[Federal Register: April 25, 2007 (Volume 72, Number 79)]
[Rules and Regulations]
[Page 20436-20439]
[DOCID:fr25ap07-8]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 180

[EPA-HQ-OPP-2007-0224; FRL-8121-2]

Propiconazole; Pesticide Tolerances for Emergency Exemptions

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: This regulation establishes time-limited tolerances for
combined residues of propiconazole and its metabolites containing the
dichlorobenzoic acid (DCBA) moiety expressed as parent compound, in or
on peach and nectarine. This action is in response to EPA's granting of
emergency exemptions under section 18 of the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA) authorizing use of the pesticide
on peach and nectarine as a post-harvest treatment. This regulation
establishes maximum permissible levels for residues of propiconazole in
these food commodities. The tolerances expire and are revoked on
December 31, 2010.

DATES: This regulation is effective April 25, 2007. Objections and
requests for hearings must be received on or before June 25, 2007, and
must be filed in accordance with the instructions provided in 40 CFR
part 178 (see also Unit I.C. of the SUPPLEMENTARY INFORMATION.

ADDRESSES: EPA has established a docket for this action under docket
identification (ID) number EPA-HQ-OPP-2007-0224. To access the
electronic docket, go to http://www.regulations.gov, select ``Advanced

Search,'' then ``Docket Search.'' Insert the docket ID number where
indicated and select the ``Submit'' button. Follow the instructions on
the regulations.gov web site to view the docket index or access
available documents. All documents in the docket are listed in the
docket index available in regulations.gov. Although listed in the
index, some information is not publicly available, e.g., Confidential
Business Information (CBI) or other information whose disclosure is
restricted by statute. Certain other material, such as copyrighted
material, is not placed on the Internet and will be publicly available
only in hard copy form. Publicly available docket materials are
available either in the electronic docket at http://www.regulations.gov
, or, if only available in hard copy, at the Office

of Pesticide Programs (OPP) Regulatory Public Docket in Rm. S-4400, One
Potomac Yard (South Bldg.), 2777 S. Crystal Dr., VA. The hours of
operation of this Docket Facility are from 8:30 a.m. to 4 p.m., Monday
through Friday, excluding legal holidays. The Docket telephone number
is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Andrea Conrath, Registration Division
(7505P), Office of Pesticide Programs, Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone
number:<PHONE_NUMBER>; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    You may be potentially affected by this action if you are an
agricultural producer, food manufacturer, or pesticide manufacturer.
Potentially affected entities may include, but are not limited to:
     Crop production (NAICS code 111).
     Animal production (NAICS code 112).
     Food manufacturing (NAICS code 311).
     Pesticide manufacturing (NAICS code 32532).
    This listing is not intended to be exhaustive, but rather provides
a guide for readers regarding entities likely to be affected by this
action. Other types of entities not listed in this unit could also be
affected. The North American Industrial Classification System (NAICS)
codes have been provided to assist you and others in determining
whether this action might apply to certain entities. If you have any
questions regarding the applicability of this action to a particular
entity, consult the person listed under FOR FURTHER INFORMATION
CONTACT.

 B. How Can I Access Electronic Copies of this Document?

    In addition to accessing an electronic copy of this Federal
Register document through the electronic docket at http://www.regulations.gov
, you may access this Federal Register document

electronically through the EPA Internet under the ``Federal Register''
listings at http://www.epa.gov/fedrgstr. You may also access a

frequently updated electronic version of 40 CFR part 180 through the
Government Printing Office's pilot e-CFR site at http://www.gpoaccess.gov/ecfr
.

C. Can I File an Objection or Hearing Request?

    Under section 408(g) of the FFDCA, as amended by the FQPA, any
person may file an objection to any aspect of this regulation and may
also request a hearing on those objections. The EPA procedural
regulations which govern the submission of objections and requests for
hearings appear in 40 CFR part 178. You must file your objection or
request a hearing on this regulation in accordance with the
instructions provided in 40 CFR part 178. To ensure proper receipt by
EPA, you must identify docket ID number EPA-HQ-OPP-2007-0224 in the
subject line on the first page of your submission. All requests must be
in writing, and must be mailed or delivered to the Hearing Clerk on or
before June 25, 2007.
    In addition to filing an objection or hearing request with the
Hearing Clerk as described in 40 CFR part 178, please submit a copy of
the filing that does not contain any CBI for inclusion in the public
docket that is described in ADDRESSES. Information not marked
confidential pursuant to 40 CFR part 2 may be disclosed publicly by EPA
without prior notice. Submit your copies, identified by docket ID
number EPA-HQ-OPP-2007-0224, by one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.

Follow the on-line instructions for submitting comments.
     Mail: Office of Pesticide Programs (OPP) Regulatory Public
Docket (7502P), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460-0001.
     Delivery: OPP Regulatory Public Docket (7502P),
Environmental Protection Agency, Rm. S-4400, One Potomac Yard (South
Bldg), 2777 S. Crystal Dr., Arlington, VA. Deliveries are only accepted
during the Docket's normal hours of operation (8:30 a.m. to 4 p.m.,
Monday through Friday,

excluding legal holidays). Special arrangements should be made for
deliveries of boxed information. The Docket telephone number is (703)
305-5805.

II. Background and Statutory Findings

    EPA, on its own initiative, in accordance with sections 408(e) and
408 (l)(6) of the Federal Food, Drug, and Cosmetic Act (FFDCA), 21
U.S.C. 346a, is establishing tolerances for combined residues of the
fungicide propiconazole, and its metabolites containing the
dichlorobenzoic acid (2,4-DCBA) moiety expressed as parent compound, in
or on peach and nectarine at 2.0 parts per million (ppm). These
tolerances expire and are revoked on December 31, 2010. EPA will
publish a document in the Federal Register to remove the revoked
tolerances from the Code of Federal Regulations (CFR).
    Section 408(l)(6) of the FFDCA requires EPA to establish a time-
limited tolerance or exemption from the requirement for a tolerance for
pesticide chemical residues in food that will result from the use of a
pesticide under an emergency exemption granted by EPA under section 18
of FIFRA. Such tolerances can be established without providing notice
or period for public comment. EPA does not intend for its actions on
section 18 related tolerances to set binding precedents for the
application of section 408 of the FFDCA and the new safety standard to
other tolerances and exemptions. Section 408(e) of the FFDCA allows EPA
to establish a tolerance or an exemption from the requirement of a
tolerance on its own initiative, i.e., without having received any
petition from an outside party.
    Section 408(b)(2)(A)(i) of the FFDCA allows EPA to establish a
tolerance (the legal limit for a pesticide chemical residue in or on a
food) only if EPA determines that the tolerance is ``safe.'' Section
408(b)(2)(A)(ii) of the FFDCA defines ``safe'' to mean that ``there is
a reasonable certainty that no harm will result from aggregate exposure
to the pesticide chemical residue, including all anticipated dietary
exposures and all other exposures for which there is reliable
information.'' This includes exposure through drinking water and in
residential settings, but does not include occupational exposure.
Section 408(b)(2)(C) of the FFDCA requires EPA to give special
consideration to exposure of infants and children to the pesticide
chemical residue in establishing a tolerance and to ``ensure that there
is a reasonable certainty that no harm will result to infants and
children from aggregate exposure to the pesticide chemical residue. . .
.''
    Section 18 of the FIFRA authorizes EPA to exempt any Federal or
State agency from any provision of FIFRA, if EPA determines that
``emergency conditions exist which require such exemption.'' This
provision was not amended by the Food Quality Protection Act of 1996
(FQPA). EPA has established regulations governing such emergency
exemptions in 40 CFR part 166.

III. Emergency Exemption for Propiconazole as a Post-Harvest Treatment
on Peach and Nectarine and FFDCA Tolerances

    The applicant states that market demands have required producers to
change storage practices for peaches and nectarines, and allow a pre-
ripening time of 48 hours at 68[deg]F to enhance fruit quality, prior
to placing the fruit in cold storage at 32[deg]F. This extra step has
inadvertently fostered increased incidence of sour rot which has caused
significant losses to growers. The current storage conditions used were
developed to improve fruit quality and satisfy customer demands;
returning to previous storage conditions would not result in acceptable
fruit quality for the industry or consumer. Without the ability to
adequately manage sour rot, economic data provided indicates that
significant economic losses will occur. EPA has authorized under FIFRA
section 18 the use of propiconazole on peach and nectarine as a post-
harvest treatment, for control of sour rot in California. After having
reviewed the submission, EPA concurs that emergency conditions exist
for this State.
    As part of its assessment of this emergency exemption, EPA assessed
the potential risks presented by residues of propiconazole in or on
peach and nectarine. In doing so, EPA considered the safety standard in
section 408(b)(2) of the FFDCA, and EPA decided that the necessary
tolerance under section 408(l)(6) of the FFDCA would be consistent with
the safety standard and with FIFRA section 18. Consistent with the need
to move quickly on the emergency exemption in order to address an
urgent non-routine situation and to ensure that the resulting food is
safe and lawful, EPA is issuing these tolerances without notice and
opportunity for public comment as provided in section 408(l)(6) of the
FFDCA. Although these tolerances expire and are revoked on December 31,
2010, under section 408(l)(5) of the FFDCA, residues of the pesticide
not in excess of the amounts specified in the tolerances remaining in
or on peach and nectarine after that date will not be unlawful,
provided the pesticide is applied in a manner that was lawful under
FIFRA, and the residues do not exceed a level that was authorized by
these tolerances at the time of that application. EPA will take action
to revoke these tolerances earlier if any experience with, scientific
data on, or other relevant information on this pesticide indicate that
the residues are not safe.
    Because these tolerances are being approved under emergency
conditions, EPA has not made any decisions about whether propiconazole
meets EPA's registration requirements for use on peach and nectarine as
a post-harvest treatment or whether permanent tolerance for these uses
would be appropriate. Under these circumstances, EPA does not believe
that these tolerances serve as bases for registration of propiconazole
by a State for special local needs under section 24(c) of FIFRA. Nor do
these tolerances serve as the basis for any State other than California
to use this pesticide on these crops under section 18 of FIFRA without
following all provisions of EPA's regulations implementing FIFRA
section 18 as identified in 40 CFR part 166. For additional information
regarding the emergency exemption for propiconazole, contact the
Agency's Registration Division at the address provided under FOR
FURTHER INFORMATION CONTACT.

IV. Aggregate Risk Assessment and Determination of Safety

    EPA performs a number of analyses to determine the risks from
aggregate exposure to pesticide residues. For further discussion of the
regulatory requirements of section 408 of the FFDCA and a complete
description of the risk assessment process, see http://www.epa.gov/fedrgstr/EPA-PEST/1997/November/Day-26/p30948.htm
.

    Consistent with section 408(b)(2)(D) of the FFDCA , EPA has
reviewed the available scientific data and other relevant information
in support of this action. EPA has sufficient data to assess the
hazards of propiconazole and to make a determination on aggregate
exposure, consistent with section 408(b)(2) of the FFDCA, for time-
limited tolerances for combined residues or residues of propiconazole
in or on peach and nectarine at 2.0 ppm. While this post-harvest use
under section 18 is not expected to result in residues exceeding 1.0
ppm, there is a pre-harvest use registered for use on stone fruit
(includes peach and nectarine) for which a permanent tolerance is

established at 1.0 ppm. Therefore, EPA does not expect total residues
from both of these uses to exceed 2.0 ppm in or on peach and nectarine.
    On September 22, 2006 the Agency published a Final Rule (71 FR
55300, FRL-8092-1) establishing tolerances for combined residues of
propiconazole and its metabolites containing the dichlorobenzoic acid
(2,4-DCBA) moiety expressed as parent compound, in or on various
commodities; and inadvertent residues in or on alfalfa, forage, and
alfalfa, hay. When the Agency conducted the risk assessments in support
of these tolerance actions it assumed that propiconazole residues would
be present on peach and nectarine at 2.0 ppm, in association with this
section 18 post-harvest use and the already registered pre-harvest use
(for which there is a permanent tolerance established at 1.0 ppm), as
well as on all foods covered by the proposed and established
tolerances. Residues on peach and nectarine were included because there
was a pending emergency exemption application under the Federal
Insecticide, Fungicide, and Rodenticide Act, 7 U.S.C. 136 et seq., for
emergency post-harvest use on these commodities. Therefore,
establishing the peach and nectarine tolerances will not change the
most recent estimated aggregate risks resulting from use of
propiconazole, as discussed in the September 22, 2006 Federal Register.
Refer to the September 22, 2006 Federal Register document, and its
associated docket EPA-HQ-OPP-2006-0347, for a detailed discussion of
the aggregate risk assessments and determination of safety. EPA relies
upon those risk assessments and the findings made in the Federal
Register document in support of this action.
    Based on the risk assessments discussed in the final rule published
in the Federal Register of September 22, 2006, EPA concludes that there
is a reasonable certainty that no harm will result to the general
population, and to infants and children from aggregate exposure to
propiconazole residues. The September 22, 2006 final rule contains a
docket that has a risk assessment that describes the exposure and
safety findings in detail.

V. Other Considerations

A. Analytical Enforcement Methodology

    Adequate enforcement methodology (a gas chromatography (GC) method
using electron capture detection (Method AG-454) is available to
enforce the tolerance expression. The method may be requested from:
Chief, Analytical Chemistry Branch, Environmental Science Center, 701
Mapes Rd., Ft. Meade, MD 20755-5350; telephone number:<PHONE_NUMBER>;
e-mail address<EMAIL_ADDRESS>
B. International Residue Limits

    The Codex Alimentarious Commission has established a maximum
residue limit (MRL) for propiconazole in/on stone fruit, which includes
peach and nectarine, at 1.0 ppm, expressed in terms of propiconazole
per se. In addition, Canada has established MRLs on peach and nectarine
of 1.0 ppm, expressed as propiconazole and its metabolites including
the 2,4-DCBA moiety. As discussed above, there is a permanent U.S.
tolerance set at 1.0 ppm for the stone fruit crop group, in association
with a registered pre-harvest use. Therefore, to the extent possible,
the U.S. tolerances are numerically harmonized with Codex and Canada.
However, this section 18 emergency use represents a difference in the
use pattern and the supporting residue data indicates a tolerance of
2.0 ppm will be necessary to cover total residues which may occur as a
result of both the registered pre-harvest use, as well as this section
18 post-harvest use. A summary of Codex MRLs, Canadian MRLs, and
Mexican tolerances and the corresponding U.S. tolerances for
propiconazole is discussed at http://www.regulations.gov Docket No.

EPA-HQ-OPP-2006-0347-0004; pages 53-54.

VI. Conclusion

    Therefore, the tolerances are established for combined residues of
propiconazole, and its metabolites containing the dichlorobenzoic acid
(DCBA) moiety expressed as parent compound in or on peach and nectarine
at 2.0 ppm.

VII. Statutory and Executive Order Reviews

    This final rule establishes a tolerance under section 408(d) of
FFDCA in response to a petition submitted to the Agency. The Office of
Management and Budget (OMB) has exempted these types of actions from
review under Executive Order 12866, entitled Regulatory Planning and
Review (58 FR 51735, October 4, 1993). Because this rule has been
exempted from review under Executive Order 12866, this rule is not
subject to Executive Order 13211, Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use (66 FR 28355,
May 22, 2001) or Executive Order 13045, entitled Protection of Children
from Environmental Health Risks and Safety Risks (62 FR 19885, April
23, 1997). This final rule does not contain any information collections
subject to OMB approval under the Paperwork Reduction Act (PRA), 44
U.S.C. 3501 et seq., nor does it require any special considerations
under Executive Order 12898, entitled Federal Actions to Address
Environmental Justice in Minority Populations and Low-Income
Populations (59 FR 7629, February 16, 1994).
    Since tolerances and exemptions that are established on the basis
of a petition under section 408(d) of FFDCA, such as the tolerance in
this final rule, do not require the issuance of a proposed rule, the
requirements of the Regulatory Flexibility Act (RFA) (5 U.S.C. 601 et
seq.) do not apply.
    This final rule directly regulates growers, food processors, food
handlers and food retailers, not States or tribes, nor does this action
alter the relationships or distribution of power and responsibilities
established by Congress in the preemption provisions of section
408(n)(4) of FFDCA. As such, the Agency has determined that this action
will not have a substantial direct effect on States or tribal
governments, on the relationship between the national government and
the States or tribal governments, or on the distribution of power and
responsibilities among the various levels of government or between the
Federal Government and Indian tribes. Thus, the Agency has determined
that Executive Order 13132, entitled Federalism (64 FR 43255, August
10, 1999) and Executive Order 13175, entitled Consultation and
Coordination with Indian Tribal Governments (65 FR 67249, November 6,
2000) do not apply to this rule. In addition, This rule does not impose
any enforceable duty or contain any unfunded mandate as described under
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) (Public Law
104-4).
    This action does not involve any technical standards that would
require Agency consideration of voluntary consensus standards pursuant
to section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (NTTAA), Public Law 104-113, section 12(d) (15 U.S.C. 272
note).

VIII. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report to each House of the Congress and to
the Comptroller General of the United States. EPA will submit a report
containing this rule and other required information to the U.S. Senate,
the U.S. House of

Representatives, and the Comptroller General of the United States prior
to publication of this final rule in the Federal Register. This final
rule is not a ``major rule'' as defined by 5 U.S.C. 804(2).

List of Subjects in 40 CFR Part 180

    Environmental protection, Administrative practice and procedure,
Agricultural commodities, Pesticides and pests, Reporting and
recordkeeping requirements.

    Dated: April 12, 2007.
Donald R. Stubbs,
Acting Director, Registration Division, Office of Pesticide Programs.

0
Therefore, 40 CFR chapter I is amended as follows:

PART 180--[AMENDED]

0
1. The authority citation for part 180 continues to read as follows:

    Authority: 21 U.S.C. 321(q), 346a and 371.

0
2. Section 180.434 is amended by adding text and table to paragraph (b)
to read as follows:

 Sec. 180.434  Propiconazole; tolerances for residue.

* * * * *
    (b) Section 18 emergency exemptions. Time-limited tolerances are
established for residues of propiconazole (1-[[2-(2,4-dichlorophenyl)-
4-propyl-1,3-dioxolan-2-yl] methyl]-1H-1,2,4-triazole) and its
metabolites determined as 2,4-dichlorobenzoic acid and expressed as
parent compound, in connection with use of the pesticide under section
18 emergency exemptions granted by EPA. The tolerances will expire and
are revoked on the dates specified in the following table:

------------------------------------------------------------------------
                                                  Expiration/revocation
          Commodity           Parts per million            date
------------------------------------------------------------------------
Nectarine...................                2.0               12/31/2010
Peach.......................                2.0               12/31/2010
------------------------------------------------------------------------

* * * * *
[FR Doc. E7-7678 Filed 4-24-07; 8:45 am]

BILLING CODE 6560-50-S


[Federal Register Volume 81, Number 181 (Monday, September 19, 2016)]
[Proposed Rules]
[Pages 64085-64088]
[FR Doc No: 2016-21966]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 193

[Docket No. FAA-2006-24855]

Voluntary Disclosure Reporting Program

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed order designating information as protected
from disclosure.

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SUMMARY: This notice describes a proposed order through which the
Federal Aviation Administration plans to designate a certain category
of information as protected from public disclosure pursuant to a
Voluntary Disclosure Reporting Program. The Federal Aviation
Administration is required to protect the information from disclosure
to the public, including disclosure required by statute, such as the
Freedom of Information Act, following issuance of an order designating
the information as protected. The instant designation is intended to
encourage participation in the Voluntary Disclosure Reporting Program.

DATES: Comments must be received on or before October 19, 2016.

ADDRESSES: Send comments identified by Docket Number FAA-2006-24855
using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
     Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at<PHONE_NUMBER>.
    Privacy: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

    Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the Docket Operations in Room W12-140
of the West Building Ground Floor at 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For questions concerning this action,
contact Scott Crosier, ASI/Manager, Voluntary Disclosure Reporting
Program (VDRP), Air Carrier Training Systems and Voluntary Safety
Programs Branch, AFS-280, Federal Aviation Administration, 800
Independence Avenue SW., Washington, DC 20591; telephone: (703) 661-
0278; email<EMAIL_ADDRESS>Or, Hillary Heintz, AIR Compliance
and Enforcement Program Manager, Aircraft Certification Service, AIR-
150, 950 L'Enfant Plaza N SW., Washington, DC 20024; telephone (202)
267-1446; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Authority for This Designation

    The FAA sets forth this designation pursuant to title 49 of the
United States Code (49 U.S.C.) section 40123 and title 14, Code of
Federal Regulations (14 CFR), part 193.

II. Overview of Proposed Designation

    On August 17, 2006, the Federal Aviation Administration (FAA)
issued FAA Order 8000.89, Designation of Voluntary Disclosure Reporting
Program (VDRP) Information as Protected from Public Disclosure under
part 193. The FAA published the Notice of Order in the Federal
Register. 71 FR 54405 (Sept. 15, 2006).
    This Proposed Order Designating Information as Protected from
Disclosure will retain the current protection provided for disclosures
under FAA Order 8000.89 while also designating disclosures to the
agency by entities as provided in Advisory Circular (AC) 00-68 as
protected from public disclosure in accordance with the provisions of
part 193. The comment period for the contents of AC 00-68 opened on
June 12, 2015 and closed on August 7, 2015.

III. Background

    Under 49 U.S.C. 40123, certain voluntarily provided safety and
security information is protected from disclosure to encourage persons
to provide the information to the FAA. The FAA must issue an order
making certain findings before the information is protected from
disclosure. The FAA's rules implementing that section are in part 193.
If the Administrator issues an order designating information as
protected under 49 U.S.C. 40123, that information will not be disclosed
under the Freedom of Information Act (5 U.S.C. 552) or other laws
except as provided in 49 U.S.C. 40123, 14 CFR part 193, and the order
designating the information as protected. This proposed order is issued
under Sec.  193.11, which sets out the notice procedure for designating
information as protected.

IV. Discussion of the Proposal

Summary of the VDRP Voluntary Information Sharing Program

    A. Who may participate: Regulated entities as provided in AC 00-58,
as amended, AC 00-68, and AC 121-37.
    B. What voluntarily provided information would be protected from
disclosure under this proposed designation: The content of all
submissions by a regulated entity that are accepted under the VDRP,
including, but not limited to, all of the items listed under Proposed
Findings, Paragraph IV D(2) below.
    C. How persons would participate: Regulated entities participate by
notification of an apparent violation to the FAA by the regulated
entity in accordance with the VDRP reporting procedures, and completion
of corrective actions in accordance with AC 00-58, as amended, AC 00-
68, and AC 121-37.
    D. Duration of this information sharing program: This information
sharing program would continue in effect indefinitely, unless the FAA
terminates the VDRP, or until the order of designation under part 193
for the VDRP is withdrawn by the FAA.

Proposed Findings

    The FAA proposes to designate information received under the VDRP
as protected under 49 U.S.C. 40123 and 14 CFR 193.7 based on the
following findings:
    (1) Summary of why the FAA finds that the information will be
provided voluntarily.
    The FAA finds that the information will be provided voluntarily. No
regulated entity is required to participate in the VDRP. Initiation of
submissions under the VDRP are indicative of the willingness of
regulated entities to identify and correct their own instances of
regulatory noncompliance, develop long term comprehensive fixes or
corrective action plans, and foster safe operating practices.
    (2) Description of the type of information that may be voluntarily
provided under the program and a summary of why the FAA finds that the
information is safety or security related.
    The information that would be voluntarily submitted under a VDRP is
described in AC 00-58, as amended, AC 00-68, and AC 121-37. Because the
Federal Aviation Regulations specify the minimum requirements for
safety, and VDRP submissions entail violations of those regulations,
the information is inherently safety related. It would include the
following:
    (a) Information contained in an initial notification to the FAA:
--A brief description of the apparent violation, including an estimate
of the duration of time that it remained undetected, as well as how and
when it was discovered;
--Verification that noncompliance ceased after it was identified;
--A brief description of the immediate action taken after the apparent
violation was identified, the immediate action taken to terminate the
conduct that resulted in the apparent violation, and the person
responsible for taking the immediate action;
--Verification that an evaluation is underway to determine if there are
any systemic problems;
--Identification of the person responsible for preparing the
comprehensive fix for disclosures under AC 00-58, as amended, and AC
121-37, or the corrective action plan for disclosures under AC 00-68;
and
--Acknowledgment that a detailed written report will be provided to the
designated FAA official within the timeframe specified in AC 00-58, as
amended, AC 121-37, or AC 00-68, as amended.
    (b) Information contained in a detailed written report:
--A list of the specific FAA regulations that may have been violated;
--A description of the apparent violation, including the duration of
time it remained undetected, as well as how and when it was detected;
--A description of the immediate action taken to terminate the conduct
that resulted in the apparent violation, including when it was taken,
and who was responsible for taking the action;
--An explanation that shows the apparent violation was inadvertent;
--Evidence that demonstrates the seriousness of the apparent violation
and the regulated entity's analysis of that evidence;
--A detailed description of the proposed comprehensive fix or
corrective action plan, outlining the planned corrective steps, the
responsibilities for implementing

those corrective steps, and a time schedule for completion of the fix;
and
--Identification of the company official responsible for monitoring the
implementation and completion of the comprehensive fix.
    (c) FAA generated documentation and electronic information that is
directly associated with an accepted VDRP submission, including, but
not limited to:
--Acknowledgment of receipt of a VDRP submission;
--Notification of VDRP acceptance, request for modification, or
rejection;
--Routine correspondence directly associated with a VDRP submission;
--FAA records directly associated with FAA monitoring of a
comprehensive fix or corrective action plan;
--FAA Letter of Correction in accordance with AC 121-37 or, written
notification in accordance with AC 00-58, as amended, and AC 00-68, as
amended, for an accepted VDRP submission; and
--All FAA electronic databases of VDRP submissions and FAA responses.
    (d) Information contained in a report submitted to the FAA under
the informal voluntary disclosure reporting process described in AC 00-
68, as amended, including, but not limited to:
--A description of the apparent noncompliance;
--A causal analysis of the apparent noncompliance;
--The corrective action(s) taken or planned; and
--The date by which the regulated entity will complete the corrective
action(s).
    (3) Summary of why the FAA finds that the disclosure of the
information would inhibit persons from voluntarily providing that type
of information.
    The FAA finds that disclosure of the information would inhibit the
voluntary provision of that type of information. Regulated entities are
reluctant to voluntarily disclose instances of regulatory noncompliance
if such submissions might be subject to public disclosure. A
significant impediment to participation in the VDRP is concern over
public disclosure of the information, and, if disclosed, the potential
for it to be used for other than the system safety enhancement purposes
for which the VDRP was created. Withholding such information from
disclosure is consistent with the FAA's safety and security
responsibilities because, unless the FAA can provide assurance that it
will not be disclosed, regulated entities will be reluctant to
participate in the program. Information received under the VDRP will be
identified as such in each FAA line of business's central database used
to track submissions. To encourage continued use of the VDRP, the FAA
will not keep the identity of persons reporting, or detailed
information about disclosures, under that program in any central
database.
    The FAA finds that by virtue of designating information provided
under the VDRP as protected under part 193, the reluctance of regulated
entities to participate due to concerns about possible disclosure of
the information will be mitigated. In addition, FAA will be able to
retain more information about the disclosures, including the identity
of the reporters, in an FAA database, without negatively impacting
participation in the VDRP. Disclosures under the VDRP enable the FAA to
become aware of many more instances of regulatory noncompliance than it
otherwise would and, moreover, the VDRP permits the FAA to assure that
appropriate corrective action is taken. If regulated entities do not
participate, the FAA and the public will be deprived of the opportunity
to make the system safety improvements that receipt of the information
otherwise enables.
    (4) Summary of why the receipt of that type of information aids in
fulfilling the FAA's safety and security responsibilities.
    The FAA finds that receipt of VDRP information aids in fulfilling
the FAA's safety and security responsibilities. A primary purpose of
FAA regulations is to assure public safety. Because the VDRP identifies
and corrects instances of regulatory noncompliance of which the FAA may
be otherwise unaware, the program offers significant potential for
enhancement of public safety. Receipt of this otherwise unavailable
information would also provide the FAA with an improved basis for
modifying procedures, policies, and regulations to improve safety and
efficiency.
    (5) Summary of why withholding such information from disclosure
would be consistent with the FAA's safety and security
responsibilities, including a statement as to the circumstances under
which, and a summary of why, withholding such information from
disclosure would not be consistent with the FAA's safety and security
responsibilities, as described in Sec.  193.9.
    The FAA finds that withholding VDRP information provided to the FAA
is consistent with the FAA's safety responsibilities. The VDRP
specifically provides that appropriate corrective action must be taken
by the regulated entity for all instances of regulatory noncompliance
accepted under the program. To be accepted by the FAA, apparent
violations disclosed under the program must be inadvertent, and, where
applicable, must not indicate a lack, or reasonable question of a lack,
of qualification of the regulated entity. Corrective action under the
VDRP can be accomplished by the regulated entity and verified by the
FAA without disclosure of the protected information. If the FAA
determines that the steps taken by the entity are not those documented
in the written report, the submission may be excluded from the VDRP,
and appropriate legal enforcement action may be initiated.
    The FAA will release information submitted under a VDRP as
specified in part 193 and this proposed order. The FAA may disclose de-
identified summary information to explain the need for changes in FAA
policies, procedures, and regulations. The term ``de-identified'' means
that the identity of the source of the information and the names of the
regulated entity, employees, and other persons, as well as any other
information that could be used to ascertain the identity of the
submitter have been redacted. The FAA may disclose de-identified,
summarized VDRP information that identifies a systemic problem in the
aviation system, when other persons need to be advised of the problem
so that they can take corrective action. The FAA may disclose de-
identified aggregate statistical information concerning VDRP
submissions. The FAA may disclose independently obtained information
relating to any event disclosed in a VDRP report, unless the FAA
determines that in the case of an accepted VDRP submission, release of
such independently obtained information would be inconsistent with the
provisions of this order, or would otherwise be prohibited by public
law or regulation. The FAA also may disclose information concerning
enforcement action taken for a regulatory violation initially
identified in a VDRP submission, when that submission is not accepted
by the FAA, or, if accepted, it is later excluded by the FAA because of
the regulated entity's failure to comply with the criteria of the VDRP.
The FAA also may disclose any information about a disclosure initially
submitted under the VDRP that is not accepted, or accepted but later
excluded because of the regulated entity's failure to comply with the
criteria of the VDRP.
    (6) Summary of how the FAA will distinguish information protected
under part 193 from information the FAA receives from other sources.
    In accordance with AC 00-58, as amended, AC 00-68, and AC 121-37,
all

VRDP submissions must be clearly identified as such by the regulated
entity making the submission. Any other information received by the FAA
from the regulated entity concerning the content of a VDRP submission
must be clearly labeled as follows to be eligible for protection under
this designation: ``WARNING: The Information in this Document is
Protected from Disclosure under 49 U.S.C. 40123 and 14 CFR part 193.''
If the information is submitted electronically, the warning notice must
be appropriately embedded in the electronic submission in a fashion
that assures the visibility of the warning to any viewer.

Proposed Designation

    Accordingly, the FAA proposes to designate the above-described
information submitted under a VDRP to be protected under 49 U.S.C.
40123 and part 193, when obtained by the FAA pursuant to an accepted
VDRP submission.

V. Additional information

A. Comments Invited

    The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views. The most
helpful comments reference a specific portion of the proposal, explain
the reason for any recommended change, and include supporting data.
Before acting on this proposal, we will consider all comments we
receive on or before the closing date for comments. We will consider
comments filed late if it is possible to do so without incurring
expense or delay. We may change this proposal in light of the comments
we receive.

B. Availability of This Proposed Designation

    An electronic copy of rulemaking documents may be obtained from the
Internet by--
    1. Searching the Federal eRulemaking Portal (http://www.regulations.gov);
    2. Visiting the FAA's Regulations and Policies Web page at http://www.faa.gov/regulations_policies or
    3. Accessing the Government Printing Office's Web page at http://www.gpo.gov/fdsys/.
    Copies may also be obtained by sending a request to the Federal
Aviation Administration, Aircraft Certification Office, AIR-1, 800
Independence Avenue SW., Washington, DC 20591, or by calling (202) 267-
8235. Commenters must identify the docket or notice number of this
rulemaking.
    All documents the FAA considered in developing this proposed rule
may be accessed from the Internet through the Federal eRulemaking
Portal referenced in item (1) above.

    Issued under authority provided by 49 U.S.C. 106(f) and 40123 in
Washington, DC, on September 7, 2016.
David W. Hempe,
Deputy Director, Aircraft Certification Service, AIR-1.
[FR Doc. 2016-21966 Filed 9-16-16; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 86, Number 119 (Thursday, June 24, 2021)]
[Notices]
[Pages 33463-33466]
[FR Doc No: 2021-13280]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34300; 812-15131]

Calamos-Avenue Opportunities Fund and Calamos Avenue Management,
LLC

June 14, 2021.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice.

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    Notice of an application under section 6(c) of the Investment
Company Act of 1940 (the ``Act'') for an exemption from sections
18(a)(2), 18(c), and 18(i) of the Act, pursuant to sections 6(c) and
23(c) of the Act, granting an exemption from rule 23c-3 under the Act,
and for an order pursuant to section 17(d) of the Act and rule 17d-1
under the Act.

Summary of Application:  Applicants request an order to permit certain
registered closed-end management investment companies to issue multiple
classes of shares of beneficial interest (``Shares'') and to impose
asset-based service and/or distribution fees and early withdrawal
charges.

Applicants:  Calamos-Avenue Opportunities Fund (the ``Initial Fund'')
and Calamos Avenue Management, LLC (the ``Advisor'').

Filing Dates:  The application was filed on May 27, 2020, and amended
on December 16, 2020, and March 17, 2021.

Hearing or Notification of Hearing:  An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by emailing the Commission's
Secretary at<EMAIL_ADDRESS>and serving Applicants with a
copy of the request by email. Hearing requests should be received by
the Commission by 5:30 p.m. on July 9, 2021, and should be accompanied
by proof of service on the Applicants, in the form of an affidavit or,
for lawyers, a certificate of service. Pursuant to rule 0-5 under the
Act, hearing requests should state the nature of the writer's interest,
any facts bearing upon the desirability of a hearing on the matter, the
reason for the request, and the issues contested. Persons who wish to
be notified of a hearing may request notification by emailing to the
Commission's Secretary at<EMAIL_ADDRESS>
ADDRESSES: The Commission<EMAIL_ADDRESS>Applicants: c/o
Richard Horowitz, by email to<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Asaf Barouk, Attorney-Advisor, at
(202) 551-4029 or Parisa Haghshenas, Branch Chief at<PHONE_NUMBER>
(Division of Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained by searching the
Commission's website, at http://www.sec.gov/search/search.htm, using
the application's file number or the applicant's name, or by calling
the Commission at<PHONE_NUMBER>.

Applicants' Representations

    1. The Initial Fund is a newly organized Delaware statutory trust
registered under the Act as a closed-end management investment company
that is operated as an interval fund. The Initial Fund will be
classified as a diversified investment company as defined under section
5(b)(1) of the Act. The Initial Fund's investment objectives are to
generate attractive risk-adjusted total returns, comprised of both
capital appreciation and current income, by opportunistically investing
in a global portfolio of distressed credit opportunities and other
primarily illiquid debt instruments, complemented by liquid credit and
alternative investment
    2. The Advisor is a limited liability company organized under the
laws of the state of Delaware. The Advisor, established in 2019, will
serve as investment adviser to the Initial Fund. The Advisor is
registered with the Commission as an investment adviser under the
Investment Advisers Act of 1940.
    3. The applicants seek an order to permit the Initial Fund to offer
investors multiple classes of Shares of beneficial interest with
varying sales loads and asset-based service and/or distribution fees
and to impose early withdrawal charges.
    4. Applicants request that the order also apply to any other
registered closed-end management investment company that conducts a
continuous offering of its shares, existing now or in the future, for
which the Advisor, its successors,\1\ or any entity controlling,
controlled by, or under common control with the Advisor, or its
successors, acts as investment adviser, and which provides periodic
liquidity with respect to its Shares through tender offers conducted in
compliance with either rule 23c-3 under the Act or rule 13e-4 under the
Securities Exchange Act of 1934 (the ``1934 Act'') (each such closed-
end investment company, a ``Future Fund'' and, together with the
Initial Fund, each, a ``Fund'' and collectively, the ``Funds'').\2\
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    \1\ A successor in interest is limited to an entity that results
from a reorganization into another jurisdiction or a change in the
type of business organization.
    \2\ The Initial Fund and any Future Fund relying on the
requested relief will do so in a manner consistent with the terms
and conditions of the application. Applicants represent that any
person presently intending to rely on the requested relief is listed
as an applicant.
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    5. The Initial Fund intends to issue a class of Shares atnet asset
value plus the applicable front-end sales load and an annual asset-
based distribution and/or service fee (the ``InitialClass Shares'').
The Shares will be offered on a continuous basis at net asset value
pershare plus the applicable sales load. The Shares will not be offered
or traded in a secondary market and will not be listed on any
securities exchange or quoted on any quotation medium. Shareholders of
the Initial Fund are not able to have their Shares redeemed or
otherwise sell their Shares on a daily basis because the Initial Fund
is an unlisted closed-end fund.
    6. If the requested relief is granted, the Initial Fund proposes to
offer multiple classes of Shares, such as the Initial Class Shares, or
any other classes. Because of the different distribution fees,
shareholder services fees, and any other class expenses that may be
attributable to the different classes, the net income attributable to,
and any dividends payable on, each class of Shares may differ from each
other from time to time. As a result, the net asset value per Share of
the classes may differ over time.
    7. Applicants state that, from time to time, the Board of a Fund
may create and offer additional classes of Shares, or may vary the
characteristics of the Initial Class described in the application,
including without limitation, in the following respects: (1) The amount
of fees permitted by a Distribution and Shareholder Services Plan as to
such class; (2) voting rights with respect to a Distribution and
Shareholder Services Plan as to such class; (3) different class
designations; (4) the impact of any class expenses directly
attributable to a particular class of Shares allocated on a class basis
as described in the application; (5) differences in any dividends and
net asset values per Share resulting from differences in fees under a
distribution plan or in class expenses; (6) any early withdrawal charge
or other sales load structure; and (7) any exchange or conversion
features, as permitted under the Act.
    8. Applicants state that, in order to provide some liquidity to
shareholders,

the Initial Fund isstructured as an ``interval fund'' and makes semi-
annual offers to repurchase between 5% and 25% of its outstanding
Shares at net assetvalue (``NAV''), pursuant to Rule 23c-3 under the
Act, unless such offer is suspended or postponed in accordance with
regulatory requirements. Any other closed-end investment company that
intends to rely on this relief will provide periodic liquidity to
shareholders in accordance with either Rule 23c-3 under the Act or Rule
13e-4 under the 1934 Act.
    9. Applicants represent that any asset-based service and/or
distribution fees of a Fund will comply with the provisions of Rule
2341 of the Rules of the Financial Industry Regulatory Authority
(``FINRA Rule 2341'') as if that rule applied to the Fund.\3\
Applicants also represent that each Fund will disclose in its
prospectus the fees, expenses and other characteristics of each class
of Shares offered for sale by the prospectus, as is required for open-
end, multiple class funds under Form N-1A. As is required for open-end
funds, each Fund will disclose its expenses in shareholder reports, and
describe any arrangements that result in breakpoints in, or elimination
of, sales loads in its prospectus.\4\ In addition, applicants will
comply with applicable enhanced fee disclosure requirements for fund of
funds, including registered funds of hedge funds.\5\
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    \3\ Any references to FINRA Rule 2341 include any successor or
replacement rule that may be adopted by the Financial Industry
Regulatory Authority (``FINRA'').
    \4\ See Shareholder Reports and Quarterly Portfolio Disclosure
of Registered Management Investment Companies, Investment Company
Act Release No. 26372 (Feb. 27, 2004) (adopting release); and
Disclosure of Breakpoint Discounts by Mutual Funds, Investment
Company Act Release No. 26464 (June 7, 2004) (adopting release).
    \5\ Fund of Funds Investments, Investment Company Act Rel. Nos.
26198 (Oct. 1, 2003) (proposing release) and 27399 (Jun. 20, 2006)
(adopting release). See also rules 12d1-1, et seq. of the Act.
---------------------------------------------------------------------------

    10. Each Fund and its distributor (the ``Distributor'') will also
comply with any requirements that may be adopted by the Commission or
FINRA regarding disclosure at the point of sale and in transaction
confirmations about the costs and conflicts of interest arising out of
the distribution of open-end investment company shares, and regarding
prospectus disclosure of sales loads and revenue sharing arrangements
as if those requirements applied to the Fund and the Distributor. Each
Fund or the Distributor will contractually require that any other
distributor of the Fund's Shares comply with such requirements in
connection with the distribution of Shares of the Fund.
    11. Each Fund will allocate all expenses incurred by it among its
various classes of Shares based on the net assets of the Fund
attributable to each class, except that the net asset value and
expenses of each class will reflect the expenses associated with the
Distribution and Shareholder Services Plan of that class (if any),
shareholder services fees attributable to a particular class (including
transfer agency fees, if any), and any other incremental expenses of
that class. Expenses of a Fund allocated to a particular class of the
Fund's Shares will be borne on a pro rata basis by each outstanding
Share of that class. Applicants state that each Fund will comply with
the provisions of rule 18f-3 under the Act as if it were an open-end
investment company.
    12. Applicants state that the Initial Fund does not intend to offer
any exchange privilege or conversion feature, but any such privilege or
feature introduced in the future by a Fund will comply with rule 11a-1,
rule 11a-3, and rule 18f-3 as if the Fund were an open-end investment
company.
    13. Applicants state that the Initial Fund does not currently
intend to impose an early withdrawal charge. However, in the future a
Fund may impose an early withdrawal charge on shares submitted for
repurchase that have been held less than a specified period. The Fund
may waive the early withdrawal charge for certain categories of
shareholders or transactions to be established from time to time.
Applicants state that each Fund will apply the early withdrawal charge
(and any waivers or scheduled variations of the early withdrawal
charge) uniformly to all shareholders in a given class and consistently
with the requirements of rule 22d-1 under the Act as if the Fund was an
open-end investment company.
    14. Each Fund operating as an interval fund pursuant to rule 23c-3
under the Act may offer its shareholders an exchange feature under
which the shareholders of the Fund may, in connection with such Fund's
periodic repurchase offers, exchange their Shares of the Fund for
shares of the same class of (i) registered open-end investment
companies or (ii) other registered closed-end investment companies that
comply with rule 23c-3 under the Act and continuously offer their
shares at net asset value, that are in the Fund's group of investment
companies (collectively, the ``Other Funds''). Shares of a Fund
operating pursuant to rule 23c-3 that are exchanged for shares of Other
Funds will be included as part of the repurchase offer amount for such
Fund as specified in rule 23c-3 under the Act. Any exchange option will
comply with rule 11a-3 under the Act, as if the Fund were an open-end
investment company subject to rule 11a-3. In complying with rule 11a-3
under the Act, each Fund will treat an early withdrawal charge as if it
were a contingent deferred sales load.
    15. Applicants state that the Initial Fund does not currently
intend to impose a repurchase fee, but may do so in the future.\6\ If a
Fund charges a repurchase fee, Shares of the Fund will be subject to a
repurchase fee at a rate of no greater than 2% of the shareholder's
repurchase proceeds if the interval between the date of purchase of the
Shares and the valuation date with respect to the repurchase of those
Shares is less than one year. Repurchase fees, if charged, will equally
apply to all classes of Shares of the Fund, consistent with section 18
of the Act and rule 18f-3 thereunder. To the extent a Fund determines
to waive, impose scheduled variations of, or eliminate a repurchase
fee, it will do so consistently with the requirements of rule 22d-1
under the Act as if the repurchase fee were a contingent deferred sales
load and as if the Fund were a registered open-end investment company
and the Fund's waiver of, scheduled variation in, or elimination of,
the repurchase fee will apply uniformly to all shareholders of the Fund
regardless of class.
---------------------------------------------------------------------------

    \6\ Unlike a distribution-related charge, the repurchase fee is
payable to the Fund to compensate long-term shareholders for the
expenses related to shorter-term investors, in light of the Fund's
generally longer-term investment horizons and investment operations.
---------------------------------------------------------------------------

Applicants' Legal Analysis

Multiple Classes of Shares

    1. Section 18(a)(2)(A) and (B) makes it unlawful for a registered
closed-end investment company to issue a senior security that is a
stock unless (a) immediately after such issuance it will have an asset
coverage of at least 200% and (b) provision is made to prohibit the
declaration of any distribution, upon its common stock, or the purchase
of any such common stock, unless in every such case such senior
security has at the time of the declaration of any such distribution,
or at the time of any such purchase, an asset coverage of at least 200%
after deducting the amount of such distribution or purchase price, as
the case may be. Applicants state that the creation of multiple classes
of shares of the Funds may violate section 18(a)(2) because the Funds
may not meet such requirements with respect to a class of shares that
may be a senior security.

    2. Section 18(c) of the Act provides, in relevant part, that a
registered closed-end investment company may not issue or sell any
senior security if, immediately thereafter, the company has outstanding
more than one class of senior security. Applicants state that the
creation of multiple classes of Shares of a Fund may be prohibited by
section 18(c), as a class may have priority over another class as to
payment of dividends because shareholders of different classes would
pay different fees and expenses.
    3. Section 18(i) of the Act provides that each share of stock
issued by a registered management investment company will be a voting
stock and have equal voting rights with every other outstanding voting
stock. Applicants state that permitting multiple classes of Shares of a
Fund may violate section 18(i) of the Act because each class would be
entitled to exclusive voting rights with respect to matters solely
related to that class.
    4. Section 6(c) of the Act provides that the Commission may exempt
any person, security or transaction or any class or classes of persons,
securities or transactions from any provision of the Act, or from any
rule or regulation under the Act, if and to the extent such exemption
is necessary or appropriate in the public interest and consistent with
the protection of investors and the purposes fairly intended by the
policy and provisions of the Act. Applicants request an exemption under
section 6(c) from sections 18(a)(2), 18(c) and 18(i) to permit the
Funds to issue multiple classes of Shares.
    5. Applicants submit that the proposed allocation of expenses
relating to distribution and voting rights among multiple classes is
equitable and will not discriminate against any group or class of
shareholders. Applicants submit that the proposed arrangements would
permit each Fund to facilitate the distribution of its Shares and
provide investors with a broader choice of shareholder options.
Applicants assert that the proposed closed-end investment company
multiple class structure does not raise the concerns underlying section
18 of the Act to any greater degree than open-end investment companies'
multiple class structures that are permitted by rule 18f-3 under the
Act. Applicants state that each Fund will comply with the provisions of
rule 18f-3 as if it were an open-end investment company.

Early Withdrawal Charges

    1. Section 23(c) of the Act provides, in relevant part, that no
registered closed-end investment company shall purchase securities of
which it is the issuer, except: (a) On a securities exchange or other
open market; (b) pursuant to tenders, after reasonable opportunity to
submit tenders given to all holders of securities of the class to be
purchased; or (c) under other circumstances as the Commission may
permit by rules and regulations or orders for the protection of
investors.
    2. Rule 23c-3 under the Act permits a registered closed-end
investment company (an ``interval fund'') to make repurchase offers of
between five and twenty-five percent of its outstanding shares at net
asset value at periodic intervals pursuant to a fundamental policy of
the interval fund. Rule 23c-3(b)(1) under the Act permits an interval
fund to deduct from repurchase proceeds only a repurchase fee, not to
exceed two percent of the proceeds, that is paid to the interval fund
and is reasonably intended to compensate the fund for expenses directly
related to the repurchase.
    3. Section 23(c)(3) provides that the Commission may issue an order
that would permit a closed-end investment company to repurchase its
shares in circumstances in which the repurchase is made in a manner or
on a basis that does not unfairly discriminate against any holders of
the class or classes of securities to be purchased.
    4. Applicants request relief under section 6(c), discussed above,
and section 23(c)(3) from rule 23c-3 to the extent necessary for each
Fund to impose early withdrawal charges on shares of the Fund submitted
for repurchase that have been held for less than a specified period.
    5. Applicants state that the early withdrawal charges they intend
to impose are functionally similar to contingent deferred sales loads
imposed by open-end investment companies under rule 6c-10 under the
Act. Rule 6c-10 permits open-end investment companies to impose
contingent deferred sales loads, subject to certain conditions.
Applicants note that rule 6c-10 is grounded in policy considerations
supporting the employment of contingent deferred sales loads where
there are adequate safeguards for the investor and state that the same
policy considerations support imposition of early withdrawal charges in
the interval fund context. In addition, applicants state that early
withdrawal charges may be necessary for the Fund's Distributor to
recover distribution costs. Applicants represent that any early
withdrawal charge imposed by a Fund will comply with rule 6c-10 under
the Act as if the rule were applicable to closed-end investment
companies. Each Fund will disclose early withdrawal charges in
accordance with the requirements of Form N-1A concerning contingent
deferred sales loads.

Asset-Based Service and/or Distribution Fees

    1. Section 17(d) of the Act and rule 17d-1 under the Act prohibit
an affiliated person of a registered investment company or an
affiliated person of such person, acting as principal, from
participating in or effecting any transaction in connection with any
joint enterprise or joint arrangement in which the investment company
participates unless the Commission issues an order permitting the
transaction. In reviewing applications submitted under section 17(d)
and rule 17d-1, the Commission considers whether the participation of
the investment company in a joint enterprise or joint arrangement is
consistent with the provisions, policies and purposes of the Act, and
the extent to which the participation is on a basis different from or
less advantageous than that of other participants.
    2. Rule 17d-3 under the Act provides an exemption from section
17(d) and rule 17d-1 to permit open-end investment companies to enter
into distribution arrangements pursuant to rule 12b-1 under the Act.
Applicants request an order under section 17(d) and rule 17d-1 under
the Act to permit each Fund to impose asset-based service and/or
distribution fees. Applicants have agreed to comply with rules 12b-1
and 17d-3 as if those rules applied to closed-end investment companies,
which they believe will resolve any concerns that might arise in
connection with a Fund financing the distribution of its shares through
asset-based service and/or distribution fees.
    For the reasons stated above, applicants submit that the exemptions
requested under section 6(c) are necessary and appropriate in the
public interest and are consistent with the protection of investors and
the purposes fairly intended by the policy and provisions of the Act.
Applicants further submit that the relief requested pursuant to section
23(c)(3) will be consistent with the protection of investors and will
ensure that applicants do not unfairly discriminate against any holders
of the class of securities to be purchased. Finally, applicants state
that the Funds' imposition of asset-based service and/or distribution
fees is consistent with the provisions, policies and purposes of the
Act and does not involve participation on a basis different from or
less

advantageous than that of other participants.

Applicants' Condition

    Applicants agree that any order granting the requested relief will
be subject to the following condition:
    Each Fund relying on the requested order will comply with the
provisions of rules 6c-10, 12b-1, 17d-3, 18f-3, 22d-1 and, where
applicable, 11a-3 under the Act, as amended from time to time or
replaced, as if those rules applied to closed-end management investment
companies, and will comply with FINRA Rule 2341, as amended from time
to time, as if that rule applied to all closed-end management
investment companies.

    For the Commission, by the Division of Investment Management,
under delegated authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-13280 Filed 6-23-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 69 (Monday, April 11, 2016)]
[Rules and Regulations]
[Pages 21269-21272]
[FR Doc No: 2016-08220]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2016-0194]
RIN 1625-AA00

Safety Zone: Santa Cruz Harbor Shoaling, Santa Cruz County, CA

AGENCY: Coast Guard, DHS.

ACTION: Interim rule and request for comments.

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SUMMARY: The Coast Guard is establishing an emergency safety zone in
the navigable waters of Santa Cruz County, California due to severe
shoaling at the entrance to Santa Cruz Harbor that has created
hazardous conditions for vessels transiting the harbor. This emergency
safety zone is established to ensure the safety of the mariners and
vessels from the dangers associated with the severe shoaling.
Unauthorized persons or vessels are prohibited from entering into,
transiting through, or remaining in the safety zone without the
permission of the Captain of the Port or a designated representative.
This regulation is necessary to provide for the safety of life on the
navigable waters in vicinity of the Santa Cruz Harbor entrance.

DATES: This rule is effective and may be enforced with actual notice
from March 18, 2016 until May 1, 2016. This rule may be enforced with
constructive notice from April 11, 2016 until May 1, 2016.
    Comments and related material must be received by the Coast Guard
on or before July 11, 2016.

ADDRESSES: Documents mentioned in this preamble are part of Docket
Number USCG-2016-0194. To view documents mentioned in this preamble as
being available in the docket, go to http://www.regulations.gov, type
the docket number in the ``SEARCH'' box and click ``SEARCH.'' Click on
``Open Docket Folder'' on the line associated with this rulemaking. You
may submit comments, identified by docket number, using the Federal
eRulemaking Portal at http://www.regulations.gov. See the ``Public
Participation and Request for Comments'' portion of the SUPPLEMENTARY
INFORMATION section for further instructions on submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email If you have questions on this rule, call or email
Lieutenant Marcia Medina, U.S. Coast Guard Sector San Francisco;
telephone<PHONE_NUMBER> or email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Table of Acronyms

DHS Department of Homeland Security
FR Federal Register
NPRM Notice of Proposed Rulemaking
COTP Captain of the Port
CY Cubic Yards
APA Administrative Procedure Act

A. Public Participation and Request for Comments

    We view public participation as essential to effective rulemaking,
and will consider all comments and material received during the comment
period. Your comment can help shape the outcome of this rulemaking. If
you submit a comment, please include the docket number for this
rulemaking, indicate the specific section of this document to which
each comment applies, and provide a reason for each suggestion or
recommendation.
    We encourage you to submit comments through the Federal eRulemaking
Portal at http://www.regulations.gov. If your material cannot be
submitted using http://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions.
    We accept anonymous comments. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have

provided. For more about privacy and the docket, you may review a
Privacy Act notice regarding the Federal Docket Management System in
the March 24, 2005, issue of the Federal Register (70 FR 15086).
    Documents mentioned in this interim rule as being available in the
docket, and all public comments, will be in our online docket at http://www.regulations.gov and can be viewed by following that Web site's
instructions. Additionally, if you go to the online docket and sign up
for email alerts, you will be notified when comments are posted or a
final rule is published.

B. Regulatory History and Information

    Ongoing shoaling caused by El Ni[ntilde]o weather patterns has been
observed within the Santa Cruz Harbor in Santa Cruz, CA. El Ni[ntilde]o
has caused ocean currents, swells and surf to shift from the prevailing
northwesterly direction to southerly, directly into the federal
channel. Rain storms in December 2015 and January 2016 contributed
large volumes of sand and debris from the San Lorenzo River and its
tributaries, as well as other coastal streams west and north of the
Santa Cruz Harbor federal channel to cause severe shoaling at the
entrance of Santa Crux Harbor. According to the Santa Cruz Port
District, ``unusually high shoaling rates in the entrance channel, to
date, have produced approximately 310,000 cubic yards (CY) of sand. Of
that amount, 200,000 CY were dredged between December 10, 2015, and
February 29, 2016, and an estimated 110,000 CY remains within the
federal channel.''
    The Coast Guard is issuing this interim final rule without prior
notice and opportunity to comment pursuant to authority under section
4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.''
    Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause
exists for making this rule effective less than 30 days after
publication in the Federal Register. The Coast Guard received the
information about the severe shoaling within the harbor on March 4,
2016, and determined that good cause exists to establish an emergency
safety zone to protect life and property of mariners in the area. The
El Ni[ntilde]o season has caused significant and unexpected shoaling
within the Santa Cruz Harbor Channel. The shoaling presents a
significant hazard to navigation as the charted depths are no longer
accurate and the resulting surf conditions have created inherent
hazards for all vessels transiting the area. Immediate regulatory
action is required to safeguard life, health and property of mariners
in the area. Notice and Comment on this rule is impracticable because
it would delay the Safety Zone and consequently put mariners and
dredging crews at risk of allision and groundings. On February 4, 2016,
the Santa Cruz Port District declared that a state of emergency exists
warranting expenditure of public funds to finance the emergency
dredging of the harbor. The Coast Guard requested immediate assistance
from the Army Corps of Engineers to conduct emergency dredging as soon
as safe and practicable on March 8, 2016. The Coast Guard received the
information about the severe shoaling within the harbor on March 4,
2016, and determined an emergency safety zone was necessary to protect
life and property of mariners in the area.

C. Basis and Purpose

    The Coast Guard is issuing this rule under authority in 33 U.S.C.
1231; 50 U.S.C. 191; 33 CFR 1.05-1, 6.04-1, 6.04-6, 160.5; Department
of Homeland Security Delegation No. 0170.1, which collectively
authorize the Coast Guard to establish safety zones.
    The Santa Cruz Harbor Shoaling safety zone will encompass the
entire entrance to Santa Cruz Harbor in the area contained with two
borders. A northern border defined by the line created by extending the
Santa Cruz Harbor boat launch ramp to the harbor's opposite shore and a
southern border defined by the line connecting the end points of the
Santa Cruz Harbor East Breakwater to Santa Cruz Harbor West Breakwater
as depicted in National Oceanic and Atmospheric Administration (NOAA)
Chart 18685. Due to the shifting shoaling locations, the safety zone
applies to the navigable waters enclosed by these borders, effectively
encompassing all of the Santa Cruz Harbor Entrance. This safety zone is
effective immediately upon promulgation until 10 p.m. on May 01, 2016
or until emergency dredging is completed. The Coast Guard will issue a
Broadcast Notice to Mariners upon the completion of emergency dredging
and the deactivation of the safety zone. This safety zone is meant for
safety of vessels transiting the harbor. This restricted area in the
harbor is necessary to protect mariners, vessels, and other property
from the hazards associated with severe shoaling. The Coast Guard has
issued notice to mariners warning of significant shoaling at the harbor
entrance that may result in breaking surf between the jetties.

D. Discussion of the Interim Rule

    The Coast Guard is establishing an emergency safety zone that will
encompass the navigable waters of the Santa Cruz Harbor entrance
channel as defined by the area contained with two borders: A northern
border defined by the line created by extending the Santa Cruz Harbor
boat launch ramp to the harbor's opposite shore and a southern border
defined by the line connecting the end points of the Santa Cruz Harbor
East Breakwater to Santa Cruz Harbor West Breakwater as depicted in
National Oceanic and Atmospheric Administration (NOAA) Chart 18685.
This emergency safety zone will be effective immediately upon
promulgation until 10 p.m. on May 01, 2016 or until the completion of
emergency dredging. The Coast Guard will issue a Broadcast Notice to
Mariners upon the completion of emergency dredging and the deactivation
of the safety zone. The effect of the temporary safety zone will be to
restrict navigation of all vessels in the vicinity of the severe
shoaling. Except for persons or vessels authorized by the Captain of
the Port or his designated representative, no person or vessel may
enter or remain in the restricted area. These regulations are needed to
keep all vessels away from the severe shoaling to ensure the safety of
all transiting vessels.

E. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on these statutes and executive orders.

1. Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, as
supplemented by Executive Order 13563, Improving Regulation and
Regulatory Review, and does not require an assessment of potential
costs and benefits under section 6(a)(3) of Executive Order 12866 or
under section 1 of Executive Order 13563. The Office of Management and
Budget has not reviewed it under those Orders. We expect the economic
impact of this rule will not rise to the level of necessitating a full
Regulatory Evaluation. The safety zone is limited in duration, and is
limited to a narrowly tailored geographic area. In addition, although
this rule restricts access to the

waters encompassed by the safety zone, the effect of this rule will not
be significant because the local waterway users will be notified via
public Broadcast Notice to Mariners to ensure the safety zone will
result in minimum impact. The entities most likely to be affected are
waterfront facilities, commercial vessels, and pleasure craft engaged
in recreational activities. Vessel traffic has been very limited since
December 11, 2015 due to soundings being approximately less than 02
feet at the entrance of the Santa Cruz Harbor. Local officials have
been proactive in notifying the public of the hazardous conditions
associated with the severe shoaling in the channel. Signage, boating
notices, and verbal advisories have been issued to the public via the
Harbor Master. Detailed information regarding the harbor conditions
have been posted on http://www.santacruzharbor.org/ and weekly emails
have been delivered.

2. Impact on Small Entities

    The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as
amended, requires federal agencies to consider the potential impact of
regulations on small entities during rulemaking.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will
not have a significant economic impact on a substantial number of small
entities. This rule may affect owners and operators of waterfront
facilities, commercial vessels, and pleasure craft engaged in
recreational activities and sightseeing. This safety zone would not
have a significant economic impact on a substantial number of small
entities for the following reasons. This safety zone would be
activated, and thus subject to enforcement, for a limited duration. Due
to the shifting locations of the shoaling, which causes erratic changes
in channel depth, all traffic has been limited in transiting the Santa
Cruz Harbor Channel. The maritime public will be advised in advance of
this safety zone via Broadcast Notice to Mariners. Vessel traffic
currently cannot pass safely around the safety zone area. If deemed
safe, traffic would be allowed to pass through the zone with the
permission of the Captain of the Port or his designated representative.

3. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Public Law 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

4. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

5. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has 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. We have analyzed this rule under that Order and determined
that this rule does not have implications for federalism.

6. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

7. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such expenditure, we do discuss the effects of this rule elsewhere in
this preamble.

8. Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

9. Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

10. Protection of Children From Environmental Health Risks

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

11. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

12. Energy Effects

    This action is not a ``significant energy action'' under Executive
Order 13211, Actions Concerning Regulations That Significantly Affect
Energy Supply, Distribution, or Use.

13. Technical Standards

    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

14. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have determined
that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. This rule involves limiting all vessel traffic in the
through the Santa Cruz Harbor Entrance Channel due to the hazardous
conditions

associated with the severe shoaling occurring in the area. This rule is
categorically excluded from further review under paragraph 34(g) of
Figure 2-1 of the Commandant Instruction. An environmental analysis
checklist supporting this determination and a Categorical Exclusion
Determination are available in the docket where indicated under
ADDRESSES. We seek any comments or information that may lead to the
discovery of a significant environmental impact from this rule.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, and Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority: 33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05-1, 6.04-1,
6.04-6, and 160.5; Department of Homeland Security Delegation No.
0170.1.

0
2. Add temporary Sec.  165.T11-0194 to read as follows:

Sec.  165.T11-0194  Safety Zone; Santa Cruz Harbor Shoaling, Santa
Cruz, CA.

    (a) Location. This safety zone is established in the navigable
waters of the Monterey Bay near the Santa Cruz Harbor Entrance in Santa
Cruz, CA as depicted in National Oceanic and Atmospheric Administration
(NOAA) Chart 18685. The safety zone applies to the navigable waters of
the entrance of Santa Cruz Harbor as defined by the area contained with
two borders: A northern border defined by the line created by extending
the Santa Cruz Harbor boat launch ramp to the harbor's opposite shore
and a southern border defined by the line connecting the end points of
the Santa Cruz Harbor East Breakwater to Santa Cruz Harbor West
Breakwater as depicted in National Oceanic and Atmospheric
Administration (NOAA) Chart 18685. This emergency safety zone will be
effective immediately upon promulgation until 10 p.m. on May 1, 2016,
or until the completion of emergency dredging. The Coast Guard will
issue a Broadcast Notice to Mariners upon the completion of emergency
dredging and the deactivation of the safety zone. This safety zone is
meant for safety of all vessels transiting the harbor. This restricted
area in the harbor is necessary to protect vessels, and other property
from the hazards associated with severe shoaling. The Coast Guard has
issued notice to mariners warning of significant shoaling at the harbor
entrance that may result in breaking surf between jetties.
    (b) Enforcement period. The safety zone described in paragraph (a)
of this section will be enforced immediately upon promulgation until 10
p.m. on May 1, 2016, or upon the completion of emergency dredging. The
Coast Guard will issue a Broadcast Notice to Mariners upon the
completion of emergency dredging and the deactivation of the safety
zone. The Captain of the Port San Francisco (COTP) will notify the
maritime community of periods during which this zone will be enforced
via Broadcast Notice to Mariners in accordance with 33 CFR 165.7.
    (c) Definitions. As used in this section, ``designated
representative'' means a Coast Guard Patrol Commander, including a
Coast Guard coxswain, petty officer, or other officer on a Coast Guard
vessel or a Federal, State, or local officer designated to assist in
the enforcement of the safety zones.
    (d) Regulations. (1) Under the general regulations in 33 CFR part
165, subpart C, entry into, transiting or anchoring within this safety
zone is prohibited unless authorized by the COTP or a designated
representative.
    (2) The safety zone is closed to all vessel traffic, except as may
be permitted by the COTP or a designated representative.
    (3) Vessel operators desiring to enter or operate within the safety
zone must contact the COTP or a designated representative to obtain
permission to do so. Vessel operators given permission to enter or
operate in the safety zone must comply with all directions given to
them by the COTP or a designated representative. Persons and vessels
requesting permission to enter the safety zone from 9 a.m. to 5 p.m.
may contact the Harbor Master on VHF-9 or via telephone at (831) 475-
6161; or through the 24-hour Command Center at telephone (415) 399-
3547.

    Dated: March 18, 2016.
Gregory G. Stump,
Captain, U.S. Coast Guard, Captain of the Port San Francisco.
[FR Doc. 2016-08220 Filed 4-8-16; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register: November 28, 2007 (Volume 72, Number 228)]
[Notices]
[Page 67294]
[DOCID:fr28no07-42]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

 [Docket No. RM98-1-000]

Records Governing Off-the Record Communications; Public Notice

November 20, 2007.
    This constitutes notice, in accordance with 18 CFR 385.2201(b), of
the receipt of prohibited and exempt off-the-record communications.
    Order No. 607 (64 FR 51222, September 22, 1999) requires Commission
decisional employees, who make or receive a prohibited or exempt off-
the-record communication relevant to the merits of a contested
proceeding, to deliver to the Secretary of the Commission, a copy of
the communication, if written, or a summary of the substance of any
oral communication.
    Prohibited communications are included in a public, non-decisional
file associated with, but not a part of, the decisional record of the
proceeding. Unless the Commission determines that the prohibited
communication and any responses thereto should become a part of the
decisional record, the prohibited off-the-record communication will not
be considered by the Commission in reaching its decision. Parties to a
proceeding may seek the opportunity to respond to any facts or
contentions made in a prohibited off-the-record communication, and may
request that the Commission place the prohibited communication and
responses thereto in the decisional record. The Commission will grant
such a request only when it determines that fairness so requires. Any
person identified below as having made a prohibited off-the-record
communication shall serve the document on all parties listed on the
official service list for the applicable proceeding in accordance with
Rule 2010, 18 CFR 385.2010.
    Exempt off-the-record communications are included in the decisional
record of the proceeding, unless the communication was with a
cooperating agency as described by 40 CFR 1501.6, made under 18 CFR.
385.2201(e)(1)(v).
    The following is a list of off-the-record communications recently
received by the Secretary of the Commission. The communications listed
are grouped by docket numbers in ascending order. These filings are
available for review at the Commission in the Public Reference Room or
may be viewed on the Commission's Web site at http://www.ferc.gov using
the eLibrary link. Enter the docket number, excluding the last three
digits, in the docket number field to access the document. For
assistance, please contact FERC, Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or for TTY,
contact<PHONE_NUMBER>.
    Exempt:

------------------------------------------------------------------------
                                       Date
            Docket No.               Received    Presenter or requester
------------------------------------------------------------------------
1. CP06-54-000, et al............     10-29-07  Hon. Rosa DeLauro.
2. CP07-8-000....................     10-29-07  Hon. Thomas E. Petri.
3. Project No. 2100-000..........     10-29-07  Hon. Barbara Boxer.
4. Project No. 2100-000..........      11-5-07  Hon. Sam Aanestad.
------------------------------------------------------------------------

 Kimberly D. Bose,
Secretary.
 [FR Doc. E7-23071 Filed 11-27-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 34 (Wednesday, February 20, 2019)]
[Notices]
[Page 5075]
[FR Doc No: 2019-02831]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2206-082]

Notice of Comment Period Extension: Duke Energy Progress, LLC

    On December 11, 2018, the Commission issued a notice setting
January 10, 2019, as the end of the formal period to file comments,
motions to intervene, and protests on the license amendment for the
Yadkin Pee-Dee Hydroelectric Project No. 2206. Due to the funding lapse
at certain federal agencies between December 22, 2018 and January 25,
2019, the Commission is extending the comment period until March 4,
2019.

    Dated: February 13, 2019.
Kimberly D. Bose,
Secretary.
[FR Doc. 2019-02831 Filed 2-19-19; 8:45 am]
 BILLING CODE 6717-01-P