicopter Textron, Inc., P.O. Box 482, Fort Worth, TX 76101,
telephone<PHONE_NUMBER>, fax<PHONE_NUMBER>, or at http://www.bellcustomer.com/files.

(h) Subject

    Joint Aircraft Service Component (JASC) Code: 32: Landing Gear.

(i) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the following service
information under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use the following service information to do the
actions required by this AD, unless the AD specifies otherwise.
    (3) The following service information was approved for IBR on
July 10, 2012.
    (i) Aeronautical Accessories, Inc., Alert Service Bulletin No.
AA-07109, dated April 3, 2008.
    (4) For this service information, contact Aeronautical
Accessories, Inc., P.O. Box 3689, Bristol, Tennessee 37625-3689,
telephone<PHONE_NUMBER> or 1-800-251-7094, fax<PHONE_NUMBER>, or
at http://www.aero-access.com.
    (5) You may review a copy of this referenced service information
at the FAA, Office of the Regional Counsel, Southwest Region, 2601
Meacham Blvd., Room 663, Fort Worth, Texas 76137 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call<PHONE_NUMBER>, or go
to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

    Issued in Fort Worth, Texas, on May 25, 2012.
Lance T. Gant,
Acting Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. 2012-15286 Filed 6-22-12; 8:45 am]
BILLING CODE 4910-13-P


MEMORANDUM  SEQ CHAPTER \h \r 1

DATE:		July 29, 2015

TO:		Clean Power Plan for Existing Power Plants; Docket Id: OAR–2013-0602

FROM:		Lora Strine, EPA

SUBJECT:	July 22, 2015 Phone Call Regarding Proposed Clean Power Plan for Existing Power Plants

SUMMARY

A phone call was held between EPA and David Thornton, State of Minnesota on July 22, 2015 to discuss the proposed Clean Power Plan for Existing Power Plants. The Clean Power Plan for Existing Power Plants was proposed on June 2, 2014.

ATTENDEES

State of Minnesota

David Thornton

US EPA

Lora Strine