[Federal Register: July 13, 2010 (Volume 75, Number 133)]
[Rules and Regulations]
[Page 39811-39814]
[DOCID:fr13jy10-8]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2009-1249; Directorate Identifier 2009-NM-100-AD;
Amendment 39-16358; AD 2010-14-13]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Model 777 Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: We are adopting a new airworthiness directive (AD) for certain
Model 777 airplanes. This AD requires inspecting the bolt, nut, and
downstop of the slat track assembly to determine if the bolt, nut, or
stops are missing and to determine if the thread protrusion of the bolt
from the nut is within specified limits and parts are correctly
installed, and related investigative and corrective actions if
necessary. For certain airplanes, this AD also requires inspecting the
slat cans at the outboard slat number 3 and 12 outboard main track
locations for holes and wear damage, and corrective actions if
necessary; and replacing the downstop hardware for the outboard slats
number 3 and 12 outboard and inboard main track locations. This AD
results from a report of a hole in the inboard main track slat can for
outboard slat number 12 on a Model 777 airplane. The hole was caused
when the bolt securing the downstop migrated out of the fitting and
contacted the slat can. We are issuing this AD to detect and correct
damage to the outboard slat main track slat cans, which can allow fuel
leakage into the fixed wing leading edge in excess of the capacity of
the draining system. Excess fuel leakage could result in an uncontained
fire.

DATES: This AD is effective August 17, 2010.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in the AD as of August 17,
2010.

ADDRESSES: For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, Washington 98124-2207; telephone 206-
544-5000, extension 1; fax<PHONE_NUMBER>; e-mail<EMAIL_ADDRESS>
Internet https://www.myboeingfleet.com.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The address for the
Docket Office (telephone<PHONE_NUMBER>) is the Document Management
Facility, U.S. Department of Transportation, Docket Operations, M-30,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: Duong Tran, Aerospace Engineer,
Airframe Branch, ANM-120S, FAA, Seattle Aircraft Certification Office,
1601 Lind Avenue SW., Renton, Washington 98057-3356; telephone (425)
917-6452; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an airworthiness directive (AD) that would apply to
certain Model 777 airplanes. That NPRM was published in the Federal
Register on January 7, 2010 (75 FR 950). That NPRM proposed to require
inspecting the bolt, nut, and downstop of the slat track assembly to
determine

if the bolt, nut, or stops are missing and to determine if the thread
protrusion of the bolt from the nut is within specified limits and
parts are correctly installed, and related investigative and corrective
actions if necessary. For certain airplanes, that NPRM also proposed to
require inspecting the slat cans at the outboard slat number 3 and 12
outboard main track locations for holes and wear damage, and corrective
actions if necessary; and replacing the downstop hardware for the
outboard slats number 3 and 12 outboard and inboard main track
locations.

Relevant Service Information

    We have reviewed Boeing Service Bulletin 777-57A0064, Revision 1,
dated May 6, 2010. The NPRM referred to Boeing Alert Service Bulletin
777-57A0064, dated March 26, 2009, as the appropriate source of service
information. Boeing Service Bulletin 777-57A0064, Revision 1, dated May
6, 2010, clarifies procedures, deletes a requirement, adds a note to
allow a different fastener, revises an incorrect chamfer callout, and
adds information that was published in Boeing Information Notice 777-
57A0064 IN 01 and 777-57A0064 IN 02. Boeing Service Bulletin 777-
57A0064, Revision 1, dated May 6, 2010, does not require additional
work.

Comments

    We gave the public the opportunity to participate in developing
this AD. We considered the comments received from the commenters.

Support for the NPRM

    Continental Airlines (Continental) supports the intent of the NPRM.

Request To Add Exception for Group 1 Airplanes

    Boeing requests that we revise the NPRM to add a statement to
paragraph (h) of the NPRM stating, ``The outboard main track locations
for slats 3 and 12 are excluded from the inspection defined in Table 3
of Boeing Alert Service Bulletin 777-57A0064, dated March 26, 2009.''
Boeing states that, for Group 1 airplanes, the slat tracks do not
penetrate into the wing fuel tank at these locations. Boeing also
states that, for all Group 2 airplanes, this inspection is accomplished
via Table 4 of Boeing Alert Service Bulletin 777-57A0064, dated March
26, 2009. Boeing Alert Service Bulletin 777-57A0064, dated March 26,
2009, states that for only Group 2 airplanes the outboard main track
locations at slats 3 and 12 must be inspected. Boeing notes that it
plans to issue a new revision to this service bulletin in June 2010
that contains this information.
    We disagree with the commenter that such a revision is necessary.
We have updated this final rule to refer to Boeing Service Bulletin
777-57A0064, Revision 1, dated May 6, 2010. Boeing Service Bulletin
777-57A0064, Revision 1, dated May 6, 2010, has corrected this
information. We have added Boeing Service Bulletin 777-57A0064,
Revision 1, dated May 6, 2010, as the appropriate source of service
information for the actions required by this AD, including paragraph
(g)(2) of this AD (in paragraph (g)(2) of the NPRM we referred to the
original issue of the service bulletin for the compliance times but did
not specifically reference the service bulletin as the applicable
source of service information for doing the actions). We have also
added paragraph (j) to this final rule to provide credit for actions
done in accordance with Boeing Alert Service Bulletin 777-57A0064,
dated March 26, 2009.

Request To Add Exception for Group 2 Airplanes

    Boeing further requests that we revise paragraph (h) of the NPRM to
state, ``For airplanes defined as Group 2 in Boeing Alert Service
Bulletin 777-57A0064, dated March 26, 2009, it is not necessary to
perform the torque check on the downstop hardware for slats 3 and 12 as
defined in Table 2 of Boeing Alert Service Bulletin 777-57A0064, dated
March 26, 2009.'' Boeing states that at locations where a fastener is
to be replaced by subsequent instructions in Boeing Alert Service
Bulletin 777-57A0064, dated March 26, 2009, a torque check is redundant
and is not a technical requirement. Boeing states that the visual
inspections are still in place to guarantee that damage caused by a
loose fastener will be caught. Boeing also adds that Boeing Alert
Service Bulletin 777-57A0064, dated March 26, 2009, specifies
compliance times for the fastener replacement that are less than those
for the torque check. Boeing notes that it plans to issue a new
revision to this service bulletin in June 2010 that contains this
information.
    We agree with the commenter that such a revision is necessary. We
have updated this final rule to refer to Boeing Service Bulletin 777-
57A0064, Revision 1, dated May 6, 2010. However, we have added a new
paragraph (i) to this final rule to clarify that this measurement is
not necessary on slats 3 and 12. We have added Boeing Service Bulletin
777-57A0064, Revision 1, dated May 6, 2010, as the primary source of
service information for accomplishing the actions required by this AD.

Request To Increase the Inspection Threshold to 12 Months

    Continental requests that we revise the compliance time for the
inspection from 6 months to 12 months after the effective date of the
AD. Continental states that the current 6-month compliance time will
not provide a practical period in which to complete the full inspection
for its Model 777 fleet based on their maintenance schedule.
Continental states that a 12-month threshold would not compromise the
safety of the airplane because there are existing zonal inspection
requirements in the referenced Maintenance Planning Document/
Maintenance Review Board (MPD/MRB) tasks, discrepancies in the area of
interest could be detected through the required routine inspections.
Continental states that with a frequency of every 1,125 days from
delivery, most affected airplanes should have had at least one
inspection performed in accordance with the MPD/MRB tasks.
    We disagree. Due to the urgent nature of a potential excessive fuel
leakage, we do not find it appropriate to revise the inspection
threshold. Furthermore, the MPD/MRB zonal inspection requirements are
not intense enough to detect certain unobvious discrepancies (e.g.,
loose bolts and insufficient nut torque). However, under the provisions
of paragraph (k) of this AD, we will consider requests for approval of
an extension of the compliance time if sufficient data are submitted to
substantiate that the extension would provide an acceptable level of
safety. We have not changed the AD in regard to this issue.

Request To Clarify Requirements of Downstop Fitting Rework

    EVA Airlines requests that we incorporate the information from
Boeing Information Notice 777-57A0064 IN 01, dated May 28, 2009, which
states that the chamfer for the -2 stop fitting in view B-B of Appendix
A of Boeing Alert Service Bulletin 777-57A0064, dated March 26, 2009,
should be ``0.820-0.850 x 90 Degrees-120 Degrees'' instead of ``0.820-
0.050 x 90 Degrees-120 Degrees.''
    We agree that this information should be incorporated into the AD.
Boeing Service Bulletin 777-57A0064, Revision 1, dated May 6, 2010,
corrects this information. As stated previously, we have changed this
AD to refer to Boeing Service Bulletin 777-57A0064, Revision 1, dated
May 6, 2010, as the primary source of service information for
accomplishing the actions required by this AD.

Conclusion

    We reviewed the relevant data, considered the comments received,
and determined that air safety and the public interest require adopting
the AD with the changes described previously. We also determined that
these changes will not increase the economic burden on any operator or
increase the scope of the AD.

Explanation of Change to Costs of Compliance

    Since issuance of the NPRM, we have increased the labor rate used
in the Costs of Compliance from $80 per work-hour to $85 per work-hour.
The Costs of Compliance information, below, reflects this increase in
the specified hourly labor rate.

Costs of Compliance

    We estimate that this AD would affect 129 airplanes of U.S.
registry. The following table provides the estimated costs for U.S.
operators to comply with this AD.

                                                                 Table--Estimated Costs
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Number of
                                                  Average                                         U.S.-
              Action                Work hours   labor rate     Parts       Cost per product    registered                   Fleet cost
                                                  per hour                                      airplanes
--------------------------------------------------------------------------------------------------------------------------------------------------------
Inspection for Group 1 airplanes.           39          $85           $0  $3,315 per                   127  $421,005 per inspection cycle.
                                                                           inspection cycle.
Inspection for Group 2 airplanes.           55           85            0  4,675 per                      2  9,350 per inspection cycle.
                                                                           inspection cycle.
Replacement for Group 2 airplanes            8           85        9,267  9,947..............            2  19,894.
--------------------------------------------------------------------------------------------------------------------------------------------------------

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), and
    (3) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    You can find our regulatory evaluation and the estimated costs of
compliance 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

0
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 AD:

2010-14-13 The Boeing Company: Amendment 39-16358. Docket No. FAA-
2009-1249; Directorate Identifier 2009-NM-100-AD.

Effective Date

    (a) This airworthiness directive (AD) is effective August 17,
2010.

Affected Ads

    (b) None.

Applicability

    (c) This AD applies to The Boeing Company Model 777-200, -200LR,
-300, and -300ER airplanes, certificated in any category; as
identified in Boeing Service Bulletin 777-57A0064, Revision 1, dated
May 6, 2010.

Subject

    (d) Air Transport Association (ATA) of America Code 57: Wings.

Unsafe Condition

    (e) This AD results from a report of a hole in the inboard main
track slat can for outboard slat number 12 on a Model 777 airplane.
The Federal Aviation Administration is issuing this AD to detect and
correct damage to the outboard slat main track slat cans, which can
allow fuel leakage into the fixed wing leading edge in excess of the
capacity of the draining system. Excess fuel leakage could result in
an uncontained fire.

Compliance

    (f) You are responsible for having the actions required by this
AD performed within the compliance times specified, unless the
actions have already been done.

Inspect the Slat Main Track Stop Hardware and Measure the Torque of the
Slat Main Track Stop Hardware

    (g) At the applicable time specified in paragraph 1.E.,
``Compliance,'' of Boeing Service Bulletin 777-57A0064, Revision 1,
dated May 6, 2010, except as required by paragraph (h) of this AD:
Do the applicable actions specified in paragraphs (g)(1) and (g)(2)
of this AD.
    (1) For all airplanes: Do a detailed inspection of the slat main
track stop hardware to determine if the bolt, nut, or stops are
missing and to determine if the thread protrusion of the bolt from
the nut is within specified limits, and do all applicable

related investigative and corrective actions, in accordance with the
Accomplishment Instructions of Boeing Service Bulletin 777-57A0064,
Revision 1, dated May 6, 2010, except as required by paragraph (i)
of this AD. Do all applicable related investigative and corrective
actions at the applicable time specified in paragraph 1.E.,
``Compliance,'' of Boeing Service Bulletin 777-57A0064, Revision 1,
dated May 6, 2010, except as required by paragraph (h) of this AD.
    (2) For airplanes identified as Group 2 airplanes in Boeing
Service Bulletin 777-57A0064, Revision 1, dated May 6, 2010: Do a
detailed inspection of the slat cans at the outboard slat number 3
and 12 outboard main track locations for holes and wear damage and
do all applicable corrective actions, and replace the downstop
hardware for the outboard slats number 3 and 12 outboard and inboard
main track locations, in accordance with the Accomplishment
Instructions of Boeing Service Bulletin 777-57A0064, Revision 1,
dated May 6, 2010. Do all applicable corrective actions at the
applicable time specified in paragraph 1.E., ``Compliance,'' of
Boeing Service Bulletin 777-57A0064, Revision 1, dated May 6, 2010.

Exception to the Service Bulletin

    (h) Where Boeing Service Bulletin 777-57A0064, Revision 1, dated
May 6, 2010, specifies a compliance time after the date on the
service bulletin, this AD requires compliance within the specified
compliance time after the effective date of this AD.
    (i) Where Boeing Service Bulletin 777-57A0064, Revision 1, dated
May 6, 2010, specifies measuring torque of the nuts of the slat main
track stop hardware of slats 3 and 12, this AD does not require that
action for Group 2 airplanes.

Credit for Actions Accomplished Previously

    (j) Actions accomplished before the effective date of this AD
according to Boeing Alert Service Bulletin 777-57A0064, dated March
26, 2009, are considered acceptable for compliance with the
corresponding actions specified in this AD.

Alternative Methods of Compliance (AMOCs)

    (k)(1) The Manager, Seattle Aircraft Certification Office (ACO),
FAA, has the authority to approve AMOCs for this AD, if requested
using the procedures found in 14 CFR 39.19. Send information to
ATTN: Duong Tran, Aerospace Engineer, Airframe Branch, ANM-120S,
FAA, Seattle Aircraft Certification Office, 1601 Lind Avenue, SW.,
Renton, Washington 98057-3356; telephone<PHONE_NUMBER>; fax (425)
917-6590. Or, e-mail information to 9-ANM-Seattle-ACO-AMOC-
<EMAIL_ADDRESS>    (2) To request a different method of compliance or a different
compliance time for this AD, follow the procedures in 14 CFR 39.19.
Before using any approved AMOC on any airplane to which the AMOC
applies, notify your principal maintenance inspector (PMI) or
principal avionics inspector (PAI), as appropriate, or lacking a
principal inspector, your local Flight Standards District Office.
The AMOC approval letter must specifically reference this AD.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair required by this AD, if it is approved by the
Boeing Commercial Airplanes Organization Designation Authorization
(ODA) that has been authorized by the Manager, Seattle ACO, to make
those findings. For a repair method to be approved, the repair must
meet the certification basis of the airplane, and the approval must
specifically refer to this AD.

Material Incorporated by Reference

    (l) You must use Boeing Service Bulletin 777-57A0064, Revision
1, dated May 6, 2010, to do the actions required by this AD, unless
the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of this service information under 5
U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, Washington 98124-2207; telephone
206-544-5000, extension 1; fax<PHONE_NUMBER>; e-mail
<EMAIL_ADDRESS>Internet https://www.myboeingfleet.com.
    (3) You may review copies of the service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton,
Washington. For information on the availability of this material at
the FAA, call<PHONE_NUMBER>.
    (4) You may also review copies of the service information that
is incorporated by reference 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 Renton, Washington on June 21, 2010.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2010-16201 Filed 7-12-10; 8:45 am]
BILLING CODE 4910-13-P


Intended transporter(s) and/or their agent(s); address, telephone, fax, and e-mail address;
262.84(b)(1)(iv)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

"U.S." as the country of import, "USA01" as the relevant competent authority code, and the intended U.S. port(s) of entry;
262.84(b)(1)(v)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The ISO standard 3166 country name 2-digit code, OECD/Basel competent authority code, and the ports of entry and exit for each country of transit;
262.84(b)(1)(vi)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The ISO standard 3166 country name 2-digit code, OECD/Basel competent authority code, and port of exit for the country of export;
262.84(b)(1)(vii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Statement of whether the notification covers a single shipment or multiple shipments;
262.84(b)(1)(viii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Start and End Dates requested for transboundary movements;
262.84(b)(1)(ix)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Means of transport planned to be used;
262.84(b)(1)(x)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Description(s) of each hazardous waste, including whether each hazardous waste is regulated universal waste under 40 CFR part 273, or the state equivalent, spent lead-acid batteries being exported for recovery of lead under 40 CFR part 266, subpart G, or the state equivalent, or industrial ethyl alcohol being exported for reclamation under 40 CFR 261.6(a)(3)(i), or the state equivalent, estimated total quantity of each hazardous waste, the applicable RCRA hazardous waste code(s) for each hazardous waste, the applicable OECD waste code from the lists incorporated by reference in 40 CFR 260.11, and the United Nations/U.S. Department of Transportation (DOT) ID number for each hazardous waste;
262.84(b)(1)(xi)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Specification of the recovery or disposal operation(s) as defined in § 262.81; and
262.84(b)(1)(xii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Certification/Declaration signed by the importer that states:
I certify that the above information is complete and correct to the best of my knowledge. I also certify that legally enforceable written contractual obligations have been entered into and that any applicable insurance or other financial guarantee is or shall be in force covering the transboundary movement.
Name:
Signature:
Date:
262.84(b)(1)(xiii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The United States does not currently require financial assurance for these waste shipments.
NOTE TO PARAGRAPH (b)(1)(xiii):
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Notifications listing interim recycling operations or interim disposal operations. If the receiving facility listed in paragraph (b)(1)(ii) of this section will engage in any of the interim recovery operations R12 or R13 or interim disposal operations D13 through D15, the notification submitted according to paragraph (b)(1) of this section must also include the final recovery or disposal facility name, address, telephone, fax numbers, e-mail address, technologies employed, and which of the applicable recovery or disposal operations R1 through R11 and D1 through D12, will be employed at the final recovery or disposal facility. The recovery and disposal operations in this paragraph are defined in § 262.81.
262.84(b)(2)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Renotifications. When the foreign exporter wishes to change any of the conditions specified on the original notification (including increasing the estimate of the total quantity of hazardous waste specified in the original notification or adding transporters), the importer must submit a renotification of the changes to EPA using the allowable methods in paragraph (b)(1) of this section. Any shipment using the requested changes cannot take place until EPA and the countries of transit consent to the changes and the importer receives an EPA AOC letter documenting the consents to the changes.
262.84(b)(3)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

                                                                             10
A notification is complete when EPA determines the notification satisfies the requirements of paragraph (b)(1)(i) through (xiii) of this section. Where a claim of confidentiality is asserted with respect to any notification information required by paragraphs (b)(1)(i) through (xiii) of this section, EPA may find the notification not complete until any such claim is resolved in accordance with 40 CFR 260.2.
262.84(b)(4)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Where EPA and the countries of transit consent to the proposed transboundary movement(s) of the hazardous waste(s), EPA will forward an EPA AOC letter to the importer documenting the countries' consents and EPA's consent. Where any of the countries of transit or EPA objects to the proposed transboundary movement(s) of the hazardous waste or withdraws a prior consent, EPA will notify the importer.
262.84(b)(5)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Export of hazardous wastes originally imported into the United States. Export of hazardous wastes that were originally imported into the United States for recycling or disposal operations is prohibited unless an exporter in the United States complies with the export requirements in § 262.83(b)(7).
262.84(b)(6)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Removed.
262.84(b)(7)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

RCRA Manifest instructions for import shipments.
262.84(c)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

When importing hazardous waste, the importer must meet all the requirements of § 262.20 for the manifest except that:
262.84(c)(1)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

In place of the generator's name, address and EPA identification number, the name and address of the foreign generator and the importer's name, address and EPA identification number must be used.
262.84(c)(1)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

In place of the generator's signature on the certification statement, the importer or his agent must sign and date the certification and obtain the signature of the initial transporter.
262.84(c)(1)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The importer may obtain the manifest form from any source that is registered with the EPA as a supplier of manifests (e.g., states, waste handlers, and/or commercial forms printers).
262.84(c)(2)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

In the International Shipments block, the importer must check the import box and enter the point of entry (city and State) into the United States.
262.84(c)(3)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The importer must provide the transporter with an additional copy of the manifest to be submitted by the receiving facility to U.S. EPA in accordance with 40 CFR 264.71(a)(3) and 265.71(a)(3).
262.84(c)(4)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

In lieu of the requirements of § 262.20(d), where a shipment cannot be delivered for any reason to the receiving facility, the importer must instruct the transporter in writing via fax, email or mail to:
262.84(c)(5)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Return the hazardous waste to the foreign exporter or designate another facility within the United States; and
262.84(c)(5)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Revise the manifest in accordance with the importer's instructions.
262.84(c)(5)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Movement document requirements for import shipments.
262.84(d)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The importer must ensure that a movement document meeting the conditions of paragraph (d)(2) of this section accompanies each transboundary movement of hazardous wastes from the initiation of the shipment in the country of export until it reaches the receiving facility, including cases in which the hazardous waste is stored and/or sorted by the importer prior to shipment to the receiving facility, except as provided in paragraphs (d)(1)(i) and (ii) of this section.
262.84(d)(1)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

For shipments of hazardous waste within the United States by water (bulk shipments only), the importer must forward the movement document to the last water (bulk shipment) transporter to handle the hazardous waste in the United States if imported by water.
262.84(d)(1)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

For rail shipments of hazardous waste within the United States which start from the company originating the export shipment, the importer must forward the movement document to the next non-rail transporter, if any, or the last rail transporter to handle the hazardous waste in the United States if imported by rail.
262.84(d)(1)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The movement document must include the following paragraphs (d)(2)(i) through (xv) of this section:
262.84(d)(2)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The corresponding AOC number(s) and waste number(s) for the listed waste;
262.84(d)(2)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The shipment number and the total number of shipments under the AOC number;
262.84(d)(2)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Foreign exporter name, address, telephone, fax numbers, and e-mail address;
262.84(d)(2)(iii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Receiving facility name, EPA ID number, address, telephone, fax numbers, e-mail address, technologies employed, and the applicable recovery or disposal operations as defined in § 262.81;
262.84(d)(2)(iv)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Importer name (if not the owner or operator of the receiving facility), EPA ID number, address, telephone, fax numbers, and e-mail address;
262.84(d)(2)(v)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Description(s) of each hazardous waste, quantity of each hazardous waste in the shipment, applicable RCRA hazardous waste code(s) for each hazardous waste, the applicable OECD waste code for each hazardous waste from the lists incorporated by reference in 40 CFR 260.11, and the United Nations/U.S. Department of Transportation (DOT) ID number for each hazardous waste;
262.84(d)(2)(vi)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Date movement commenced;
262.84(d)(2)(vii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Name (if not the foreign exporter), address, telephone, fax numbers, and e-mail of the foreign company originating the shipment;
262.84(d)(2)(viii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Company name, EPA ID number, address, telephone, fax, and e-mail address of all transporters;
262.84(d)(2)(ix)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Identification (license, registered name or registration number) of means of transport, including types of packaging;
262.84(d)(2)(x)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Any special precautions to be taken by transporter(s);
262.84(d)(2)(xi)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Certification/declaration signed and dated by the foreign exporter that the information in the movement document is complete and correct;
262.84(d)(2)(xii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Appropriate signatures for each custody transfer (e.g., transporter, importer, and owner or operator of the receiving facility);
262.84(d)(2)(xiii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Each person that has physical custody of the waste from the time the movement commences until it arrives at the receiving facility must sign the movement document (e.g., transporter, importer, and owner or operator of the receiving facility); and
262.84(d)(2)(xiv)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The receiving facility must send a copy of the signed movement document to confirm receipt within three working days of shipment delivery to the foreign exporter, to the competent authorities of the countries of export and transit, and for shipments received on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system.
262.84(d)(2)(xv)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Duty to return or export hazardous wastes. When a transboundary movement of hazardous wastes cannot be completed in accordance with the terms of the contract or the consent(s), the provisions of paragraph (f)(4) of this section apply. If alternative arrangements cannot be made to recover the hazardous waste in an environmentally sound manner in the United States, the hazardous waste must be returned to the country of export or exported to a third country. The provisions of paragraph (b)(6) of this section apply to any hazardous waste shipments to be exported to a third country. If the return shipment will cross any transit country, the return shipment may only occur after EPA provides notification to and obtains consent from the competent authority of the country of transit, and provides a copy of that consent to the importer.
262.84(e)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Import contract requirements.
262.84(f)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Imports of hazardous waste must occur under the terms of a valid written contract, chain of contracts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Such contracts or equivalent arrangements must be executed by the foreign exporter, importer, and the owner or operator of the receiving facility, and must specify responsibilities for each. Contracts or equivalent arrangements are valid for the purposes of this section only if persons assuming obligations under the contracts or equivalent arrangements have appropriate legal status to conduct the operations specified in the contract or equivalent arrangements.
262.84(f)(1)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Contracts or equivalent arrangements must specify the name and EPA ID number, where available, of paragraph (f)(2)(i) through (iv) of this section:
262.84(f)(2)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The foreign company from where each import shipment of hazardous waste is initiated;
262.84(f)(2)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Each person who will have physical custody of the hazardous wastes;
262.84(f)(2)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Each person who will have legal control of the hazardous wastes; and
262.84(f)(2)(iii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The receiving facility.
262.84(f)(2)(iv)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Contracts or equivalent arrangements must specify the use of a movement document in accordance with § 262.84(d).
262.84(f)(3)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Contracts or equivalent arrangements must specify which party to the contract will assume responsibility for alternate management of the hazardous wastes if their disposition cannot be carried out as described in the notification of intent to export submitted by either the foreign exporter or the importer. In such cases, contracts must specify that:
262.84(f)(4)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The transporter or receiving facility having actual possession or physical control over the hazardous wastes will immediately inform the foreign exporter and importer, and the competent authority where the shipment is located of the need to arrange alternate management or return; and
262.84(f)(4)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The person specified in the contract will assume responsibility for the adequate management of the hazardous wastes in compliance with applicable laws and regulations including, if necessary, arranging the return of the hazardous wastes and, as the case may be, shall provide the notification for re-export required in § 262.83(b)(7).
262.84(f)(4)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Contracts must specify that the importer or the receiving facility that performed interim recycling operations R12, R13, or RC16, or interim disposal operations D13 through D15 or DC15 through DC17, as appropriate, will provide the notification required in § 262.83(b)(7) prior to the re-export of hazardous wastes. The recovery and disposal operations in this paragraph are defined in § 262.81.
262.84(f)(5)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Contracts or equivalent arrangements must include provisions for financial guarantees, if required by the competent authorities of any countries concerned, in accordance with applicable national or international law requirements.
262.84(f)(6)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Financial guarantees so required are intended to provide for alternate recycling, disposal or other means of sound management of the wastes in cases where arrangements for the shipment and the recovery operations cannot be carried out as foreseen. The United States does not require such financial guarantees at this time; however, some OECD Member countries or other foreign countries do. It is the responsibility of the importer to ascertain and comply with such requirements; in some cases, persons or facilities located in those countries may refuse to enter into the necessary contracts absent specific references or certifications to financial guarantees.
NOTE TO PARAGRAPH (f)(6):
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Contracts or equivalent arrangements must contain provisions requiring each contracting party to comply with all applicable requirements of this subpart.
262.84(f)(7)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

                                                                             10
Upon request by EPA, importers or disposal or recovery facilities must submit to EPA copies of contracts, chain of contracts, or equivalent arrangements (when the movement occurs between parties controlled by the same corporate or legal entity). Information contained in the contracts or equivalent arrangements for which a claim of confidentiality is asserted in accordance with 40 CFR 2.203(b) will be treated as confidential and will be disclosed by EPA only as provided in 40 CFR 260.2.
262.84(f)(8)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Confirmation of recovery or disposal. The receiving facility must do the following:
262.84(g)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Send copies of the signed and dated confirmation of recovery or disposal, as soon as possible, but no later than thirty days after completing recovery or disposal on the waste in the shipment and no later than one calendar year following receipt of the waste, to the foreign exporter, to the competent authority of the country of export, and for shipments recycled or disposed of on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system.
262.84(g)(1)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

If the receiving facility performed any of recovery operations R12, R13, or RC16, or disposal operations D13 through D15, or DC17, the receiving facility shall promptly send copies of the confirmation of recovery or disposal that it receives from the final recovery or disposal facility within one year of shipment delivery to the final recovery or disposal facility that performed one of recovery operations R1 through R11, or RC14 to RC15, or one of disposal operations D1 through D12, or DC15 to DC16, to the competent authority of the country of export, and for confirmations received on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The recovery and disposal operations in this paragraph are defined in § 262.81.
262.84(g)(2)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Recordkeeping.
262.84(h)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The importer shall keep the following records and provide them to EPA or authorized state personnel upon request:
262.84(h)(1)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

A copy of each notification that the importer sends to EPA under paragraph (b)(1) of this section and each EPA AOC it receives in response for a period of at least three (3) years from the date the hazardous waste was accepted by the initial foreign transporter; and
262.84(h)(1)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

A copy of each contract or equivalent arrangement established per paragraph (f) of this section for at least three (3) years from the expiration date of the contract or equivalent arrangement.
262.84(h)(1)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The receiving facility shall keep the following records:
262.84(h)(2)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

A copy of each confirmation of receipt (i.e., movement document) that the receiving facility sends to the foreign exporter for at least three (3) years from the date it received the hazardous waste;
262.84(h)(2)(i)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

A copy of each confirmation of recovery or disposal that the receiving facility sends to the foreign exporter for at least three (3) years from the date that it completed processing the waste shipment;
262.84(h)(2)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

For the receiving facility that performed any of recovery operations R12, R13, or RC16, or disposal operations D13 through D15, or DC17 (recovery and disposal operations defined in § 262.81), a copy of each confirmation of recovery or disposal that the final recovery or disposal facility sent to it for at least three (3) years from the date that the final recovery or disposal facility completed processing the waste shipment; and
262.84(h)(2)(iii)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

A copy of each contract or equivalent arrangement established per paragraph (f) of this section for at least three (3) years from the expiration date of the contract or equivalent arrangement.
262.84(h)(2)(iv)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Importers and receiving facilities may satisfy these recordkeeping requirements by retaining electronically submitted documents in the importer's or receiving facility's account on EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any EPA or authorized state inspector. No importer or receiving facility may be held liable for the inability to produce such documents for inspection under this section if the importer or receiving facility can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA's Waste Import Export Tracking System (WIETS), or its successor system for which the importer or receiving facility bears no responsibility.
262.84(h)(3)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

The periods of retention referred to in this section are extended automatically during the course of any unresolved enforcement action regarding the regulated activity or as requested by the Administrator.
262.84(h)(4)
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

[Reserved]
262.85
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

[Reserved]
262.86
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

[Reserved]
262.87
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

[Reserved]
262.88
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

[Reserved]
262.89
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

Amend the Appendix to Part 262, under "II Instructions for International Shipment Block" by removing the last sentence in the instructions for Item 16.
Appendix to Part 262
9VAC20-60-18.
IBR in 9VAC20-60-262 A.
                                       X

      PART 263 -- STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

                             SUBPART A  -  GENERAL

Remove from paragraph (a), in the Note, the last paragraph, which starts as follows: "EPA and DOT worked together to develop standards "
263.10
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Revise to read: A transporter of hazardous waste that is being imported from or exported to any other country for purposes of recovery or disposal is subject to this Subpart and to all other relevant requirements of subpart H of 40 CFR part 262, including, but not limited to, 40 CFR 262.83(d) and 262.84(d) for movement documents.
263.10(d)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

      SUBPART B  -  COMPLIANCE WITH THE MANIFEST SYSTEM AND RECORDKEEPING

Revise to read: Exports. For exports of hazardous waste subject to the requirements of subpart H of 40 CFR part 262, a transporter may not accept hazardous waste without a manifest signed by the generator in accordance with this section, as appropriate, and for exports occurring under the terms of a consent issued by EPA on or after December 31, 2016, a movement document that includes all information required by 40 CFR 262.83(d).
263.20(a)(2)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Revise to read: The transporter must ensure that the manifest accompanies the hazardous waste. In the case of exports occurring under the terms of a consent issued by EPA to the exporter on or after December 31, 2016, the transporter must ensure that a movement document that includes all information required by 40 CFR 262.83(d) also accompanies the hazardous waste. In the case of imports occurring under the terms of a consent issued by EPA to the country of export or the importer on or after December 31, 2016, the transporter must ensure that a movement document that includes all information required by 40 CFR 262.84(d) also accompanies the hazardous waste.
263.20(c)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Revise to read: A shipping paper containing all the information required on the manifest (excluding the EPA identification numbers, generator certification, and signatures) and, for exports or imports occurring under the terms of a consent issued by EPA on or after December 31, 2016, a movement document that includes all information required by 40 CFR 262.83(d) or 262.84(d) accompanies the hazardous waste; and
263.20(e)(2)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Revise to read: Rail transporters must ensure that a shipping paper containing all the information required on the manifest (excluding the EPA identification numbers, generator certification, and signatures) and, for exports or imports occurring under the terms of a consent issued by EPA on or after December 31, 2016, a movement document that includes all information required by 40 CFR 262.83(d) or 262.84(d) accompanies the hazardous waste at all times.
263.20(f)(2)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Intermediate rail transporters are not required to sign the manifest, movement document, or shipping paper.
NOTE to paragraph (f)(2):
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Revise to read: Transporters who transport hazardous waste out of the United States must:
263.20(g)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Sign and date the manifest in the International Shipments block to indicate the date that the shipment left the United States;
263.20(g)(1)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Retain one copy in accordance with § 263.22(d);
263.20(g)(2)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Return a signed copy of the manifest to the generator; and
263.20(g)(3)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

For paper manifests only,
263.20(g)(4)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

Send a copy of the manifest to the e-Manifest system in accordance with the allowable methods specified in 40 CFR 264.71(a)(2)(v); and
263.20(g)(4)(i)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

                                                                              2
For shipments initiated prior to the AES filing compliance date, when instructed by the exporter to do so, give a copy of the manifest to a U.S. Customs official at the point of departure from the United States.
263.20(g)(4)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-263 A.
                                       X

PART 264 -- STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

                   SUBPART B  -  GENERAL FACILITY STANDARDS

Revise to read: The owner or operator of a facility that is arranging or has arranged to receive hazardous waste subject to 40 CFR part 262, subpart H from a foreign source must submit the following required notices:
264.12(a)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

As per 40 CFR 262.84(b), for imports where the competent authority of the country of export does not require the foreign exporter to submit to it a notification proposing export and obtain consent from EPA and the competent authorities for the countries of transit, such owner or operator of the facility, if acting as the importer, must provide notification of the proposed transboundary movement in English to EPA using the allowable methods listed in 40 CFR 262.84(b)(1) at least 60 days before the first shipment is expected to depart the country of export. The notification may cover up to one year of shipments of wastes having similar physical and chemical characteristics, the same United Nations classification, the same RCRA waste codes and OECD waste codes, and being sent from the same foreign exporter.
264.12(a)(1)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

As per 40 CFR 262.84(d)(2)(xv), a copy of the movement document bearing all required signatures within three (3) working days of receipt of the shipment to the foreign exporter; to the competent authorities of the countries of export and transit that control the shipment as an export and transit shipment of hazardous waste respectively; and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The original of the signed movement document must be maintained at the facility for at least three (3) years. The owner or operator of a facility may satisfy this recordkeeping requirement by retaining electronically submitted documents in the facility's account on EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any EPA or authorized state inspector. No owner or operator of a facility may be held liable for the inability to produce the documents for inspection under this section if the owner or operator of a facility can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA's Waste Import Export Tracking System (WIETS), or its successor system for which the owner or operator of a facility bears no responsibility.
264.12(a)(2)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

As per 40 CFR 262.84(f)(4), if the facility has physical control of the waste and it must be sent to an alternate facility or returned to the country of export, such owner or operator of the facility must inform EPA, using the allowable methods listed in 40 CFR 262.84(b)(1) of the need to return or arrange alternate management of the shipment.
264.12(a)(3)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

As per 40 CFR 262.84(g), such owner or operator shall:
264.12(a)(4)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

Send copies of the signed and dated confirmation of recovery or disposal, as soon as possible, but no later than thirty days after completing recovery or disposal on the waste in the shipment and no later than one calendar year following receipt of the waste, to the foreign exporter, to the competent authority of the country of export that controls the shipment as an export of hazardous waste, and for shipments recycled or disposed of on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system.
264.12(a)(4)(i)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

If the facility performed any of recovery operations R12, R13, or RC16, or disposal operations D13 through D15, or DC17, promptly send copies of the confirmation of recovery or disposal that it receives from the final recovery or disposal facility within one year of shipment delivery to the final recovery or disposal facility that performed one of recovery operations R1 through R11, or RC16, or one of disposal operations D1 through D12, or DC15 to DC16, to the competent authority of the country of export that controls the shipment as an export of hazardous waste, and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The recovery and disposal operations in this paragraph are defined in 40 CFR 262.81.
264.12(a)(4)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

SUBPART E  -  COMPLIANCE WITH THE MANIFEST SYSTEM, RECORDKEEPING AND REPORTING

Revise to read: The owner or operator of a facility receiving hazardous waste subject to 40 CFR part 262, subpart H from a foreign source must:
264.71(a)(3)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

Additionally list the relevant consent number from consent documentation supplied by EPA to the facility for each waste listed on the manifest, matched to the relevant list number for the waste from block 9b. If additional space is needed, the owner or operator should use a Continuation Sheet(s) (EPA Form 8700-22A); and
264.71(a)(3)(i)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

Send a copy of the manifest within thirty (30) days of delivery to EPA using the addresses listed in 40 CFR 262.82(e) until the facility can submit such a copy to the e-Manifest system per paragraph (a)(2)(v) of this section.
264.71(a)(3)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

Revise to read: As per 40 CFR 262.84(d)(2)(xv), within three (3) working days of the receipt of a shipment subject to 40 CFR part 262, subpart H, the owner or operator of a facility must provide a copy of the movement document bearing all required signatures to the foreign exporter; to the competent authorities of the countries of export and transit that control the shipment as an export and transit of hazardous waste respectively; and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The original copy of the movement document must be maintained at the facility for at least three (3) years from the date of signature. The owner or operator of a facility may satisfy this recordkeeping requirement by retaining electronically submitted documents in the facility's account on EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any EPA or authorized state inspector. No owner or operator of a facility may be held liable for the inability to produce the documents for inspection under this section if the owner or operator of a facility can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA's Waste Import Export Tracking System (WIETS), or its successor system, for which the owner or operator of a facility bears no responsibility.
264.71(d)
9VAC20-60-18.
IBR in 9VAC20-60-264 A.
                                       X

PART 265 -- INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

                   SUBPART B  -  GENERAL FACILITY STANDARDS

Revise to read: The owner or operator of a facility that is arranging or has arranged to receive hazardous waste subject to 40 CFR part 262, subpart H from a foreign source must submit the following required notices:
265.12(a)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

As per 40 CFR 262.84(b), for imports where the competent authority of the country of export does not require the foreign exporter to submit to it a notification proposing export and obtain consent from EPA and the competent authorities for the countries of transit, such owner or operator of the facility, if acting as the importer, must provide notification of the proposed transboundary movement in English to EPA using the allowable methods listed in 40 CFR 262.84(b)(1) at least 60 days before the first shipment is expected to depart the country of export. The notification may cover up to one year of shipments of wastes having similar physical and chemical characteristics, the same United Nations classification, the same RCRA waste codes and OECD waste codes, and being sent from the same foreign exporter.
265.12(a)(1)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

As per 40 CFR 262.84(d)(2)(xv), a copy of the movement document bearing all required signatures within three (3) working days of receipt of the shipment to the foreign exporter; to the competent authorities of the countries of export and transit that control the shipment as an export and transit shipment of hazardous waste respectively; and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The original of the signed movement document must be maintained at the facility for at least three (3) years. The owner or operator of a facility may satisfy this recordkeeping requirement by retaining electronically submitted documents in the facility's account on EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any EPA or authorized state inspector. No owner or operator of a facility may be held liable for the inability to produce the documents for inspection under this section if the owner or operator of a facility can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA's Waste Import Export Tracking System (WIETS), or its successor system, for which the owner or operator of a facility bears no responsibility.
265.12(a)(2)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

As per 40 CFR 262.84(f)(4), if the facility has physical control of the waste and it must be sent to an alternate facility or returned to the country of export, such owner or operator of the facility must inform EPA, using the allowable methods listed in 40 CFR 262.84(b)(1) of the need to return or arrange alternate management of the shipment.
265.12(a)(3)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

As per 40 CFR 262.84(g), such owner or operator shall:
265.12(a)(4)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

Send copies of the signed and dated confirmation of recovery or disposal, as soon as possible, but no later than thirty days after completing recovery or disposal on the waste in the shipment and no later than one calendar year following receipt of the waste, to the foreign exporter, to the competent authority of the country of export that controls the shipment as an export of hazardous waste, and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system.
265.12(a)(4)(i)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

If the facility performed any of recovery operations R12, R13, or RC16, or disposal operations D13 through D15, or DC17, promptly send copies of the confirmation of recovery or disposal that it receives from the final recovery or disposal facility within one year of shipment delivery to the final recovery or disposal facility that performed one of recovery operations R1 through R11, or RC16, or one of disposal operations D1 through D12, or DC15 to DC16, to the competent authority of the country of export that controls the shipment as an export of hazardous waste, and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The recovery and disposal operations in this paragraph are defined in 40 CFR 262.81.
265.12(a)(4)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

SUBPART E  -  COMPLIANCE WITH THE MANIFEST SYSTEM, RECORDKEEPING AND REPORTING

Revise to read: The owner or operator of a facility that receives hazardous waste subject to 40 CFR part 262, subpart H from a foreign source must:
265.71(a)(3)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

Additionally list the relevant consent number from consent documentation supplied by EPA to the facility for each waste listed on the manifest, matched to the relevant list number for the waste from block 9b. If additional space is needed, the owner or operator should use a Continuation Sheet(s) (EPA Form 8700-22A); and
265.71(a)(3)(i)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

Send a copy of the manifest to EPA using the addresses listed in 40 CFR 262.82(e) within thirty (30) days of delivery until the facility can submit such a copy to the e-Manifest system per paragraph (a)(2)(v) of this section.
265.71(a)(3)(ii)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

Revise to read: As per 40 CFR 262.84(d)(2)(xv), within three (3) working days of the receipt of a shipment subject to 40 CFR part 262, subpart H, the owner or operator of a facility must provide a copy of the movement document bearing all required signatures to the foreign exporter; to the competent authorities of the countries of export and transit that control the shipment as an export and transit shipment of hazardous waste respectively; and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The original copy of the movement document must be maintained at the facility for at least three (3) years from the date of signature. The owner or operator of a facility may satisfy this recordkeeping requirement by retaining electronically submitted documents in the facility's account on EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any EPA or authorized state inspector. No owner or operator of a facility may be held liable for the inability to produce the documents for inspection under this section if the owner or operator of a facility can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA's Waste Import Export Tracking System (WIETS), or its successor system, for which the owner or operator of a facility bears no responsibility.
265.71(d)
9VAC20-60-18.
IBR in 9VAC20-60-265 A.
                                       X

PART 266 -- STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS WASTES AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT FACILITIES

    SUBPART F  -  RECYCLABLE MATERIALS UTILIZED FOR PRECIOUS METAL RECOVERY

Revise to read: Persons who generate, transport, or store recyclable materials that are regulated under this subpart are subject to the following requirements:
266.70(b)
9VAC20-60-18.
IBR in 9VAC20-60-266 A.
                                       X

Notification requirements under section 3010 of RCRA;
266.70(b)(1)
9VAC20-60-18.
IBR in 9VAC20-60-266 A.
                                       X

Subpart B of part 262 (for generators), 40 CFR 263.20 and 263.21 (for transporters), and 40 CFR 265.71 and 265.72 (for persons who store) of this chapter; and
266.70(b)(2)
9VAC20-60-18.
IBR in 9VAC20-60-266 A.
                                       X

For precious metals exported to or imported from other countries for recovery, 40 CFR part 262, subpart H and 265.12.
266.70(b)(3)
9VAC20-60-18.
IBR in 9VAC20-60-266 A.
                                       X

            SUBPART G  -  SPENT LEAD-ACID BATTERIES BEING RECLAIMED
                                                                              5
Revise paragraphs (a)(6) and (7) and add paragraphs (a)(8), (9), and (10) to read as follows:
266.80(a)
9VAC20-60-18.
IBR in 9VAC20-60-266 A.
                                       X

                                                                              5
                             If your batteries ...
                                And if you ...
                                 Then you ...
                                  And you ...
                                 * * * * * * *
(6) Will be reclaimed through regeneration or any other means
export these batteries for reclamation in a foreign country
are exempt from 40 CFR parts 262 (except for § 262.11, § 262.12 and subpart H), 263, 264, 265, 266, 268, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA.
are subject to 40 CFR part 261, § 262.11, § 262.12, and 40 CFR part 262, subpart H.
(7) Will be reclaimed through regeneration or any other means
Transport these batteries in the U.S. to export them for reclamation in a foreign country
are exempt from 40 CFR parts 263, 264, 265, 266, 268, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA.
must comply with applicable requirements in 40 CFR part 262, subpart H.
(8) Will be reclaimed other than through regeneration
Import these batteries from foreign country and store these batteries but you aren't the reclaimer
are exempt from 40 CFR parts 262 (except for § 262.11, § 262.12 and subpart H), 263, 264, 265, 266, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA
are subject to 40 CFR parts 261, § 262.11, § 262.12, part 262 subpart H, and applicable provisions under part 268.
(9) Will be reclaimed other than through regeneration
Import these batteries from foreign country and store these batteries before you reclaim them
must comply with 40 CFR 266.80(b) and as appropriate other regulatory provisions described in 266.80(b)
are subject to 40 CFR parts 261, § 262.11, § 262.12, part 262 subpart H, and applicable provisions under part 268.
(10) Will be reclaimed other than through regeneration
Import these batteries from foreign country and don't store these batteries before you reclaim them
are exempt from 40 CFR parts 262 (except for § 262.11, § 262.12 and subpart H), 263, 264, 265, 266, 270, 124 of this chapter, and the notification requirements at section 3010 of RCRA
are subject to 40 CFR parts 261, § 262.11, § 262.12, part 262 subpart H, and applicable provisions under part 268.

PART 267 -- STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE FACILITIES OPERATING UNDER A STANDARDIZED PERMIT

SUBPART E  -  COMPLIANCE WITH THE MANIFEST SYSTEM, RECORDKEEPING AND REPORTING

Revise to read: Within 30 days after the delivery, send a copy of the manifest to the generator;
267.71(a)(4)
N/A * See State Note Below

Revise to read: Retain at the facility a copy of each manifest for at least three years from the date of delivery; and
267.71(a)(5)
N/A * See State Note Below

Add: If a facility receives hazardous waste subject to 40 CFR part 262, subpart H from a foreign source, the receiving facility must:
267.71(a)(6)
N/A * See State Note Below

Additionally list the relevant consent number from consent documentation supplied by EPA to the facility for each waste listed on the manifest, matched to the relevant list number for the waste from block 9b. If additional space is needed, the receiving facility should use a Continuation Sheet(s) (EPA Form 8700-22A); and
267.71(a)(6)(i)
N/A * See State Note Below

Mail a copy of the manifest to EPA using the addresses listed in 40 CFR 262.82(e) within thirty (30) days of delivery until the facility can submit such a copy to the e-Manifest system per 40 CFR 264.71(a)(2)(v) or 265.71(a)(2)(v).
267.71(a)(6)(ii)
N/A * See State Note Below

Revise to read: As per 40 CFR 262.84(d)(2)(xv), within three (3) working days of the receipt of a shipment subject to 40 CFR part 262, subpart H, the owner or operator of a facility must provide a copy of the movement document bearing all required signatures to the foreign exporter; to the competent authorities of the countries of export and transit that control the shipment as an export and transit shipment of hazardous waste respectively; and on or after the electronic import-export reporting compliance date, to EPA electronically using EPA's Waste Import Export Tracking System (WIETS), or its successor system. The original copy of the movement document must be maintained at the facility for at least three (3) years from the date of signature. The owner or operator of a facility may satisfy this recordkeeping requirement by retaining electronically submitted documents in the facility's account on EPA's Waste Import Export Tracking System (WIETS), or its successor system, provided that copies are readily available for viewing and production if requested by any EPA or authorized state inspector. No owner or operator of a facility may be held liable for the inability to produce the documents for inspection under this section if the owner or operator of a facility can demonstrate that the inability to produce the document is due exclusively to technical difficulty with EPA's Waste Import Export Tracking System (WIETS), or its successor system, for which the owner or operator of a facility bears no responsibility.
267.71(d)
N/A * See State Note Below

              PART 273 -- STANDARDS FOR UNIVERSAL WASTE MANAGEMENT

    SUBPART B  -  STANDARDS FOR SMALL QUANTITY HANDLERS OF UNIVERSAL WASTE

A small quantity handler of universal waste who sends universal waste to a foreign destination is subject to the requirements of 40 CFR part 262, subpart H.
273.20
9VAC20-60-18.
IBR in 9VAC20-60-273 A.
                                       X

     SUBPART C - STANDARDS FOR LARGE QUANTITY HANDLERS OF UNIVERSAL WASTE

Receipt of shipments. A large quantity handler of universal waste must keep a record of each shipment of universal waste received at the facility. The record may take the form of a log, invoice, manifest, bill of lading, movement document or other shipping document. The record for each shipment of universal waste received must include the following information:
273.39(a)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.

Shipments off-site. A large quantity handler of universal waste must keep a record of each shipment of universal waste sent from the handler to other facilities. The record may take the form of a log, invoice, manifest, bill of lading, movement document or other shipping document. The record for each shipment of universal waste sent must include the following information:
273.39(b)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.

A large quantity handler of universal waste who sends universal waste to a foreign destination is subject to the requirements of 40 CFR part 262, subpart H.
273.40
9VAC20-60-18.
IBR in 9VAC20-60-273 A.

            SUBPART D - STANDARDS FOR UNIVERSAL WASTE TRANSPORTERS

A universal waste transporter transporting a shipment of universal waste to a foreign destination is subject to the requirements of 40 CFR part 262, subpart H.
273.56
9VAC20-60-18.
IBR in 9VAC20-60-273 A.

                 SUBPART E - STANDARDS DESTINATION FACILITIES

The owner or operator of a destination facility must keep a record of each shipment of universal waste received at the facility. The record may take the form of a log, invoice, manifest, bill of lading, movement document or other shipping document. The record for each shipment of universal waste received must include the following information:
273.62(a)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.

                       SUBPART F  -  IMPORT REQUIREMENTS

Persons managing universal waste that is imported from a foreign country into the United States are subject to the requirements of 40 CFR part 262 subpart H and the applicable requirements of this part, immediately after the waste enters the United States, as indicated in paragraphs (a) through (c) of this section:
273.70
9VAC20-60-18.
IBR in 9VAC20-60-273 A.
                                       X

A universal waste transporter is subject to the universal waste transporter requirements of subpart D of this part.
273.70(a)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.
                                       X

A universal waste handler is subject to the small or large quantity handler of universal waste requirements of subparts B or C, as applicable.
273.70(b)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.
                                       X

An owner or operator of a destination facility is subject to the destination facility requirements of subpart E of this part.
273.70(c)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.
                                       X

Removed
273.70(d)
9VAC20-60-18.
IBR in 9VAC20-60-273 A.
                                       X

1 These provisions must be adopted and authorized only by states that are authorized for the rules regarding the Conditional Exemption for Small Scale Treatability Studies (July 19, 1988, 53 FR 27290) and (February 18, 1994, 59 FR 8362).

2 The Automated Export System (AES) filing compliance date referenced at 40 CFR 261.39(a)(5)(v)(B) and 262.83(a)(6)(i) was set as December 31, 2017, in 82 FR 41015 (August 29, 2017).  States should insert this date into their regulations.

3 This provision (262.12(d)) was moved to 262.18(e) in the Hazardous Waste Generator Improvements Rule (November 28, 2016, 81 FR 85732, Checklist 237).  States may replace "EPA" with the authorized state agency.

4 In the Hazardous Waste Generator Improvements Rule (November 28, 2016, 81 FR 85732, Checklist 237), this paragraph (262.41(b)) was moved to 262.41(c) and the text was revised.

5 References in several provisions in 266.80(a) made to 262.12 were revised to read as 262.18 in the Hazardous Waste Generator Improvements Rule (November 28, 2016, 81 FR 85732, Checklist 237). States may change the reference to 262.18.

6 Note that 261.5 and 262.34 were reserved and removed by the Hazardous Waste Generator Improvements Rule (November 28, 2016, 81 FR 85732, Checklist 237). The correct citation is 262.13.  States may amend 261.4(e)(1) by replacing "40 CFR 261.5 and 262.34(d)" with "262.13."

7 The addresses in this section were changed by the following notice: (August 6, 2018, 83 FR 38263. States should replace the address in these sections with the new address. The following is the applicable language from the first part of the provisions:
Prior to one year after the AES filing compliance date, annual reports must be sent to the following mailing address: Office of Land and Emergency Management, Office of Resource Conservation and Recovery, Materials Recovery and Waste Management Division, International Branch (Mail Code 2255A), Environmental Protection Agency, 1200 Pennsylvania Ave. NW, Washington, DC 20460. Hand-delivered annual reports on used CRTs exported during 2016 should be sent to: Office of Land and Emergency Management, Office of Resource Conservation and Recovery, Materials Recovery and Waste Management Division, International Branch (Mail Code 2255A), Environmental Protection Agency, William Jefferson Clinton South Building, Room 6144, 1200 Pennsylvania Ave. NW, Washington, DC 20004.

8 Note that this rule deletes the definition of "recovery facility" from 262.81. This rule also moved the definition of "recognized trader" from 262.61 to 260.10.

9	Note that former provisions in 262.83(b)(2)(i) and (ii) are deleted by this rule.

10 Note that this provision was amended by the rule: Confidentiality Determinations for Hazardous Waste Export and Import Documents (August 29, 2017, 82 FR 41015), Checklist 238, by deleting the last sentence, which is struck out in this checklist.

 Virginia- It appears that Virginia may have been authorized for Part 267 between 2005 and 2006. However, the Standardized Permits, Part 267 was not included in our published regulations. Virginia intends to correct this omission by including Part 267 in our next annual update.


[Federal Register Volume 86, Number 154 (Friday, August 13, 2021)]
[Notices]
[Pages 44765-44766]
[FR Doc No: 2021-17304]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92614; No. SR-NYSEArca-2021-69]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE
Arca Options Fee Schedule

August 9, 2021.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on August 4, 2021, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. 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\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    The Exchange proposes to modify the NYSE Arca Options Fee Schedule
(``Fee Schedule''). The Exchange proposes to implement the fee change
effective August 4, 2021. The proposed rule change is available on the
Exchange's website at www.nyse.com, at the principal office of the
Exchange, 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 self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The purpose of this filing is to amend the Fee Schedule to remove
language associated with a fee waiver and a credit that expired at the
close of business on June 30, 2021.
    On March 18, 2020, the Exchange announced that it would temporarily
close the Trading Floor, effective March 23, 2020, as a precautionary
measure to prevent the potential spread of COVID-19. Following the
temporary closure of the Trading Floor, the Exchange waived certain
Floor-based fixed fees for April and May 2020.\4\ Although the Trading
Floor partially reopened on May 4, 2020 and Floor-based open outcry
activity was supported, certain participants were unable to resume pre-
Floor closure levels of operations. As a result, the Exchange extended
the fee waiver through June 2021, but only for Floor Broker firms that
were unable to operate at more than 50% of their March 2020 on-Floor
staffing levels and for Market Maker firms that had vacant or
``unmanned'' Podia for the entire month due to COVID-19 related
considerations (the ``Qualifying Firms'').\5\
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release Nos. 88596 (April 8,
2020), 85 FR 20796 (April 14, 2020) (SR-NYSEArca-2020-29); 88812
(May 5, 2020), 85 FR 27787 (May 11, 2020) (SR-NYSEArca-2020-38).
    \5\ See Securities Exchange Act Release Nos. 89038 (June 10,
2020), 85 FR 36447 (June 16, 2020) (SR-NYSEArca-2020-52); 89242
(June 7, 2020), 85 FR 42037 (July 13, 2020) (SR-NYSEArca-2020-60);
89480 (August 5, 2020), 85 FR 48591 (August 11, 2020) (SR-NYSEArca-
2020-69); 89694 (August 27, 2020), 85 FR 54608 (September 2, 2020)
(SRNYSEArca-2020-76); 90191 (October 15, 2020), 85 FR 67032 (October
21, 2020) (SRNYSEArca-2020-90); 90838 (December 31, 2020), 86 FR 657
(January 6, 2021) (SRNYSEArca-2020-115), 91372 (March 18, 2021) 86
FR 15980 (March 25, 2021) (SR-NYSEArca-2021-18).
---------------------------------------------------------------------------

    Because the Trading Floor continued to operate with reduced
capacity, the Exchange extended the fee waiver for Qualifying Firms
through ``the earlier of the first full month of a full reopening of
the Trading Floor facilities to Floor personnel or June 2021''. The
Trading Floor re-opened without social distancing requirements for
vaccinated personnel on May 12, 2021.
    Additionally, in May 2021, the Exchange implemented an incentive to
encourage Floor Brokers to increase their Professional Customer
billable volume.\6\ Specifically, the Exchange offered Floor Brokers a
credit of $0.13 per contract for each billable

Professional Customer contract that exceeded a baseline average daily
volume for the month. This fee incentive was adopted with a stated
expiration at the close of business on June 30, 2021.
---------------------------------------------------------------------------

    \6\ See Exchange Act Release No. 91936 (May 19, 2021) 86 FR
28178 (May 25, 2021) (SR-NYSEArca-2021-41).
---------------------------------------------------------------------------

    As the expiration date for both the fee waiver and the fee
incentive has passed, the Exchange is submitting this proposed rule
change to remove language related to the fee waiver and the fee
incentive from the Fee Schedule.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\7\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\8\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers or dealers.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(4) and (5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed modifications to the Fee
Schedule to remove an expired fee waiver and an expired fee incentive
that the Exchange no longer offers are reasonable, equitable, and not
unfairly discriminatory because the changes would provide clarity to
the Fee Schedule, and do not affect any current activity by any OTP
Holder or OTP Firm.

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

    In accordance with Section 6(b)(8) of the Act, the Exchange does
not believe that the proposed rule change would impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, the proposed change is meant to add
clarity and transparency to the Fee Schedule to the benefit of all
market participants that trade on the Exchange.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \9\ of the Act and subparagraph (f)(2) of Rule 19b-
4 \10\ thereunder, because it establishes a due, fee, or other charge
imposed by the Exchange.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \11\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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-NYSEArca-2021-69 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-NYSEArca-2021-69. 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-NYSEArca-2021-69, and should be
submitted on or before September 3, 2021.
---------------------------------------------------------------------------

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-17304 Filed 8-12-21; 8:45 am]
BILLING CODE 8011-01-P