[Federal Register: January 4, 2008 (Volume 73, Number 3)]
[Notices]
[Page 900-902]
[DOCID:fr04ja08-56]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-57062; File Nos. SR-NASDAQ-2007-101; SR-Amex-2007-142;
SR-NYSE-2007-122; and SR-NYSEArca-2007-131]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC, The
American Stock Exchange LLC, The New York Stock Exchange LLC, and NYSE
Arca, Inc; Notice of Filing and Order Granting Accelerated Approval of
Proposed Rule Changes To Extend the Deadline Until March 31, 2008 for
Issuers To Become Compliant With Listing Requirements Concerning Direct
Registration Programs

December 28, 2007.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on December 26, 2007, The NASDAQ Stock Market LLC (``Nasdaq'') and The
American Stock Exchange LLC (``Amex'') filed and on December 28, 2007,
The New York Stock Exchange LLC (``NYSE'') and NYSE Arca (the four
filers are collectively referred to as the ``Exchanges'') filed with
the Securities and Exchange Commission (``Commission'') the proposed
rule changes as described in Items I, II, and III below, which items
have been prepared substantially by the Exchanges. The Commission is
publishing this notice and order to solicit comments on the proposed
rule changes from interested persons and to approve the proposed rule
changes on an accelerated basis.
---------------------------------------------------------------------------

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

I. Self-Regulatory Organizations' Statement of the Terms of the
Substance of the Proposed Rule Changes

    The Exchanges propose to extend the deadline until March 31, 2008,
for listed issuers to become compliant with the requirement that their
securities be made eligible to participate in a direct registration
program. The Exchanges will implement the proposed rule changes upon
approval by the Commission. The text of the Exchanges' proposed rule
changes is available at http://nasdaq.complinet.com for Nasdaq's proposal; at http://www.amex.com for Amex's proposal; at http://

http://www.nyse.com/regulation/rules/1160561784294.html for NYSE's and NYSE

Arca's proposals; and at the Commission's Public Reference Room.

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

    In the filings with the Commission, the Exchanges included
statements concerning the purpose of and basis for the proposed rule
changes and discussed any comments they had received on the proposed
rule changes. The text of these statements may be examined at the
places specified in Item III below. The Exchanges have prepared
summaries, set forth in sections A, B, and C below, of the most
significant aspects of such statements.

A. Self-Regulatory Organizations' Statements of the Purpose of, and
Statutory Basis for, the Proposed Rule Changes

1. Purpose
    In August 2006, the Exchanges each adopted listing standards that
require listed securities to be eligible to participate in a direct
registration program, such as the Direct Registration System (``DRS'')
administered by The Depository Trust Company (``DTC'').\3\ These
listing standards became effective for new listed securities beginning
on January 1, 2007, and are scheduled to become effective for all
listed securities on January 1, 2008.
---------------------------------------------------------------------------

    \3\ Securities Exchange Act Release No. 54288 (August 8, 2006),
71 FR 47276 (August 16, 2006) (approving SR-NASDAQ-2006-008);
Securities Exchange Act Release No. 54289 (August 8, 2006), 71 FR
47278 (August 16, 2006) (approving SR-NYSE-2006-29); Securities
Exchange Act Release No. 54290 (August 8, 2006), 71 FR 47262 (August
16, 2006) (approving SR-AMEX-2006-40); Securities Exchange Act
Release No. 54410 (September 7, 2006), 71 FR 54316 (September 14,
2006) (approving SR-NYSEArca-2006-31).
---------------------------------------------------------------------------

    Since adopting these listing standards, the number of issues that
are not DRS eligible across these markets has declined from over 5,000
in May 2007 to fewer than 1,000 as of December 14, 2007, and is
expected to decline further before January 1, 2008. Nonetheless, there
has been some confusion regarding the steps the listed companies need
to complete to become compliant with these requirements. As a result,
certain listed companies are still in the process of completing the
necessary steps, which could include modifying their by-laws or having
their boards take other actions, to become DRS eligible. In addition,
in some cases, even though a listed company has completed all actions
required to be taken by the company to become compliant, the company's
transfer agent is still completing the process necessary for the
transfer agent to facilitate the company's DRS eligibility.
    In order to assure that listed companies have adequate opportunity
to comply with the listing standards that require listed securities to
be eligible for inclusion in a direct registration program, each of the
Exchanges is proposing to extend the effective date for its DRS
eligibility requirement until March 31, 2008. The Exchanges believe
that this short extension will allow those companies whose securities
are not yet DRS eligible to become fully compliant with the listing
standards and will avoid the investor confusion that could be caused by
a number of companies temporarily not being in compliance with their
Exchange's listing standards while they complete the DRS eligibility
process.
2. Statutory Basis
    The Exchanges believe that the proposed rule changes are consistent
with the provisions of section 6 of the Act \4\ in general and with
section 6(b)(5) of the Act \5\ in particular in that the proposal is
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. The proposed
rule changes extend the effective date of each Exchange's DRS
eligibility requirement in order to facilitate a smooth transition for
companies attempting to comply with the rules.
---------------------------------------------------------------------------

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

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

    The Exchanges do not believe that the proposed rules change will
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act, as amended.

C. Self-Regulatory Organizations' Statement on Comments on the Proposed
Rule Changes Received From Members, Participants, or Others

    Written comments were neither solicited nor received.

III. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change, as amended, is consistent with the Act. Comments may be
submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Numbers SR-NASDAQ-2007-101, SR-Amex-2007-142; SR-NYSE-2007-122;
and SR-NYSEArca-2007-131 on the subject line.

Paper Comments

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

All submissions should refer to File Numbers SR-NASDAQ-2007-101, SR-
Amex-2007-142, SR-NYSE-2007-122, and SR-NYSEArca-2007-131. These file
numbers should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all

written statements with respect to the proposed rule changes that are
filed with the Commission, and all written communications relating to
the proposed rule changes between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room on official business
days between the hours of 10 a.m. and 3 p.m. Copies of each Exchange's
filing also will be available for inspection and copying at the
principal office of the submitting Exchange. All comments received will
be posted without change; the Commission does not edit personal
identifying information from submissions. You should submit only
information that you wish to make available publicly.
    All submissions should refer to File Numbers SR-NASDAQ-2007-101;
SR-Amex-2007-142; SR-NYSE-2007-122; and SR-NYSEArca-2007-131 and should
be submitted on or before January 25, 2008.

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

    After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of the Act and the rules and
regulations thereunder applicable to a national securities exchange.\6\
In particular, the Commission finds that the proposed rule changes are
consistent with section 6(b)(5) of the Act, which requires that an
exchange have rules designed, among other things, to promote just and
equitable principles of trade, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and
in general to protect investors and the public interest. The process by
which a company makes its securities DRS eligible in order to be in
compliance with the Exchanges' listing requirements requires
coordination between the company, its transfer agent, and DTC. That
process may have been confusing to some issuers or their transfer
agents, particularly those that were unfamiliar with DRS. Therefore,
the Commission finds that approval of the Exchanges' proposals that
provide a short extension of the effective date of the Exchanges' DRS
eligibility listing requirements and that in turn should allow
companies and their transfer agents the additional time needed to
complete the necessary steps to make the companies' securities DRS
eligible is consistent with section 6(b)(5) of the Act.
---------------------------------------------------------------------------

    \6\ In approving this rule change, the Commission notes that it
has considered the proposed rule's impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

    Furthermore, the Commission finds good cause to approve the
proposed rule changes prior to the thirtieth day after the date of
publication of the notice of filing because by approving the extension
of the effective date for the listing standards requiring the
securities of listed companies to be DRS eligible from January 1, 2008,
to March 31, 2008, sufficient additional time should be provided to
those companies whose securities are not yet DRS eligible to become
fully compliant with the listing standards and should help to avoid
possible confusion that could result if a number of companies were
temporarily not in compliance with their Exchange's listing standards.

V. Conclusion

    It is therefore ordered, pursuant to section 19(b)(2) of the
Act,\7\ that the proposed rule changes (SR-Nasdaq-2007-101; SR-Amex-
2007-142; SR-NYSE-2007-122; and SR-NYSEArca-2007-131) be and hereby are
approved on an accelerated basis.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
---------------------------------------------------------------------------

    \8\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Nancy M. Morris,
Secretary.
 [FR Doc. E7-25595 Filed 1-3-08; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 75, Number 223 (Friday, November 19, 2010)]
[Proposed Rules]
[Pages 70871-70881]
[FR Doc No: 2010-29192]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 61 and 183

[Docket No. FAA-2010-1127; Notice No. 2010-16]
RIN 2120-AJ42

Photo Requirements for Pilot Certificates

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: This action would require a person to carry a pilot
certificate with photo to exercise the privileges of the pilot
certificate. This proposal responds to section 4022 of the Intelligence
Reform and Terrorism Prevention Act (IRTPA). The FAA previously
required all pilots to obtain a plastic certificate (excepting
temporary certificates and student pilot certificates). This proposal
furthers the fulfillment of IRTPA by requiring a photo of the pilot to
be on all pilot certificates. The FAA also proposes to require student
pilots to obtain a plastic certificate with photo. Student pilot
certificates would also have the same duration as other pilot
certificates. Additionally, because of the new photo requirements, this
proposal modifies the application process and the fee structure for
pilot certificates.

DATES: Send your comments on or before February 17, 2011.

ADDRESSES: You may send comments identified by Docket Number FAA-2010-
1127 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, 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>.
    For more information on the rulemaking process, see the
SUPPLEMENTARY INFORMATION section of this document.
    Privacy: The FAA will post all comments received, without change,
to http://www.regulations.gov, including any personal information you
provide. Using the search function of our docket Web site, anyone can
find and read the electronic form of all comments received into any of
our dockets, including the name of the individual sending the comment
(or signing the comment for an association, business, labor union,
etc.). You may review DOT's complete Privacy Act Statement in the
Federal Register published on April 11, 2000 (65 FR 19477-78) or you
may visit http://DocketsInfo.dot.gov.
    Docket: To read background documents or comments received, go to
http://www.regulations.gov at any time and 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 technical questions concerning
this proposed rule contact Lance Nuckolls, Certification and General
Aviation Operations Branch, AFS-810, Flight Standards Service, Federal
Aviation Administration, 800 Independence Avenue, SW., Washington, DC
20591; telephone<PHONE_NUMBER>; facsimile<PHONE_NUMBER>, e-mail
<EMAIL_ADDRESS>For legal questions concerning this proposed
rule contact Robert Hawks, Air Traffic and Airman/Airport Certification
Law Branch, AGC-240, Office of the Chief Counsel, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591;
telephone<PHONE_NUMBER>; facsimile<PHONE_NUMBER>, e-mail
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Later in this preamble under the Additional
Information section is a discussion of how you can comment on this
proposal and how the FAA will handle your comments. Included in this
discussion is related information about the docket, privacy, the
handling of proprietary or confidential business information, and
accessing related rulemaking documents.

Authority for This Rulemaking

    The FAA's authority to issue rules on aviation safety is found in
Title 49 of the United States Code. Subtitle I, Section 106 describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the agency's authority.
    Under Subtitle VII, Part A, Subpart iii, Section 44703(b)(1)(C),
the FAA may define the terms of an airman certificate the FAA
Administrator finds necessary to ensure safety in air commerce.
Additionally, Subtitle VII, Part A, Subpart iii, Section 44703(g)(1)
permits modifications to the airman certification system to make the
system more efficient in serving the needs of those enforcing laws
related to combating acts of terrorism by ensuring verifiable
identification of individuals applying for airman certificates. In
Section 4022 of the Intelligence Reform and Terrorism Prevention Act of
2004 (IRTPA),\1\ Congress required the FAA to promulgate regulations
for the issuance of improved pilot licenses.
---------------------------------------------------------------------------

    \1\ Public Law 108-458, 118 Stat. 3638 (Dec. 17, 2004).
---------------------------------------------------------------------------

    This rulemaking is within the scope of that authority because it
prescribes the inclusion of a photo of the pilot on the pilot
certificate in accordance with the IRTPA mandate. This rulemaking aids
in preventing terrorism and in ensuring safety in air commerce by
issuing certificates that conform to the IRTPA requirements.

Background

    On March 12, 1990, the FAA published the Drug Enforcement
Assistance notice of proposed rulemaking (55 FR 9270). That NPRM
proposed changes to requirements for registration of aircraft,
certification of pilots, and certification violations. The FAA intended
this proposal to correct deficiencies in the FAA's aircraft
registration and pilot certification systems identified in the Federal
Aviation Administration Drug Enforcement Assistance Act of 1988 (``the
DEA Act'').\2\ After the close of the comment period, the FAA
determined that technological improvements could accomplish most
requirements of the DEA Act. The FAA withdrew the NPRM on December 5,
2005 (70 FR 72403).
---------------------------------------------------------------------------

    \2\ Public Law 100-690, 102 Stat. 4181 (Nov. 18, 1988).
---------------------------------------------------------------------------

    As part of the technological improvements, the FAA discontinued
issuing paper certificates and began issuing plastic airman
certificates in 2003. The plastic certificates are of high quality
plastic card stock and have micro printing that contains certain

words and phrases, a hologram, and an UV-sensitive layer to resist
tampering, altering, and counterfeiting.
    On January 5, 2007, the FAA published the Drug Enforcement
Assistance notice of proposed rulemaking (``the 2007 DEA NPRM'') (72 FR
489). That NPRM proposed changes to the airman certification and
aircraft registration requirements to comply with the mandates of the
DEA Act that could not be completed without rulemaking. Among other
requirements, the NPRM proposed requiring holders of pilot certificates
and other airmen certificates to hold a plastic certificate to exercise
the privileges of that certificate.
    While the FAA was developing the 2007 DEA NPRM, IRTPA became law
and added to the FAA's obligations regarding pilot certificates.
Section 4022 of IRTPA requires the FAA to issue improved pilot
certificates that (1) are resistant to tampering, alteration, or
counterfeiting; (2) include a photograph of the individual to whom the
certificate is issued; and (3) are capable of accommodating a digital
photograph, a biometric identifier, or any other unique identifier the
FAA Administrator considers necessary.
    On February 28, 2008, the FAA published the Drug Enforcement
Assistance final rule (``the DEA final rule'') (73 FR 10662). In that
rule, the FAA required all pilots, except student pilots, to obtain a
plastic certificate by March 31, 2010. After that date, pilots without
plastic certificates may not exercise the privileges of their
certificates. The FAA continued the use of paper temporary pilot
certificates and student pilot certificates. The DEA final rule also
satisfies the IRTPA requirement to issue pilot certificates that are
resistant to tampering, alteration, and counterfeiting.

Other Airman Certificate-Related Rulemaking Activity

    Currently, the Department of Homeland Security's Transportation
Security Administration (TSA) is engaged in ongoing efforts to improve
identification, credentialing, and security vetting of persons involved
in transportation (49 U.S.C. 44903). Under existing FAA programs, the
TSA uses information from the Airman Registry to crosscheck
certification records against a variety of terrorism-related databases.
Currently, the TSA is considering a rulemaking to improve security
vetting of airman certificate holders and applicants for airman
certificates. In the interest of reducing burdens on the certificate
holder and government, the FAA will continue to consult and collaborate
with TSA and other Federal agencies to reduce potential redundancies or
duplication in Federal certification, vetting, and credentialing
processes. If the TSA issues a final rule regarding airman security
vetting, the FAA may issue conforming requirements in any final rule
resulting from this proposal, subsequent to a supplemental notice of
proposed rulemaking, or as part of a new rulemaking project, depending
on the scope and timing of the TSA's actions.

Discussion of the Proposal

    The FAA proposes to further fulfill the requirements of section
4022 of the IRTPA by requiring a photo of the pilot on all plastic
pilot certificates. This proposal also requires student pilots to have
a plastic certificate with photo in order to exercise student pilot
privileges. The FAA would continue to allow the use of a paper
temporary pilot certificate when upgrading a pilot certificate (such as
going from a student to a sport, recreational, or private pilot
certificate) or adding a rating (such as an instrument rating).
However, the temporary paper certificate evidencing the added authority
must be accompanied by the underlying pilot certificate with photo.
    The FAA proposes a 5-year phased implementation schedule. This
schedule includes a ``trigger-based'' approach to issue pilot
certificates with photos to people interacting with the FAA during the
implementation period. The schedule also includes a ``non-trigger-
based'' approach that requires pilots to obtain a pilot certificate
with photo during a 3-, 4-, or 5-year period depending on the type of
certificate. This proposal would not revoke or otherwise cancel a
previously issued paper or plastic certificate. It simply would require
the pilot to have a pilot certificate with photo to exercise pilot
privileges.
    The FAA proposes to add a new Sec.  61.6 to prescribe the
requirements related to a pilot certificate with photo. This proposal
also amends the application process in Sec.  61.85 to require
submission of a photo with an application for a pilot certificate. The
FAA also proposes to modify the fee structure related to an application
for a pilot certificate with photo to recover some costs associated
with issuing a pilot certificate with photo. The FAA also proposes to
amend Sec.  61.3 to remove the requirement to carry a separate
government-issued photo identification for persons carrying a pilot
certificate with photo. The FAA has determined two photo
identifications are unnecessary and do not serve a safety or security
interest. However, persons with special purpose pilot authorizations,
foreign pilot licenses, or limited-term facsimile pilot certificates
still must carry government-issued photo identification. Finally, the
FAA proposes minor editorial changes, including some changes to section
numbering, to improve ease of use.
    The following sections discuss in greater detail the proposals
related to the fees for issuing or replacing a pilot certificate with
photo, the implementation approach, applying for a pilot certificate
with photo, photo requirements, duration of pilot privileges for pilot
certificates with photos, student pilot certificates, and other issues.

Fees for Issuing or Replacing a Pilot Certificate With Photo

    Currently, the FAA charges a $2 fee to replace a lost or destroyed
airman certificate. There is no charge for issuing, upgrading, or
adding ratings to an airman certificate. 14 CFR 61.29(a). Although the
FAA has statutory authority to charge a fee for issuing a pilot
certificate, the FAA previously has not exercised that authority. 49
U.S.C. 45302. That authority permits the FAA to charge a maximum fee of
$22.00 ($12.00 adjusted according to the Consumer Price Index of All
Urban Consumers published by the Secretary of Labor). 49 U.S.C.
45302(b)-(c).
    Congress required the FAA to change from issuing paper pilot
certificates to issuing plastic certificates with photos and other
security measures.\3\ The cost of issuing these new certificates is
substantial. To recover some of these costs, the FAA proposes to
exercise its statutory authority to collect a fee when issuing a pilot
certificate with a photo and other security features.
---------------------------------------------------------------------------

    \3\ IRTPA Sec.  4022(b).
---------------------------------------------------------------------------

    Specifically, the FAA proposes to charge a $22 fee to process an
application for: (1) Exchanging an existing certificate without a photo
for a certificate with photo; (2) issuing a new pilot certificate or
student pilot certificate; and (3) replacing a pilot certificate with
photo whenever a replacement certificate is requested by a pilot or
required by regulation. Examples of events which would require a
replacement certificate include renewing expired photos, achieving new
ratings or certificate levels, changing name or citizenship
information, and replacing lost or destroyed certificates. As shown in
the regulatory evaluation, the $22 fee does not recover fully the cost
of issuing pilot certificates, but the FAA may not exceed its statutory
authority to recover costs. Accordingly,

the FAA proposes to include this fee schedule for a pilot certificate
with photo in the new Sec.  61.6.
    The FAA also proposes to adjust this fee periodically to correspond
with changes in the Consumer Price Index, as permitted by 49 U.S.C.
45302(c). Any fee adjustment would not occur more than once a year and
would not exceed the FAA's cost for issuing a certificate. Any
calculation of issuance cost would be performed in the same manner as
that performed for this proposed rule.
    The Federal Aviation Administration Reauthorization bill (H.R.
915), if enacted as passed by the House of Representatives on May 21,
2009, would provide authority to increase fees for airman certificates.
This legislation would allow the FAA to recover the costs related to
airman certification, and the legislation sets the fee for issuing an
airman certificate at $50 and for issuing a replacement airman
certificate at $25. Once the outcome of the reauthorization legislation
is known, the FAA would decide whether additional rulemaking is
necessary.
    Since this proposal would require in-person identity verification,
the FAA anticipates allowing designees to accept and verify
applications for pilot certificates with photos to lessen the
inconvenience to certificate holders and new applicants. The FAA
anticipates that designees would charge a fee, in addition to the fee
charged by the FAA, to accept and verify the applications. The FAA
cannot set or limit fees charged by designees. This fee likely would be
independent of any fee charged by a designee for testing services
provided to the applicant.

Implementation Approach

    The FAA would begin issuing a pilot certificate with photo to an
applicant for a new pilot certificate once the rule becomes effective.
For the FAA to comply with IRPTA, it must reissue all existing pilot
certificates with a pilot certificate with photo. To minimize the
burden of reissuance on certificate holders, the FAA proposes a
concurrent ``trigger-based'' and ``non-trigger-based'' implementation
approach.
    Many pilots already would interact with the FAA during the
implementation period of this proposed rule because of a ``triggering
event.'' They would be required to apply for a pilot certificate with
photo as a result of that interaction. One triggering event would be
applying for a new pilot certificate or rating, including a student
pilot certificate. A pilot obtaining a new flight instructor
certificate or renewing a flight instructor certificate would also be
required to apply for a pilot certificate with photo for the underlying
pilot certificate. The FAA does not propose requiring all persons
requesting replacement pilot certificates during the implementation
period to apply for a pilot certificate with photo. However,
replacement activity requiring an in-person interaction with the FAA
(for example, change of name, citizenship, date of birth, or gender)
would be a triggering event. The FAA proposes to require pilots
interacting with the FAA during one of these triggering events to
provide a photo with the application. These pilots would not be subject
to the proposed phase-in requirements because they would already comply
with the proposed rule.
    Because not all pilots will have a triggering event during the
implementation period, the FAA proposes a phased approach for requiring
an application for a pilot certificate with photo. A pilot with an
airline transport pilot (ATP) certificate would have 3 years after the
final rule becomes effective to obtain a pilot certificate with photo.
A person with a commercial pilot certificate would have 4 years after
the effective date of the final rule. Finally, a private, recreational,
or sport pilot certificate holder would have 5 years after the
effective date of the final rule. Pilots who do not obtain a
certificate with photo during the appropriate period would not be able
to exercise pilot privileges after the cut-off date.
    The FAA chose different cut-off dates based on certificate level to
provide the most time for private, sport, and recreational pilots.
Those pilots are the least likely to have regular contact with the FAA.
ATP and commercial pilot certificate holders usually have more regular
contact with the FAA than other types of pilots.
    The FAA believes that these periods are reasonable to allow for the
timely replacement of pilot certificates. The phased implementation
approach balances the FAA's ability to receive and process applications
for replacement certificates and to maintain the FAA's existing range
of services. The FAA assumes that applications would be evenly spread
throughout the implementation period. If all pilots wait until close to
the end of the period to apply for the certificate, there undoubtedly
would be delays in processing and receipt of the new certificate. A
pilot may apply for a certificate with photo after the specific
implementation period ends, but he or she would not be able to exercise
pilot privileges until he or she has a pilot certificate with photo.
The FAA proposes to add this implementation schedule to Sec.  61.19.

Applying for a Pilot Certificate With Photo

    The FAA would require a pilot to submit an application for a new or
replacement pilot certificate with photos in person in certain cases.
For these in-person applications, a pilot must appear at a FSDO or
other FAA designee (such as a Knowledge Testing Center or designated
pilot examiner (DPE)). All certificate holders applying for a pilot
certificate for the first time would submit that application in person
for purposes of identity verification. After a person holds a pilot
certificate with photo, there would be certain situations for which an
in-person application is required. If the photo would expire within 90
days of the application, a pilot would submit the application in
person. A pilot changing vital information on the certificate, such as
name, date of birth, citizenship, or gender, would still be required to
apply in person so the FAA could verify the applicant's identity.
Finally, a pilot who upgrades his or her certificate or adds a rating
would still apply for a new certificate in person.
    A pilot who wants to add or update the photo on the certificate may
do so using one of two methods. The first method would be to submit a
paper photo with a paper 8710-1 Airman Certificate and/or Rating
Application form. The second method would be to use the Web-based
Integrated Airman Certificate and/or Rating Application (IACRA) form.
However, regardless of the method used, a pilot must appear in-person
to either a FSDO or any authorized FAA-designee to have his or her
photo and identification validated whenever a photo is required as part
of the application. Currently, the FAA operates 96 FSDOs in the U.S.
and has approximately 2,700 designees worldwide that can process
applications for pilot certificates with photo. A pilot residing
outside of the U.S. must use an FAA-designee who is authorized to
service his or her area. Alternately, the pilot may come to the U.S.
and use any FAA-designee or FSDO.
    In some cases, the FAA would allow a pilot to submit an application
for a pilot certificate with photo by mail. These instances would not
require an in-person application because the pilot has established his
or her identity with the FAA, and the changes to the certificate do not
affect the pilot's identity. For example, a pilot could submit an
application to replace a lost or destroyed certificate with photo
without an in-person interaction.

Additionally, a pilot could notify the FAA of a change of address by
mail or via the FAA website. Although not required by regulation, the
pilot could request a replacement certificate when making the change of
address. When requesting a replacement pilot certificate with photo in
these situations, the pilot must have a photo on file that does not
expire within 90 days of the application.

Photo Requirements

    The FAA proposes a new Sec.  61.6 to prescribe the photo
requirements for pilot certificates. The FAA would require an applicant
to submit a 2 x 2-inch photo with the application. The photo must be
unretouched and in color. The photo must be of only the applicant and
must have been taken within the last six months. It also must show a
full front view of the applicant's face in such a way that the area
from the bottom of the applicant's chin to the top of the applicant's
head (including hair) covers more than 50 percent but not more than 75
percent of the total area of the photo. The photo must show the
applicant in front of a plain light-colored background and in normal
street attire. If an applicant chose to wear a pilot uniform, the FAA
would consider that applicant to be wearing normal street attire,
provided the photo did not show the applicant wearing a hat, head
covering, or dark glasses as prescribed in Sec.  61.6. These
requirements are consistent with Department of State guidelines for
passport photos. Therefore, an applicant for a pilot certificate with
photo should be able to obtain the required photo from any passport
photo vendor.
    At this time, the FAA is prepared to accept only a hard copy of a
photo, similar to the Department of State's passport model. In the
future, however, the FAA anticipates accepting a digital photo. The FAA
would revise its guidance material as technology advances and
additional methods are available for photo submission.
    Currently the FAA is considering three methods of acquiring a
digital photo. One way would be for an applicant to upload a digital
photo into FAA's Integrated Airman Certificate and/or Rating
Application (IACRA) sub-system. IACRA is an Internet-based database
program providing a fully-electronic method of applying for an airman
certificate or rating. IACRA can accommodate submission of digital
images.
    The second method to acquire a digital photo would be for an
applicant to go to a Knowledge Testing Center, which is a logical venue
for verifying identity and taking digital photos. Currently there are
two major testing companies that are authorized to perform knowledge
testing for the FAA via Knowledge Testing Centers. These testing
centers are located to serve a wide geographic range (approximately 960
nationwide centers and 9 international locations). Usually, people do
not have to travel more than 100 miles to get to a testing center.
    The third method to acquire a digital photo would be for an
applicant to go to a DPE or a FSDO that has the capability to take
digital photos. Currently, FSDOs have this capability, but DPEs do not.
However, the FAA anticipates they would have this capability in the
future.

Duration of Pilot Privileges for a Pilot Certificate With Photo

    Because the accuracy of a photo degrades over time, the FAA
proposes to include a photo expiration date on the pilot certificate
with photo. As under current regulations, the actual pilot certificate
would not expire but would remain valid unless surrendered, suspended,
or revoked. However, the pilot may not exercise the privilege of the
certificate after the photo expiration date. Therefore, the pilot must
renew the photo in order to continue to exercise the pilot privileges
of the certificate past the photo expiration date.
    The FAA considered different photo durations, specifically an 8-
year duration (similar to that required by the Real ID Act) and a 10-
year duration (similar to that used for passports). The Real ID Act of
2005 \4\ imposes certain security, authentication, and issuance
procedure standards for state driver's licenses and identification
cards for them to be accepted by the federal government for official
purposes. The FAA acknowledges that the Real ID Act does not require
the FAA to set any specific duration with respect to a pilot
certificate with photo. The Department of State traditionally has
issued passports that are valid for 10 years. This practice was
established well before the Real ID Act became law and was established
in response to different concerns than those to which the Real ID Act
responds. The FAA proposes an 8-year duration. This duration is
consistent with the Real ID Act, which is Congress's latest expression
on the appropriate period of validity for government identification.
The FAA proposes to amend Sec.  61.19 to prescribe a photo expiration
date of 8 years after the month in which the FAA issues the pilot
certificate. The FAA also proposes to place the photo expiration date
on the pilot certificate with photo to remind certificate holders of
when a new photo must be submitted.
---------------------------------------------------------------------------

    \4\ Public Law 109-13, 119 Stat. 231 (May 11, 2005).
---------------------------------------------------------------------------

    Under this proposal, it would be the pilot's responsibility to
apply for a replacement certificate and provide a new, current photo
before the photo expiration date. It is important to note that the
issuance of a pilot certificate with photo could take up to 6 to 8
weeks. Therefore, a pilot should plan to submit an application, with a
new photo, well before the photo expiration date on the current pilot
certificate. If the photo expiration date passes before the pilot
receives a replacement pilot certificate with photo, the FAA would not
issue temporary privileges, and the pilot could not exercise pilot
privileges.
    For applications received in the 180 days before the photo
expiration date, the FAA would issue a certificate with a photo
expiration date that is 8 years from the previous certificate's photo
expiration date. If a pilot requests changes to a certificate, such as
changing the certificate level or adding a rating, the FAA would issue
a new certificate with the current photo on file. That certificate
would have the same photo expiration date as the certificate that it is
replacing. However, if a pilot wishes to submit a new photo, the FAA
would issue a certificate with a photo expiration date of 8 years from
the month of issue. If the photo would expire within the next 90 days,
the pilot must submit a new photo with the application for a
certificate.

Student Pilot Certificates

    The FAA includes student pilot certificates in this proposal to
meet the IRTPA requirements that apply to all pilot certificates. The
Drug Enforcement Assistance final rule, which required plastic pilot
certificates, did not include student pilot certificates. Therefore,
the FAA proposes to require all student pilot certificates to be made
of plastic and include a photo of the certificate holder. As a result,
only the FAA's Airman Certification Branch (AFS-760) would issue
student pilot certificates.
    The FAA proposes to discontinue use of an Aviation Medical Examiner
(AME) for the application and issuance of a student pilot certificate.
Currently, AMEs may issue both a medical certificate and a student
pilot certificate (often referred to as a combination certificate).
Except in the case of glider, balloon, and light sport aircraft, a
student pilot's first contact with the FAA usually is through an AME
because of the medical certificate requirement. It

is convenient for a student pilot to apply for a student pilot
certificate at the same time as for a medical certificate. However,
under this proposal, student pilots must obtain a student pilot
certificate with photo. Because an AME's principal function is to
perform the medical evaluation, the FAA has determined that it is
inappropriate to burden the AME with information-gathering and photo-
verification duties. Accordingly, under this proposal, a person wishing
to obtain a student pilot certificate would still obtain a medical
certificate from an AME; however, that person may not apply for a
student pilot certificate with an AME. A student pilot would obtain a
student pilot certificate with photo that is issued by the FAA Airman
Certification Branch (AFS-760) prior to conducting solo flights. The
FAA proposes to amend Sec.  61.85 to prescribe the application process
for student pilot certificates and Sec.  183.21 to relieve AMEs from
issuing student pilot certificates.
    Also, under this proposal, Designated Pilot Examiners (DPEs) no
longer would issue student pilot certificates. However, DPEs would be
authorized to accept an application for a student pilot certificate. In
addition, designated knowledge testing centers, designated airmen
certification representatives, local Flight Standards District Offices
(FSDOs), and International Field Offices would be authorized to accept
an application for a student pilot certificate.
    Because the student pilot certificate would be issued by the FAA's
Airmen Certification Branch instead of by Aviation Safety Inspectors or
FAA designees, student pilots, instructors, and pilot schools should
plan accordingly for the additional time it would take to receive a
plastic student pilot certificate with photo. At this time, the FAA
estimates that it could take up to 6 to 8 weeks for the FAA to issue a
student pilot certificate. As under the current regulations, students
still can receive instruction, but they may not engage in solo flight
before receiving a student pilot certificate.
    Currently, a student pilot certificate expires either 24 or 60
calendar months after issuance depending on the age of the student
pilot or on the rating sought. Because of the proposed change in
procedure to obtain a student pilot certificate, the FAA proposes to
issue student pilot certificates that do not expire. Like other pilot
certificates, a student pilot certificate would remain valid unless
surrendered, suspended, or revoked. However, the student pilot
certificates would have a photo expiration date of 8 years after the
month of issuance. This duration is consistent with the duration of
other pilot certificates because the FAA has concluded there is no
purpose to treating student pilot certificates differently from other
pilot certificates. A student pilot would not be able to exercise the
privileges of the certificate after the photo expiration date unless he
or she submitted a new photo.
    A student pilot certificate issued prior to the effective date of
this rule would continue to be valid until the expiration date shown on
the face of that certificate. If a person wishes to obtain a
replacement student pilot certificate, he or she may apply for a
student pilot certificate with photo. Because student pilot
certificates currently expire after either 24 or 60 months, all student
pilots would be using a student pilot certificate with photo before the
end of the 5-year implementation period established by this proposal
for obtaining a pilot certificate with photo.
    The FAA also proposes to make conforming changes regarding the
placement of solo flight endorsements on student pilot certificates.
Because it is not possible to make the currently-required solo flight
endorsements on a plastic student pilot certificate, the FAA proposes
to amend Sec. Sec.  61.87, 61.93, and 61.133 to require that those
endorsements be made in only the student pilot's logbook. The FAA also
proposes to amend Sec. Sec.  61.189 and 61.195 to require flight
instructors to place those endorsements in only the student pilot's
logbook. The FAA proposes to amend Sec.  61.13(a)(2)(i)(A) so that it
would apply to an application for a student pilot certificate because
student pilot certificates would be issued only by the FAA Airman
Certification Branch (AFS-760).

Other Issues

    Currently Sec.  61.29(e) allows a person to obtain a facsimile
airman certificate \5\ if the original certificate is lost or
destroyed. The FAA Airman Certification Branch issues facsimile
certificates so that an airman may continue to exercise privileges
until a replacement pilot certificate is issued. This facsimile is
valid for 60 days. Although this facsimile does not meet the IRTPA
requirements, the FAA proposes to leave the facsimile provision
unchanged. The replacement of a pilot certificate with photo would take
up to 6 to 8 weeks during which time a pilot effectively would be
grounded. The FAA has concluded that grounding a pilot for an extended
time period is unnecessary. The FAA would treat the facsimile pilot
certificate as a special purpose pilot authorization that may be used
in conjunction with a government-issued photo identification under
Sec.  61.3. This treatment would allow a pilot whose identity has been
certified by the FAA to continue to exercise pilot privileges while
allowing security agencies to verify the pilot's identity against a
government-issued identification.
---------------------------------------------------------------------------

    \5\ Currently, the Airman Certification Branch issues a paper
temporary certificate, a faxed temporary authority, or an e-mail
temporary authority.
---------------------------------------------------------------------------

Comments Invited

    The FAA is specifically interested in receiving comments on the
following questions:
    (1) While this proposal does not outline specific identity
verification standards and processes, the FAA may include such
standards and processes in a final rule. The FAA seeks comment on
standards that should be used for identity verification to issue pilot
photo certificates, either in person or remotely. Should the FAA
require applicants to produce fraud-resistant documents to verify
identity? If so, which documents or other identity verification
procedures should the FAA implement to ensure a high level of
confidence in the verification process?
    (2) Should the FAA consider an alternative implementation approach
to the ``trigger'' and ``non-trigger'' approach set forth in the
proposal? Should the FAA set one deadline, regardless of certificate
level, for pilots to have a pilot certificate with photo to exercise
the privileges of that certificate rather than implement the phased
``non-trigger'' approach set forth in this proposal? What is the basis
and supporting data for a single deadline? If the FAA were to implement
a single deadline, what time period for conversion to a pilot
certificate with photo adequately balances the FAA's need to comply
with the statutory mandate and the burden on certificate holders? Would
lengthening the implementation period significantly reduce burden on a
pilot? What is the basis and supporting data for a longer time period?
    (3) Currently, the FAA envisions using Knowledge Testing Centers,
DPEs, and FSDOs to accept pilot certificate applications and validate
applicant identity. Are there alternative, potentially less burdensome,
methods for pilots within the U.S. and outside of the U.S. the FAA
should consider? In addition, what should the FAA consider when
designating service providers with identity verification authority?
    (4) Is the proposed 8-year duration for the photo, based on the
photo duration

for state driver's licenses under the Real ID Act, a reasonable period
of time that balances the security needs expressed in IRTPA and the
burden on certificate holders? Are there other standards or guidance
for photo accuracy the FAA should consider? What is the basis and
supporting data for a shorter or longer duration?
    (5) Is there any reason why student pilot certificates should not
be treated like other pilot certificates for the purposes of meeting
the IRTPA requirements? What is the basis and supporting data for your
response?
    (6) With respect to the photo that is placed on the pilot
certificate, should the FAA accept only hard copy photos, only
digitally-captured photos, or either hard copy or digitally-captured
photos? What is the basis and supporting data for your response?
    (7) If the FAA accepts digitally-captured photos, what are the
advantages and disadvantages of the following methods of acquiring the
photo: (a) An applicant uploading a self-captured photo to the IACRA
sub-system; (b) a FSDO capturing the photo when the application is
submitted; (c) a Knowledge Testing Center capturing the photo when an
application is submitted; and (d) a DPE capturing the photo when an
application is submitted? What is the basis and supporting data for
your response?

Paperwork Reduction Act

    This proposal contains the following revisions to existing
information collection requirements. As required by the Paperwork
Reduction Act of 1995, the FAA has submitted the information
requirements associated with this proposal to the Office of Management
and Budget for its review. See 44 U.S.C. 3507(d).
    Title: Photo Requirements for Pilot Certificates
    Summary: This action would require a person to carry a pilot
certificate with photo to exercise the privileges of the pilot
certificate. This proposal responds to section 4022 of the Intelligence
Reform and Terrorism Prevention Act (IRTPA). The FAA previously
required all pilots to obtain a plastic certificate (excepting
temporary certificates and student pilot certificates), and after March
31, 2010, all pilots must carry a plastic certificate. This proposal
furthers the fulfillment of IRTPA by requiring a photo of the pilot to
be on all pilot certificates. The FAA also proposes to require student
pilots to obtain a plastic certificate with photo and treats student
pilot certificates equally with other pilot certificates for durational
purposes. Additionally, because of the photo requirement on pilot
certificates, this proposal modifies the process for obtaining a pilot
certificate and the fee structure for processing an application for a
pilot certificate with photo. This revision affects the existing
information collection requirements of FAA Form 8710-1 ``Airman
Certificate and/or Rating Application'' (OMB Approval Number 2120-
0021).
    Use of: This proposed rule is in direct response to section 4022 of
the Intelligence Reform and Terrorism Prevention Act (IRTPA). This
request for clearance reflects requirements necessary under Title 14
CFR part 61 to require a person to carry a pilot certificate with photo
to exercise the privileges of the pilot certificate. The FAA will use
the information it collects and reviews to ensure compliance and
adherence to regulations and, where necessary, to take enforcement
action on violators of the regulations.
    Respondents (including number of): The FAA estimates there are
740,442 pilots who would be required to provide information in
accordance with the proposed rule. The respondents to this proposed
information requirement are pilots regulated under part 61.
    Frequency: The FAA estimates certificate holders will have a one-
time information collection, and will then collect or report
information occasionally thereafter.
    Annual Burden Estimate: This proposal would result in a 20-year
recordkeeping and reporting burden as follows:
    Summary of time and costs (20-year):
    The following table sums up the costs and time:

----------------------------------------------------------------------------------------------------------------
                                      Total cost          Annual cost         Total time          Annual time
----------------------------------------------------------------------------------------------------------------
Pilot-related costs:
    Trigger--Initial                      $4,221,982            $211,099           82,923.34            4,146.17
     Registration...............
    Non-Trigger--Initial                 191,555,276           9,577,764        3,521,734.67          176,086.73
     Registration...............
    Non-Trigger--Renewal........         149,053,511           7,452,676        2,740,341.74          137,017.09
    Additional/Replacement......           9,654,806             482,740          363,509.25           18,175.46
Portals:
    KTC.........................          10,100,840             505,042          655,048.00           32,752.40
    DPE.........................          17,545,925             877,296          233,945.67           11,697.28
FAA Contractor..................           5,328,284             266,414                 N/A                 N/A
                                 -------------------------------------------------------------------------------
    Total.......................         387,460,624          19,373,031        7,597,502.66          379,875.13
----------------------------------------------------------------------------------------------------------------

    The agency is soliciting comments to--
    (1) Evaluate whether the proposed information requirement is
necessary for the proper performance of the functions of the agency,
including whether the information will have practical utility;
    (2) Evaluate the accuracy of the agency's estimate of the burden;
    (3) Enhance the quality, utility, and clarity of the information to
be collected; and
    (4) Minimize the burden of collecting information on those who are
to respond, including by using appropriate automated, electronic,
mechanical, or other technological collection techniques or other forms
of information technology.
    Individuals and organizations may send comments on the information
collection requirement by January 18, 2011 and should direct them to
the address listed in the Addresses section at the beginning of this
preamble. Comments also should be submitted to the Office of
Information and Regulatory Affairs, OMB, New Executive Building, Room
10202, 725 17th Street, NW., Washington, DC 20053, Attention: Desk
Officer for FAA.
    According to the 1995 amendments to the Paperwork Reduction Act (5
CFR Sec.  1320.8(b)(2)(vi)), an agency may not collect or sponsor the
collection of information, nor may it impose an information collection
requirement unless it displays a currently valid OMB control number.
The OMB control number for this information collection will be
published in the Federal Register, after the Office of Management and
Budget approves it.

International Compatibility

    In keeping with U.S. obligations under the Convention on
International Civil Aviation, it is FAA policy to comply with
International Civil Aviation Organization (ICAO) Standards and
Recommended Practices to the maximum extent practicable. The FAA has
determined that this rulemaking is consistent with ICAO Standards and
Recommended Practices.

Regulatory Evaluation, Regulatory Flexibility Determination,
International Trade Impact Assessment, and Unfunded Mandates Assessment

    Changes to Federal regulations must undergo several economic
analyses. First, Executive Order 12866 directs that each Federal agency
shall propose or adopt a regulation only upon a reasoned determination
that the benefits of the intended regulation justify its costs. Second,
the Regulatory Flexibility Act of 1980 (Pub. L. 96-354) requires
agencies to analyze the economic impact of regulatory changes on small
entities. Third, the Trade Agreements Act (Pub. L. 96-39) prohibits
agencies from setting standards that create unnecessary obstacles to
the foreign commerce of the United States. In developing U.S.
standards, this Trade Act requires agencies to consider international
standards and, where appropriate, that they be the basis of U.S.
standards. Fourth, the Unfunded Mandates Reform Act of 1995 (Pub. L.
104-4) requires agencies to prepare a written assessment of the costs,
benefits, and other effects of proposed or final rules that include a
Federal mandate likely to result in the expenditure by State, local, or
tribal governments, in the aggregate, or by the private sector, of $100
million or more annually (adjusted for inflation with base year of
1995). This portion of the preamble summarizes the FAA's analysis of
the economic impacts of this final rule. The FAA suggests readers
seeking greater detail read the full regulatory evaluation, a copy of
which is in the docket for this rulemaking.
    In conducting these analyses, FAA has determined that this rule:
(1) Has benefits that justify its costs, (2) is not an ``economically
significant regulatory action'' but is a ``significant regulatory
action'' for other reasons as defined in section 3(f) of Executive
Order 12866, (3) is ``significant'' as defined in DOT's Regulatory
Policies and Procedures; (4) would not have a significant economic
impact on a substantial number of small entities; (5) would not create
unnecessary obstacles to the foreign commerce of the United States; and
(6) would not impose an unfunded mandate on state, local, or tribal
governments, or on the private sector by exceeding the threshold
identified above. These analyses are summarized below.

Summary

    In this analysis, the FAA estimated future costs for a 20-year
period, from 2010 through 2029. All costs in this analysis are in 2008
dollars.
    There are currently about 740,000 pilots and 93,000 CFIs that would
be covered by this proposal. Given future projected growth in all pilot
categories and given the requirement to renew every 8 years, the FAA
anticipates that the FAA would process 4.40 million photo IDs from 2010
to 2029.
    Costs to pilots would sum to $445.8 million ($235.8 million,
present value) over the above 20-year period. This includes the costs
of the pilots providing hard copy photos and a Form 8710-1 to a portal
designee, either a Knowledge Testing Center, Designated Pilot Examiner,
or Flight Service District Office. These portals would incur costs of
$33.2 million ($17.6 million, present value) to process this
information and pass it on to the Airman Registry at the FAA. The FAA
would incur costs of $239.8 million ($126.7 million, present, value) to
process the certificates. Total costs, over 20 years, sum to $718.7
million ($380.1 million, present value).
    This proposal responds to IRTPA by requiring digital photos on all
pilot certificates. Congress has mandated that the FAA improve pilot
licenses by including a photo on the license. The proposal requiring
owners to personally appear before authorized persons and to produce
proof of identity including photo identification would be a significant
help in the prevention of fraudulent and fictitious registration.

Initial Regulatory Flexibility Determination

    The Regulatory Flexibility Act of 1980 (RFA) establishes ``as a
principle of regulatory issuance that agencies shall endeavor,
consistent with the objective of the rule and of applicable statutes,
to fit regulatory and informational requirements to the scale of the
business, organizations, and governmental jurisdictions subject to
regulation.'' To achieve that principle, the RFA requires agencies to
solicit and consider flexible regulatory proposals and to explain the
rationale for their actions. The RFA covers a wide-range of small
entities, including small businesses, not-for-profit organizations and
small governmental jurisdictions.
    Agencies must perform a review to determine whether a proposed or
final rule will have a significant economic impact on a substantial
number of small entities. If the determination is that it will, the
agency must prepare a regulatory flexibility analysis as described in
the RFA.
    However, if an agency determines that a proposed or final rule is
not expected to have a significant economic impact on a substantial
number of small entities, section 605(b) of the 1980 act provides that
the head of the agency may so certify and a regulatory flexibility
analysis is not required. The certification must include a statement
providing the factual basis for this determination, and the reasoning
should be clear.
    A number of commercial pilots are employed as crop dusters, as
passenger and freight charter operators, in aerial photography and
mapmaking businesses, in sightseeing businesses, and/or in flight
schools, many of which are small businesses. The FAA does not have data
as to how many such pilots are employed in each of these businesses.
While in a rural setting, the entire process may take half a day, the
pilot would have large latitude in choosing which day to get the
certificate. These types of small businesses are often seasonal,
meaning that in almost all cases, the pilot would not have to miss a
day of work in order to get a pilot certificate with photo.
    The cost impact to any one pilot and to any business would not be
large. The average cost to a pilot in a ``non-trigger'' event is higher
than that of a ``trigger'' event as the time and mileage needs to be
taken into account as well as the portal costs. The average cost for a
``non-trigger'' event is about $175. These commercial pilots would have
a phase-in period of 4 years and then would have to renew every 8
years. Thus, over a 20-year period, such a pilot would have to get 3
pilot certificates, for a cost of about $375; the average annual cost
is $19, which is not a significant impact.
    Therefore, the FAA certifies that this proposed rule would not have
a significant economic impact on a substantial number of small
entities. The FAA solicits comments regarding this determination.

International Trade Impact Statement

    The Trade Agreements Act of 1979 (Pub. L. 96-39), as amended by the
Uruguay Round Agreements Act (Pub. L. 103-465), prohibits Federal
agencies from establishing standards or engaging in related activities
that create unnecessary obstacles to the foreign commerce of the United
States.

Pursuant to these Acts, the establishment of standards is not
considered an unnecessary obstacle to the foreign commerce of the
United States, so long as the standard has a legitimate domestic
objective, such the protection of safety, and does not operate in a
manner that excludes imports that meet this objective. The statute also
requires consideration of international standards and, where
appropriate, that they be the basis for U.S. standards. The FAA has
assessed the potential effect of this proposed rule and determined that
it would have only a domestic impact and therefore would not create
unnecessary obstacles to the foreign commerce of the United States.

Unfunded Mandates Determination

    Title II of the Unfunded Mandates Reform Act of 1995 (the Act)
requires each Federal agency to prepare a written statement assessing
the effects of any Federal mandate in a proposed or final agency rule
that may result in an expenditure of $100 million or more (adjusted
annually for inflation) in any one year by State, local, and tribal
governments, in the aggregate, or by the private sector; such a mandate
is deemed to be a ``significant regulatory action.'' The FAA currently
uses an inflation-adjusted value of $136.1 million in lieu of $100
million.
    This proposed rule does not contain such a mandate. The
requirements of Title II do not apply.

Executive Order 13132, Federalism

    The FAA has analyzed this proposed rule under the principles and
criteria of Executive Order 13132, Federalism. The FAA has determined
that this action would not have a substantial direct effect on the
States, on the relationship between the national Government and the
States, or on the distribution of power and responsibilities among the
various levels of government, and, therefore, would not have federalism
implications.

Environmental Analysis

    FAA Order 1050.1E identifies FAA actions that are categorically
excluded from preparation of an environmental assessment or
environmental impact statement under the National Environmental Policy
Act in the absence of extraordinary circumstances. The FAA has
determined this proposed rulemaking action qualifies for the
categorical exclusion identified in paragraph 312f and involves no
extraordinary circumstances.

Regulations That Significantly Affect Energy Supply, Distribution, or
Use

    The FAA has analyzed this NPRM under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use (May 18, 2001). The FAA has determined that it is
not a ``significant energy action'' under the executive order because
it is not likely to have a significant adverse effect on the supply,
distribution, or use of energy.

Additional Information

Comments Invited

    The FAA invites interested persons to participate in this
rulemaking by submitting written comments, data, or views on any issue
raised in this rulemaking. The FAA also invites comments relating to
the economic, environmental, energy, or federalism impacts that might
result from adopting the proposals in this document. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. To
ensure the docket does not contain duplicate comments, please send only
one copy of written comments, or if you are filing comments
electronically, please submit your comments only one time.
    All comments received will be filed in the docket, as well as a
report summarizing each substantive public contact with FAA personnel
concerning this proposed rulemaking. Before acting on this proposal,
the FAA will consider all comments it receives on or before the closing
date for comments. The FAA will consider comments filed after the
comment period has closed if it is possible to do so without incurring
expense or delay. The FAA may change this proposal in light of the
comments received.

Availability of Rulemaking Documents

    You can get an electronic copy of rulemaking documents using 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.gpoaccess.gov/fr/index.html.
    You can also get a copy by sending a request to the Federal
Aviation Administration, Office of Rulemaking, ARM-1, 800 Independence
Avenue, SW., Washington, DC 20591, or by calling<PHONE_NUMBER>. Make
sure to identify the docket number, notice number, or amendment number
of this rulemaking.
    You may access all documents the FAA considered in developing this
proposed rule, including economic analyses and technical reports, from
the internet through the Federal eRulemaking Portal referenced in
paragraph (1).

List of Subjects in 14 CFR Parts 61 and 183

    Aircraft, Airmen, Aviation safety, Reporting and recordkeeping
requirements, Security measures.

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation
Administration proposes to amend Chapter I of Title 14, Code of Federal
Regulations, as follows:

PART 61--CERTIFICATION: PILOTS, FLIGHT INSTRUCTORS, AND GROUND
INSTRUCTORS

    1. The authority citation for part 61 continues to read as follows:

    Authority: 49 U.S.C. 106(G), 40113, 44701-44703, 44707, 44709-
44711, 45102-45103, 45301-45302.

    2. Amend Sec.  61.3 by revising paragraphs (a), (d)(2)(iv), and
paragraph (l) introductory text to read as follows:

Sec.  61.3  Requirement for certificates, ratings, and authorizations.

    (a) Pilot certificate. (1) A person may not serve as a required
pilot flight crewmember of a civil aircraft of the United States,
unless that person:
    (i) Has a pilot certificate issued under this part and in
accordance with Sec.  61.19;
    (ii) Has a special purpose pilot authorization issued under Sec.
61.77;
    (iii) Has a temporary certificate issued under Sec.  61.17;
    (iv) Has a facsimile certificate issued under Sec.  61.29; or
    (v) When operating an aircraft within a foreign country, has a
pilot license issued by that country.
    (2) The pilot certificate or special authorization must be in the
person's physical possession or readily accessible in the aircraft when
exercising the privileges of that pilot certificate or authorization.
    (3) If the pilot certificate or authorization is not a pilot
certificate with photo, a person may not serve as a required pilot
flight crewmember of a civil aircraft of the United States, unless that
person has a photo identification in that person's physical possession
or readily accessible in the aircraft when exercising the privileges of
that pilot certificate or authorization. The photo identification must
be a:

    (i) Driver's license issued by a State, the District of Columbia,
or a territory or possession of the United States;
    (ii) Government identification card issued by the Federal
government, a State, the District of Columbia, or a territory or
possession of the United States;
    (iii) U.S. Armed Forces' identification card;
    (iv) Official passport;
    (v) Credential that authorizes unescorted access to a security
identification display area at an airport regulated under 49 CFR part
1542; or
    (vi) Other form of identification that the Administrator finds
acceptable.
* * * * *
    (d) * * *
    (2) * * *
    (iv) Endorse a logbook for solo operating privileges.
* * * * *
    (l) Inspection of certificate. Each person who holds an airman
certificate, medical certificate, authorization, or license required by
this part must present it and, unless the pilot certificate contains a
photo, a photo identification as described in paragraph (a)(2) of this
section for inspection upon a request from:
* * * * *
    3. Add a new Sec.  61.6 to read as follows:

Sec.  61.6  Pilot certificate with photo and photo requirements.

    (a) Trigger-based implementation. Except as provided in Sec.
61.19(h)(2), after [effective date of final rule], all persons must
apply for a pilot certificate with photo and provide a photo that
conforms to the requirements prescribed in paragraph (b) of this
section when:
    (1) Obtaining a new pilot certificate or rating (including student
pilot certificate);
    (2) Obtaining a new flight instructor certificate;
    (3) Renewing a flight instructor certificate; or
    (4) Obtaining a replacement pilot certificate resulting from a
change of name, citizenship, date of birth, or gender.
    (b) Photo Requirements. (1) A photo provided with an application
for a new or replacement pilot certificate with photo must--
    (i) Be unretouched and in color;
    (ii) Be a recent likeness of only the applicant (taken within the
last six months) and show a full front view of the applicant's face in
such a way that the area from the bottom of the applicant's chin to the
top of the applicant's head (including hair) covers more than 50
percent but not more than 75 percent of the total area of the photo;
and
    (iii) Show the applicant in front of a plain light-colored
background and in normal street attire, without a hat, head covering,
or dark glasses unless a signed statement is submitted by the applicant
verifying the item is worn daily for religious purposes or a signed
doctor's statement is submitted verifying the item is used daily for
medical purposes.
    (2) A photo provided with an application for a pilot certificate or
rating must measure 2 x 2 inches in size.
    (c) Application for new or replacement pilot certificate with
photo. (1) A photo of the applicant that conforms to the requirements
prescribed in paragraph (b) of this section must accompany each
application for a new or replacement pilot certificate with photo
unless the applicant previously submitted a photo and that photo has
not expired or will not expire within 90 days of the application.
    (2) An applicant for a pilot certificate with photo must make an
application accompanied by a photo at a place designated by the
Administrator.
    (3) An applicant for a replacement pilot certificate with photo who
has a current photo on file may make an application that is not
accompanied by a photo at a place designated by the Administrator or by
mail to the Department of Transportation, FAA, Airman Certification
Branch, P.O. Box 25082, Oklahoma City, OK 73125.
    (4) Payment to the FAA of the fee specified in paragraph (d) of
this section by check, money order, or other payment method approved by
the Administrator must accompany each application for a new or
replacement pilot certificate with photo.
    (d) Fee for issuance of pilot certificate with photo. The fee for
processing an application for a new or replacement pilot certificate
with photo is $22. The FAA periodically may increase this fee to
correspond with changes in the Consumer Price Index.
    4. Amend Sec.  61.13 by revising paragraphs (a)(1) and (a)(2)(i)(A)
to read as follows:

Sec.  61.13  Issuance of airman certificates, ratings, and
authorizations.

    (a) Application. (1) An applicant for an airman certificate,
rating, or authorization under this part must make that application on
a form acceptable to the Administrator and at a place designated by the
Administrator. In addition, an applicant for a pilot certificate with
photo must make that application as prescribed in Sec.  61.6.
    (2) * * *
    (i) * * *
    (A) Application for student pilot certificate that is received
outside the United States; or
* * * * *
    5. Amend Sec.  61.19 by revising paragraphs (a), (b), and (c), and
(g) to read as follows:

Sec.  61.19  Duration of pilot and instructor certificates and
privileges.

    (a) General. (1) Except for a student pilot certificate or flight
instructor certificate issued with an expiration date, a pilot
certificate is valid unless it is surrendered, suspended, or revoked.
    (2) A pilot certificate with photo is issued with a photo
expiration date after which the holder of the certificate may not
exercise the privileges of that certificate.
    (b) Paper student pilot certificate. A student pilot certificate
issued under this part prior to [effective date of final rule] expires:
    (1) For student pilots who have not reached their 40th birthday, 60
calendar months after the month of the date of examination shown on the
medical certificate.
    (2) For student pilots who have reached their 40th birthday, 24
calendar months after the month of the date of examination shown on the
medical certificate.
    (3) For student pilots seeking a glider rating, balloon rating, or
a sport pilot certificate, 60 calendar months after the month of the
date issued, regardless of the person's age.
    (c) Pilot certificates. (1) A pilot certificate (other than a
student pilot certificate) issued under this part prior to [effective
date of final rule] is issued without a specific expiration date.
    (2) A pilot certificate, including a student pilot certificate,
issued under this part after [effective date of final rule] contains a
photo expiration date that is 96 months from the month in which a photo
is submitted for inclusion on the certificate.
    (3) The holder of a pilot certificate issued on the basis of a
foreign pilot license may exercise the privileges of that certificate
only while that person's foreign pilot license is effective.
* * * * *
    (g) Duration of pilot certificates. (1) Except for a temporary
certificate issued under Sec.  61.17 or a student pilot certificate
issued under paragraph (b) of this section, the holder of a paper pilot
certificate issued under this part may not exercise the privileges of
that certificate after March 31, 2010.
    (2) Except for a temporary certificate issued under Sec.  61.17 or
a facsimile certificate issued under Sec.  61.29, no person may
exercise the privileges of a

particular certificate as pilot in command or in any other capacity as
a required pilot flight crewmember of a civil aircraft of U.S. registry
unless that person has a photo on his or her pilot certificate after:
    (i) [Date 3 years after publication of final rule] for a pilot
holding an airline transport pilot certificate;
    (ii) [Date 4 years after publication of final rule] for a pilot
holding a commercial pilot certificate; or
    (iii) [Date 5 years after publication of final rule] for a pilot
holding a private, recreational or sport pilot certificate.
    6. Amend Sec.  61.25 by adding paragraph (c) to read as follows:

Sec.  61.25  Change of name.

* * * * *
    (c) For applications for a pilot certificate with photo, an
applicant must make that application as prescribed in Sec.  61.6.
    7. Amend Sec.  61.29 by revising the section heading, revising
paragraphs (a), (b), (c), (d) introductory text, and (e) introductory
text to read as follows:

Sec.  61.29  Replacement of a pilot certificate with photo and
replacement of lost or destroyed airman or medical certificate or
knowledge test report.

    (a)(1) Pilot certificate with photo. A request for the replacement
of a pilot certificate with photo issued under this part must be made
as prescribed in Sec.  61.6.
    (2) Other airman certificate. A request for the replacement of a
lost or destroyed airman certificate issued under this part must be
made by letter to the Department of Transportation, FAA, Airman
Certification Branch, P.O. Box 25082, Oklahoma City, OK 73125, and must
be accompanied by a check or money order for the appropriate fee
payable to the FAA.
    (b) Medical certificate. A request for the replacement of a lost or
destroyed medical certificate must be made by letter to the Department
of Transportation, FAA, Aerospace Medical Certification Division, P.O.
Box 26200, Oklahoma City, OK 73125, and must be accompanied by a check
or money order for the appropriate fee payable to the FAA.
    (c) Knowledge test report. A request for the replacement of a lost
or destroyed knowledge test report must be made by letter to the
Department of Transportation, FAA, Airman Certification Branch, P.O.
Box 25082, Oklahoma City, OK 73125, and must be accompanied by a check
or money order for the appropriate fee payable to the FAA.
    (d) Request for replacement. The letter requesting replacement of a
pilot certificate with photo or a lost or destroyed airman certificate,
medical certificate, or knowledge test report must state:
* * * * *
    (e) Facsimile airman certificate, medical certificate, or knowledge
test report. A person who has lost an airman certificate, medical
certificate, or knowledge test report may obtain a facsimile from the
FAA Aeromedical Certification Branch or the Airman Certification
Branch, as appropriate, confirming that it was issued and the:
* * * * *
    8. Revise Sec.  61.85 to read as follows:

Sec.  61.85  Application.

    An applicant for a student pilot certificate:
    (a) Must make that application in a form acceptable to the
Administrator;
    (b) Must provide a photo of the applicant that conforms to the
photo requirements set forth in Sec.  61.6 with the application;
    (c) Must submit the application to a designee authorized by the
Administrator or to a Flight Standards District Office; and
    (d) Must submit payment for the application fee as directed in
Sec.  61.6.
    9. Amend Sec.  61.87 by revising paragraph (n), by adding the word
``and'' after the semicolon in paragraph (p)(3), removing paragraph
(p)(4), and redesignating paragraph (p)(5) as paragraph (p)(4) to read
as follows:

Sec.  61.87  Solo requirements for student pilots.

* * * * *
    (n) Limitations on student pilots operating an aircraft in solo
flight. A student pilot may not operate an aircraft in solo flight
unless that student pilot has received an endorsement in the student's
logbook for the specific make and model aircraft to be flown by an
authorized instructor who gave the training within the 90 days
preceding the date of the flight.
* * * * *
    10. Amend Sec.  61.93 by revising paragraphs (c)(1) and (c)(2) and
adding paragraph (c)(3) to read as follows:

Sec.  61.93  Solo cross-country flight requirements.

* * * * *
    (c) * * *
    (1) A student pilot must have a solo cross-country endorsement from
the authorized instructor who conducted the training that is placed in
that person's logbook for the specific category of aircraft to be
flown.
    (2) A student pilot must have a solo cross-country endorsement from
an authorized instructor that is placed in that person's logbook for
the specific make and model of aircraft to be flown.
    (3) For each cross-country flight, the authorized instructor who
reviews the cross-country planning must make an endorsement in the
person's logbook after reviewing that person's cross-country planning,
as specified in paragraph (d) of this section. The endorsement must--
    (i) Specify the make and model of aircraft to be flown;
    (ii) State that the student's preflight planning and preparation is
correct and that the student is prepared to make the flight safely
under the known conditions; and
    (iii) State that any limitations required by the student's
authorized instructor are met.
* * * * *
    11. Amend Sec.  61.133 by revising paragraphs (a)(2)(i)(C) and
(a)(2)(ii)(C) to read as follows:

Sec.  61.133  Commercial pilot privileges and limitations.

    (a) * * *
    (2) * * *
    (i) * * *
    (C) Endorse a pilot's logbook for solo operating privileges in an
airship;
* * * * *
    (ii) * * *
    (C) Endorse a pilot's logbook for solo operating privileges in a
balloon; and
* * * * *
    12. Amend Sec.  61.189 by revising paragraph (b)(1) to read as
follows:

Sec.  61.189  Flight instructor records.

* * * * *
    (b) * * *
    (1) The name of each person whose logbook that instructor has
endorsed for solo flight privileges, and the date of the endorsement;
and
* * * * *
    13. Amend Sec.  61.195 by revising paragraphs (d)(1) introductory
text and (d)(2) to read as follows:

Sec.  61.195  Flight instructor limitations and qualifications.

* * * * *
    (d) * * *
    (1) Student pilot's logbook for solo flight privileges, unless that
flight instructor has--
* * * * *
    (2) Student pilot's logbook for a solo cross-country flight, unless
that flight instructor has determined the student's flight preparation,
planning, equipment, and proposed procedures are adequate for the
proposed flight under the existing conditions and within any

limitations listed in the logbook that the instructor considers
necessary for the safety of the flight;
* * * * *

PART 183--REPRESENTATIVES OF THE ADMINISTRATOR

    14. The authority citation for part 183 continues to read as
follows:

    Authority: 31 U.S.C. 9701; 49 U.S.C. 106(g), 40113, 44702,
45303.

    15. Amend Sec.  183.21 by revising paragraph (c) and removing and
reserving paragraph (d) to read as follows:

Sec.  183.21  Aviation Medical Examiners.

* * * * *
    (c) Issue or deny medical certificates in accordance with part 67
of this chapter, subject to reconsideration by the Federal Air Surgeon
or his or her authorized representatives within the FAA; and
* * * * *

    Issued in Washington, DC, on November 10, 2010.
John M. Allen,
Director, Flight Standards Service.
[FR Doc. 2010-29192 Filed 11-18-10; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 86, Number 32 (Friday, February 19, 2021)]
[Notices]
[Pages 10378-10379]
[FR Doc No: 2021-03344]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91127; File No. SR-CBOE-2020-075]

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of
Designation of a Longer Period for Commission Action on Proceedings To
Determine Whether To Approve or Disapprove a Proposed Rule Change, as
Modified by Amendment No. 2, To Make Qualified Contingent Cross Orders
Available for FLEX Option Trading

February 12, 2021.
    On August 3, 2020, Cboe Exchange, Inc. filed with the Securities
and Exchange Commission (``Commission''), pursuant to Section 19(b)(1)
of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to make Qualified Contingent
Cross Orders available for FLEX option trading. The proposed rule
change was published in the Federal Register on August 20, 2020.\3\ On
October 1, 2020, pursuant to Section 19(b)(2) of the Act,\4\ the
Commission designated a longer period within which to approve the
proposed rule change, disapprove the proposed rule change, or institute
proceedings to determine whether to disapprove the proposed rule
change.\5\ On October 23, 2020, the Exchange submitted Amendment No. 1
to the proposed rule change, which replaced and superseded the proposed
rule change as originally filed.\6\ On November 18, 2020, the
Commission instituted proceedings under Section 19(b)(2)(B) of the Act
\7\ to determine whether to approve or disapprove the proposed rule
change, as modified by Amendment No. 1.\8\ On February 2, 2021, the
Exchange submitted Amendment No. 2 to the proposed rule change, which
replaced and superseded the proposed rule change, as modified by
Amendment No. 1.\9\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 89564 (August 14,
2020), 85 FR 51531 (``Notice'').
    \4\ 15 U.S.C. 78s(b)(2).
    \5\ See Securities Exchange Act Release No. 90062, 85 FR 63312
(October 7, 2020).
    \6\ Amendment No. 1 is available on the Commission's website at:
https://www.sec.gov/comments/sr-cboe-2020-075/srcboe2020075-7940531-224727.pdf.
    \7\ 15 U.S.C. 78s(b)(2)(B).
    \8\ See Securities Exchange Act Release No. 90457, 85 FR 75071
(November 24, 2020).
    \9\ Amendment No. 2 is available on the Commission's website at:
https://www.sec.gov/comments/sr-cboe-2020-075/srcboe2020075-8330243-228699.pdf.
---------------------------------------------------------------------------

    Section 19(b)(2) of the Act \10\ provides that, after initiating
proceedings, the Commission shall issue an order approving or
disapproving the proposed rule change not later than 180 days after the
date of publication of notice of filing of the proposed rule change.
The Commission may extend the period for issuing an order approving or
disapproving the proposed rule change, however, by not more than 60
days if the Commission determines that a longer period is appropriate
and publishes the reasons for such determination. The proposed rule
change was published for comment in the Federal Register on August 20,
2020.\11\ The 180th day after publication of the Notice is February 16,
2021. The Commission is extending the time period for approving or
disapproving the proposal for an additional 60 days.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(2).
    \11\ See supra note 3.
---------------------------------------------------------------------------

    The Commission finds that it is appropriate to designate a longer
period within which to issue an order approving or disapproving the
proposed rule change so that it has sufficient time to consider the
proposed rule change, as modified by Amendment No. 2. Accordingly, the
Commission, pursuant to Section 19(b)(2) of the Act,\12\ designates
April 17, 2021, as the date by which the Commission shall either
approve or disapprove the proposed rule change (File Number SR-CBOE-
2020-075), as modified by Amendment No. 2.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(2).

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
---------------------------------------------------------------------------

    \13\ 17 CFR 200.30-3(a)(57).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2021-03344 Filed 2-18-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 167 (Monday, August 29, 2016)]
[Notices]
[Pages 59220-59221]
[FR Doc No: 2016-20616]

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

ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2016-0047; FRL-9948-77-OEI]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; School Integrated Pest Management Awards
Program

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: EPA has submitted the following information collection request
(ICR) to the Office of Management and Budget (OMB) for review and
approval in accordance with the Paperwork Reduction Act: ``School
Integrated Pest Management Awards Program'' (EPA ICR No. 2531.01, OMB
Control No. 2070-NEW). This is a request for approval of a new
collection. EPA did not receive any comments in response to the
previously provided public review opportunity issued in the Federal
Register of March 21, 2016 (81 FR 15107). With this submission, EPA is
providing an additional 30 days for public review.

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

ADDRESSES: Submit your comments, identified by Docket ID Number EPA-HQ-
OPP-2016-0047, to both EPA and OMB as follows:
    [ssquf] To EPA online using http://www.regulations.gov (our
preferred method) or by mail to: EPA Docket Center, Environmental
Protection Agency, Mail Code 28221T, 1200 Pennsylvania Ave. NW.,
Washington, DC 20460, and
    [ssquf] To OMB via email to<EMAIL_ADDRESS>Address
comments to OMB Desk Officer for EPA.
    EPA's policy is that all comments received will be included in the
public docket without change including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI) or other
information for which disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Lily G. Negash, Field and External
Affairs Division (7506P), Office of Pesticide Programs, Environmental
Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460;
telephone number:<PHONE_NUMBER>; email address<EMAIL_ADDRESS>@epa.gov.

SUPPLEMENTARY INFORMATION:
    Docket: Supporting documents, including the ICR that explains in
detail the information collection activities and the related burden and
cost estimates that are summarized in this document, are available in
the docket for this ICR. The docket can be viewed online at http://www.regulations.gov or in person at the EPA Docket Center, William
Jefferson Clinton Bldg. West, Room 3334, 1301 Constitution Ave. NW.,
Washington, DC. The telephone number for the Docket Center is (202)
566-1744. For additional information about EPA's public docket, visit
http://www.epa.gov/dockets.
    ICR status: This is a new ICR. Under PRA, 44 U.S.C. 3501 et seq.,
an agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information, unless it displays a currently
valid OMB control number. The OMB control numbers are displayed either
by publication in the Federal Register or by other appropriate means,
such as on the related collection instrument or form, if applicable.
The display of OMB control numbers for certain EPA regulations is
consolidated in 40 CFR part 9.
    Abstract: This new ICR will cover the paperwork activities
associated with EPA's program to encourage the use of Integrated Pest
Management (IPM) as the preferred approach to pest control in the
nation's schools. IPM is a smart, sensible, and sustainable approach to
pest control that emphasizes the remediation of pest conducive
conditions. IPM combines a variety of pest management practices to
provide effective, economical pest control with the least possible
hazard to people, property, and the environment. These practices
involve exclusion of pests, maintenance of sanitation, and the
judicious use of pesticides. The EPA's statutory authorities for this
collection of information are set forth in the Pollution Prevention Act
of 1990, the Federal Insecticide, Fungicide, and Rodenticide Act
(FIFRA), and the Food Quality Protection Act (FQPA) of 1996.
    The Agency's IPM implementation efforts are based on a wholesale
approach aimed at kindergarten through 12th grade public and Tribal
schools. The Agency intends to use the information collected through
this ICR to encourage school districts to implement IPM programs and to
recognize those that have attained a notable level of success. Because
IPM implementation occurs along a continuum, the School IPM (SIPM)
incentive program will recognize each milestone step a school district
must take to begin, grow, and sustain an IPM program.
    This program has five awards categories--Great Start, Leadership,
Excellence, Sustained Excellence, and Connector or National Change
Agency Award. The first four categories are stepwise levels that are
reflective of the effort, experience, and, ultimately, success that
results from implementing EPA-recommended IPM tactics that protect
human health and the environment. Schools with pest infestations are
not only exposed to potential harm to health and property, but also to
stigmatization. The School IPM recognition program will give districts
across the nation the opportunity to receive positive reinforcement
through public recognition of their efforts in implementing pest
prevention and management strategies.
    Form Names/numbers: Great Start Award; Leadership Award; Excellence
Award; Connector or National Change Agency Award.
    Respondents/affected entities: Entities potentially affected by
this ICR are school districts, or other entities represent by them.
    Respondent's obligation to respond: Voluntary, required to obtain
or retain a benefit.
    Estimated number of respondents: Annual average of 53 (total).
    Frequency of response: On occasion.
    Total estimated burden: 859 hours (per year). Burden is defined at
5 CFR 1320.03(b).
    Total estimated cost: $72,000 (per year), includes $0 annualized
capital or operation and maintenance costs.
    Changes in the Estimates: This is a new ICR.

    Authority:  44 U.S.C. 3501 et seq.

Courtney Kerwin,
Director, Regulatory Support Division.
[FR Doc. 2016-20616 Filed 8-26-16; 8:45 am]
 BILLING CODE 6560-50-P