[Federal Register: December 5, 2007 (Volume 72, Number 233)]
[Rules and Regulations]
[Page 68473-68477]
[DOCID:fr05de07-2]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 11, 13, 17, 36, 91, 139, 150, 193, 404, and 406

Change in Address for the Department of Transportation (DOT) and
DOT Migration to the Federal Docket Management System (FDMS)

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; technical amendment.

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

SUMMARY: This action updates the Department of Transportation (DOT)
addresses, changes references from the Docket Management System to the
Federal Docket Management System (FDMS), and removes obsolete
information listed in FAA regulations as a result of DOT's relocation,
migration to the Federal electronic docket system, and closure of the
DOT Branch Library. The intended effect of this action is to ensure
that the regulated public is informed of address changes, electronic
docket changes, and other administrative matters.

DATES: Effective December 5, 2007.

FOR FURTHER INFORMATION CONTACT: Barbara Dinkins, Office of Rulemaking,
ARM-210, Federal Aviation Administration, 800 Independence Avenue, SW.,
Washington, DC 20591; telephone:<PHONE_NUMBER>); facsimile: (202-267-
5075); e-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: This technical amendment addresses the
following administrative changes--
    (1) The Department of Transportation (DOT) relocation of its entire
headquarters to 1200 New Jersey Avenue, SE., Washington, DC;
    (2) The DOT migration to the governmentwide electronic Federal
Document Management System (FDMS) which replaces the old DOT Docket
Management System (DMS); and
    (3) Closure of DOT Transportation Branch Library.
    As a result of these changes, the FAA is amending 14 CFR parts 11,
13, 17, 36, 91, 139, 150, 193, 404, and 406.
    Because these actions are merely administrative in nature and
removes outdated references, the FAA finds that notice and public
procedure under 5 U.S.C. 553(b) is unnecessary. For the same reason,
the FAA finds that good cause exists under 5 U.S.C. 5553(d) for making
this amendment effective upon publication.

List of Subjects

14 CFR Part 11

    Administrative practice and procedure, Reporting and recordkeeping
requirements.

14 CFR Part 13

    Administrative practice and procedure, Air transportation, Aviation
safety, Hazardous materials transportation, Investigations, Law
enforcement, Penalties.

14 CFR Part 17

    Administrative practice and procedure, Authority delegations
(Government agencies), Government contracts.

14 CFR Part 36

    Agriculture, Aircraft, Noise control.

14 CFR Part 91

    Afghanistan, Agriculture, Air traffic control, Aircraft, Airmen,
Airports, Aviation Safety, Canada, Cuba, Ethiopia, Freight, Mexico,
Noise control, Political candidates, Reporting and recordkeeping
requirements, Yugoslavia.

14 CFR Part 139

    Air carriers, Airports, Aviation safety, Reporting and
recordkeeping requirements.

14 CFR Part 150

    Airports, Noise control.

14 CFR Part 193

    Air transportation, Aviation safety, Reporting and recordkeeping
requirements, Security measures.

14 CFR Part 404

    Administrative practice and procedure, Space transportation and
exploration.

14 CFR Part 406

    Administrative practice and procedure, Confidential business
information, Investigations, Penalties, Space transportation and
exploration.

The Amendments

0
In consideration of the foregoing, the Federal Aviation Administration
amends 14 CFR chapters I and III as follows:

PART 11--GENERAL RULEMAKING PROCEDURES

0
1. The authority citation for part 11 continues to read as follows:

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

0
2. Amend Sec.  11.25 by revising the last sentence in paragraph (a)
introductory text to read as follows:

Sec.  11.25  How does FAA issue rules?

    (a) * * * We also make all documents available to the public by
posting them in the Federal Docket Management System at http://www.regulations.gov
.

* * * * *

0
3. Amend Sec.  11.33 by revising paragraph (a) to read as follows:

Sec.  11.33  How can I track FAA's rulemaking activities?

* * * * *
    (a) Docket ID. We assign a docket ID to each rulemaking document
proceeding. Each rulemaking document FAA issues in a particular
rulemaking proceeding, as well as public comments on the proceeding,
will display the same docket ID. This ID allows you to search the
Federal Docket Management System (FDMS) for information on most
rulemaking proceedings. You can view and copy docket materials during
regular business hours at the U.S. Department of Transportation, Docket
Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey
Avenue, SE., Washington, DC 20590. Or you can view and download
docketed materials through the Internet at http://www.regulations.gov.

If you can't find the material in the electronic docket, contact the
person listed under FOR FURTHER INFORMATION CONTACT in the document you
are interested in.
* * * * *

0
4. Revise Sec.  11.35 section heading to read as follows:

Sec.  11.35  Does FAA include sensitive security information and
proprietary information in the Federal Docket Management System (FDMS)?

* * * * *

0
5. Amend Sec.  11.45 by revising paragraph (a) introductory text,
(a)(1), (a)(2), and (c) to read as follows:

Sec.  11.45  Where and when do I file my comments?

    (a) Send your comments to the location specified in the rulemaking
document on which you are commenting. If you are asked to send your
comments to the Federal Document Management System, you may send them
in either of the following ways:
    (1) By mail to: U.S. Department of Transportation, Docket
Operations, West Building Ground Floor, Room W12-140, 1200 New Jersey
Avenue, SE., Washington, DC 20590.
    (2) Through the Internet to http://www.regulations.gov.

* * * * *
    (c) We may reject your paper or electronic comments if they are
frivolous, abusive, or repetitious. We may reject comments you file
electronically if you do not follow the electronic filing instructions
at the Federal Docket Management System Web site.
0
6. Amend Sec.  11.63 by revising paragraphs (a)(2), (b)(1), and (b)(2)
to read as follows:

Sec.  11.63  How and to whom do I submit my petition for rulemaking or
petition for exemption?

    (a) * * *
    (2) To the U.S. Department of Transportation, Docket Operations,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590 or to this Internet address: http://www.regulations.gov
.

    (b) * * *
    (1) By paper submission, send the original signed copy of your
petition for rulemaking or exemption to this address: U.S. Department
of Transportation, Docket Operations, West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.
    (2) By electronic submission, submit your petition for rulemaking
or exemption to FAA through the Internet using the Federal Document
Management System Web site at http://www.regulations.gov.

* * * * *

PART 13--INVESTIGATIVE AND ENFORCEMENT PROCEDURES

0
7. The authority citation for part 13 continues to read as follows:

     Authority: 18 U.S.C. 6002; 28 U.S.C. 2461 (note); 49 U.S.C.
106(g), 5121-5124, 40113-40114, 44103-44106, 44702-44703, 44709-
44710, 44713, 46101-46110, 46301-46316, 46318, 46501-46502, 46504-
46507, 47106, 47111, 47122, 47306, 47531-47532; 49 CFR 1.47.

0
8. Amend Sec.  13.210 by revising paragraph (e)(1) to read as follows:

Sec.  13.210  Filing of documents.

* * * * *
    (e) Internet accessibility of documents filed in the Hearing
Docket. (1) Unless protected from public disclosure by an order of the
ALJ under Sec.  13.226, all documents filed in the Hearing Docket are
accessible through the Federal Docket Management System (FDMS): http://www.regulations.gov.
 To access a particular case file, use the FDMS

number assigned to the case.
* * * * *

0
9. Amend Sec.  13.230 by revising paragraph (b) to read as follows:

Sec.  13.230  Record.

* * * * *
    (b) Examination and copying of record. Any person may examine the
record at the Hearing Docket, Federal Aviation Administration, 600
Independence Avenue, SW., Wilbur Wright Building--Room 2014,
Washington, DC 20591. Documents may also be examined and copied at the
U.S. Department of Transportation, Docket Operations, West Building
Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC
20590. Any person may have a copy of the record after payment of
reasonable costs to copy the record.

PART 17--PROCEDURES FOR PROTESTS AND CONTRACTS DISPUTES

0
10. The authority citation for part 17 continues to read as follows:

    Authority: 5 U.S.C. 570-581, 49 U.S.C. 106(f)(2), 40110, 40111,
40112, 46102, 46014, 46105, 46109, and 46110.

0
11. Amend Sec.  17.15 by revising paragraph (b)(1) to read as follows:

Sec.  17.15  Filing a protest.

* * * * *
    (b) * * *
    (1) Office of Dispute Resolution for Acquisition, Federal Aviation
Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW.,
Washington, DC 20591, telephone:<PHONE_NUMBER>, facsimile: (202) 267-
3720; or
* * * * *

0
12. Amend Sec.  17.25 by revising paragraph (b)(1) to read as follows:

Sec.  17.25  Filing a contract dispute.

* * * * *
    (b) * * *
    (1) Office of Dispute Resolution for Acquisition, Federal Aviation
Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW.,
Washington, DC 20591, telephone:<PHONE_NUMBER>, facsimile: (202) 267-
3720; or
* * * * *

0
13. Amend Sec.  17.27 by revising paragraph (c)(1) to read as follows:

Sec.  17.27  Submission of joint or separate statements.

* * * * *
    (c) * * *
    (1) Office of Dispute Resolution for Acquisition, Federal Aviation

Administration, AGC-70, 3rd Floor, 800 Independence Avenue, SW.,
Washington, DC 20591, telephone:<PHONE_NUMBER>, facsimile: (202) 267-
3720; or
* * * * *

PART 36--NOISE STANDARDS: AIRCRAFT TYPE AND AIRWORTHINESS
CERTIFICATION

0
14. The authority citation for part 36 continues to read as follows:

     Authority: 42 U.S.C. 4321, et seq.; 49 U.S.C. 106(g), 40113,
44701-44702, 44704, 44715; sec. 305, Pub. L. 96-193, 94 Stat. 50,
57; E.O. 11514, 35 FR 4247, 3 CFR, 1966-1970 Comp., P. 902.

0
15. Amend Sec.  36.6 by revising paragraph (e)(1) to read as follows,
removing paragraph (e)(2), and redesignating paragraphs (e)(3) and
(e)(4) as paragraphs (e)(2) and (e)(3) respectively:

Sec.  36.6  Incorporation by reference.

* * * * *
    (e) * * *
    (1) U.S. Department of Transportation, Docket Operations, West
Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590.
* * * * *

PART 91--GENERAL OPERATING AND FLIGHT RULES

0
16. The authority citation for part 91 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 1155, 40103, 40113, 40120, 44101,
44111, 44701, 44704, 44709, 44711, 44712, 44715, 44716, 44717,
44722, 46306, 46315, 46316, 46504, 46506-46507, 47122, 47508, 47528-
47531, articles 12 and 29 of the Convention on International Civil
Aviation (61 Stat. 1180).

0
17. Amend Sec.  91.851 by revising the definition of Chapter 4 noise
level to read as follows:

Sec.  91.851  Definitions.

* * * * *
    Chapter 4 noise level means a noise level at or below the maximum
noise level prescribed in Chapter 4, Paragraph 4.4, Maximum Noise
Levels, of the International Civil Aviation Organization (ICAO) Annex
16, Volume I, Amendment 7, effective March 21, 2002. The Director of
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part
51 approved the incorporation by reference of this document, which can
be obtained from the International Civil Aviation Organization (ICAO),
Document Sales Unit, 999 University Street, Montreal, Quebec H3C 5H7,
Canada. Also, you may obtain documents on the Internet at http://www.ICAO.int/eshop/index.cfm.
 Copies may be reviewed at the U.S.

Department of Transportation, Docket Operations, West Building Ground
Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590
or at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html
.

* * * * *

PART 139--CERTIFICATION OF AIRPORTS

0
18. The authority citation for part 139 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40113, 44701-44706, 44709, 44719.

0
19. Amend Sec.  139.111 by revising paragraph (c)(2) to read as
follows:

Sec.  139.111  Exemptions.

* * * * *
    (c) * * *
    (2) Federal Docket Management System, as specified under 14 CFR
part 11.

PART 150--AIRPORT NOISE COMPATIBILITY PLANNING

0
20. The authority citation for part 150 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40113, 44715, 47101, 47501-47504.

Sec.  150.13  [Amended]

0
21. Amend Sec.  150.13 by removing paragraph (e)(2) and redesignating
paragraphs (e)(3) and (e)(4) as (e)(2) and (e)(3), respectively.

PART 193--PROTECTION OF VOLUNTARILY SUBMITTED INFORMATION

0
22. The authority citation for part 193 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40113, 40123.

0
23. Amend Sec.  193.11 by revising the first sentence in paragraph (a)
to read as follows:

Sec.  193.11  What is the notice procedure?

* * * * *
    (a) Application. You may apply to have information designated as
protected under this part by submitting an application addressed to the
U.S. Department of Transportation, Docket Operations, West Building
Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC
20590 for paper submissions, and the Federal Docket Management System
(FDMS) Web page at http://www.regulations.gov for electronic

submissions.* * *
* * * * *

PART 404--REGULATIONS AND LICENSING REQUIREMENTS

0
24. The authority citation for part 404 continues to read as follows:

    Authority: 49 U.S.C. 70101-70121.

0
25. Amend Sec.  404.3 by revising paragraph (b)(1)(ii) to read as
follows:

Sec.  404.3  Filing of petitions to the Associate Administrator.

* * * * *
    (b) * * *
    (ii) Be submitted in duplicate to the U.S. Department of
Transportation, Docket Operations, West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590;
* * * * *

PART 406--INVESTIGATIONS, ENFORCEMENT, AND ADMINISTRATIVE REVIEW

0
26. The authority citation for part 406 continues to read as follows:

    Authority: 49 U.S.C. 70101-70121.

0
27. Amend Sec.  406.9 by revising paragraph (g)(1) to read as follows:

Sec.  406.9  Civil penalties.

* * * * *
    (g) * * *
    (1) The respondent must file a written request for hearing with the
Federal Docket Management System (U.S. Department of Transportation,
Docket Operations, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590) and must serve a copy of the
request on the agency attorney. Sections 406.113 and 406.115 state how
filing and service must be done.
* * * * *

0
28. Amend Sec.  406.109 by revising paragraphs (b)(1), (b)(2), and
(b)(3) to read as follows:

Sec.  406.109  Administrative law judges--powers and limitations.

* * * * *
    (b) * * *
    (1) The administrative law judge must file with the FDMS, or
instruct the party to file with the FDMS, a copy of each document that
is submitted to the administrative law judge that has not bee filed
with FDMS, except the portions of those documents that contain
confidential information.

    (2) The administrative law judge must file with the FDMS a copy of
each ruling and order issued by the administrative law judge, except
those portions that contain confidential information.
    (3) The administrative law judge must file with the FDMS, or
instruct the court reporter to file with the FDMS, a copy of each
transcript and exhibit, except those portions that contain confidential
information.
* * * * *

0
29. Amend Sec.  406.113 by revising paragraphs (a), (b), (c), (d)
introductory text, (d)(1), (d)(2), (e), (f)(1), (f)(2), and (f)(3) to
read as follows:

Sec.  406.113  Filing documents with the Federal Docket Management
System (FDMS) and sending documents to the administrative law judge and
Assistant Chief Counsel for Litigation.

    (a) The Federal Docket Management System (FDMS). (1) Documents
filed in a civil penalty adjudication are kept in the Federal Docket
Management System (FDMS), except for documents that contain
confidential information in accordance with Sec.  406.117. The FDMS is
an electronic docket. Documents that are filed are scanned into the
electronic docket and an index is made of all documents that have been
filed so that any person may view the index and documents as provided
in paragraph (f) of this section.
    (2) A party is not required to file written interrogatories and
responses, requests for production of documents or tangible items and
responses, and requests for admission and responses with the Federal
Docket Management System or submit them to administrative law judge,
except as provided in Sec.  406.143.
    (b) Method of filing. A person filing a document must mail or
personally deliver the signed original and one copy of each document to
the FDMS at the U.S. Department of Transportation, Docket Operations,
West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590. A person must serve a copy of each document on
each party in accordance with Sec.  406.115.
    (c) Date of filing. The date of filing is the date of personal
delivery, or if mailed, the mailing date shown on any certificate of
service, the date shown on the postmark if there is no certificate of
service, or other mailing data shown by other evidence if there is no
certificate of service or postmark. The date shown in the FDMS index is
not necessarily the date of service. It is the date the FDMS received
the document.
    (d) Form. FDMS scans the document into its electronic docket. To
ensure that FDMS can scan the document and correctly identify it in the
index, each person filing a document must comply with the following:
    (1) Each document must be legible. It may be handwritten,
typewritten, or printed from a computer.
    (2) Each document must have a caption on its first page, clearly
visible, with the following information:
    (i) ``FAA Space Adjudication.''
    (ii) Case name, such as ``In the matter of X Corporation.''
    (iii) FAA Case Number and FDMS docket number, if assigned.
    (iv) Name of the document being filed, including the party filing
the document, such as ``Respondent's Motion to Dismiss.''
    (v) ``Confidential information filed with administrative law
judge'' or ``Confidential information filed with Assistant Chief
Counsel for Litigation'' if the party is filing confidential
information under Sec.  406.117.
* * * * *
    (e) Sending documents to the administrative law judge or Assistant
Chief Counsel for Litigation. Sending the document directly to the
administrative law judge or to the Assistant Chief Counsel for
Litigation is not a substitute for filing the original with the FDMS,
except for confidential information under Sec.  406.117.
    (f) * * *
    (1) During regular business hours at the U.S. Department of
Transportation, Docket Operations, West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590.
    (2) Through the Internet at http://www.regulations.gov.

    (3) By requesting it from the FDMS and paying reasonable costs.
0
30. Amend Sec.  406.115 by revising paragraphs (a), (c), and (d) to
read as follows:

Sec.  406.115  Serving documents on other parties.

    (a) Service required. A person must serve on each other party at
the time of filing a copy of any document filed with the Federal Docket
Management System. Service on a party's attorney or representative of
record is adequate service on the party.
* * * * *
    (c) Certificate of service. A person may attach a certificate of
service to a document filed with the FDMS. Any certificate of service
must include a statement, dated and signed by the individual filing the
document, that the document was served on each party, the method of
service, and the date of service.
    (d) Date of service. The date of service is the date of personal
delivery; or if mailed, the mailing date shown on the certificate of
service, the date shown on the postmark if there is no certificate of
service, or other mailing date shown by other evidence if there is no
certificate of service or postmark. The date shown in the FDMS index is
not necessarily the date of service. It is the date the FDMS received
the document.
* * * * *

0
31. Amend Sec.  406.121 by revising paragraphs (a) and (b) to read as
follows:

Sec.  406.121  Extension of time.

* * * * *
    (a) Extension of time by agreement of the parties. The parties may
agree to extend for a reasonable period of time for filing a document
under this subpart with the agreement of the administrative law judge.
The party seeking the extension of time must submit a draft order to
the administrative law judge for signature, file it with the Federal
Docket Management System, and serve it on each party.
    (b) Motion for extension of time. If the parties do not agree to an
extension of time for filing a document, a party desiring an extension
may file with the Federal Docket Management System and serve a written
motion for an extension of time not later than 7 days before the
document is due unless good cause for the late filing is shown. The
administrative law judge may grant the extension of time if good cause
for the extension is shown.
* * * * *
0
32. Amend Sec.  406.127 by revising paragraphs (a)(1) and (b)(3) to
read as follows:

Sec.  406.127  Complaint and answer in civil penalty adjudications.

    (a) Complaint--(1) Filing. The complainant must file the original
and one copy of the complaint with the Federal Docket Management
System, or may file a written motion pursuant to Sec.  406.141(f)(1)
instead of filling a complaint, not later than 20 days after receipt by
the complainant of a request for hearing. The complainant should
suggest a location for the hearing when filing the complaint.
* * * * *
    (b) * * *
    (3) Filing and service. A respondent must file the answer with the
Federal Docket Management System and serve a copy of the answer on the
agency attorney who filed the complaint.
* * * * *

0
33. Amend Sec.  406.133 by revising paragraph (a) introductory text to
read as follows:

Sec.  406.133  Amendments of pleadings.

    (a) Time. A party must file with the Federal Docket Management
System and serve on each other party any amendment to a complaint or an
answer as follows:
* * * * *

0
34. Amend Sec.  406.137 by revising paragraph (a) to read as follows:

Sec.  406.137  Intervention.

    (a) A person may file with the Federal Docket Management System and
serve on each other party a motion for leave to intervene as party in
an adjudication. Except for good cause shown, a motion for leave to
intervene must be filed not later than 10 days before the hearing.
* * * * *

0
35. Amend Sec.  406.139 by revising paragraphs (b) introductory text
and (d) to read as follows:

Sec.  406.139  Joint procedural or discovery schedule.

* * * * *
    (b) Form and content of schedule. If the parties agree to a joint
procedural or discovery schedule, one of the parties must file with the
Federal Docket Management System and serve the joint schedule, setting
forth the dates to which the parties have agreed. One of the parties
must draft an order establishing a joint schedule for the
administrative law judge.
* * * * *
    (d) Order establishing joint schedule. The administrative law judge
must approve the joint schedule filed by the parties by signing the
joint schedule and filing it with the Federal Docket Management System.
* * * * *

0
36. Amend Sec.  406.141 by revising paragraph (c) to read as follows:

Sec.  406.141  Motions.

* * * * *
    (c) Form and time. Except for oral motions heard on the record, a
motion made prior to the hearing must be in writing. Unless otherwise
agreed by the parties or for good cause shown, a party must file any
prehearing motion with the Federal Docket Management System and serve
each other party not later than 30 days before the hearing.
* * * * *

0
37. Amend Sec.  406.143 by revising the second sentence in paragraph
(b) and by revising the first sentence in paragraph (j)(3) to read as
follows:

Sec.  406.143  Discovery.

* * * * *
    (b) * * * A party is not required to file written interrogatories
and responses, requests for production of documents or tangible items
and responses, and requests for admission and responses with the
Federal Docket Management System or submit any of them to the
administrative law judge. * * *
* * * * *
    (j) * * *
    (3) Notice of deposition. A party must serve a notice of
deposition, stating the time and place of the deposition and the name
and address of each person to be examined, on the person to be deposed,
must submit the notice to the administrative law judge, and must file
the notice with the Federal Docket Management System, and must serve
the notice on each party, not later than 7 days before the deposition.
* * *
* * * * *

0
38. Amend Sec.  406.173 by revising the first and second sentence in
paragraph (d) to read as follows:

Sec.  406.173  Interlocutory appeals.

* * * * *
    (d) Procedure. A party must file with the Federal Docket Management
System and serve each other party a notice of interlocutory appeal,
with supporting documents, not later than 10 days after the
administrative law judge's decision forming the basis of an
interlocutory appeal of right or not later than 10 days after the
administrative law judge's decision granting an interlocutory appeal
for cause. A party must file with the Federal Docket Management System
a reply brief, if any, and serve a copy of the reply brief on each
party, not later than 10 days after service of the appeal brief. * * *
* * * * *

0
39. Amend Sec.  406.175 by revising paragraphs (a), (d) introductory
text, and (e) introductory text, by revising the third sentence in
paragraph (f), and by revising paragraph (g) to read as follows:

Sec.  406.175  Appeal from initial decision.

    (a) Notice of appeal. A party may appeal the initial decision, and
any decision not previously appealed pursuant to Sec.  406.173, by
filing with the Federal Docket Management System and serving on each
party a notice of appeal. A party must file the notice of appeal not
later than 10 days after entry of the oral initial decision on the
record or service of the written initial decision on the parties.
* * * * *
    (d) Appeal briefs. A party must file the appeal brief with the
Federal Docket Management System and serve each party.
* * * * *
    (e) Reply brief. Unless otherwise agreed by the parties, any party
may file a reply brief with the Federal Docket Management System and
serve on each other party not later than 35 days after the appeal brief
has been served on that party. If the party relies on evidence
contained in the record for the reply, the party must specifically
refer to the pertinent evidence contained in the record in the reply
brief.
* * * * *
    (f) * * * A party may file with the Federal Docket Management
System a motion for permission to file an additional brief and must
serve a copy of the motion on each other party. * * *
    (g) Number of copies. A party must file the original brief and two
copies of the brief with the Federal Docket Management System and serve
one copy on each other party.
* * * * *

0
40. Amend Sec.  406.177 by revising the second sentence in paragraph
(a) to read as follows:

Sec.  406.177  Petition to reconsider or modify a final decision and
order of the FAA decisionmaker on appeal.

    (a) * * * A party must file a petition to reconsider or modify with
the Federal Docket Management System not later than 30 days after
service of the FAA decisionmaker's final decision and order on appeal
and must serve a copy of the petition on each party. * * *
* * * * *

    Issued in Washington, DC on November 28, 2007.
Pamela Hamilton-Powell,
Director, Office of Rulemaking, Aviation Safety.
[FR Doc. E7-23422 Filed 12-4-07; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register: June 22, 2006 (Volume 71, Number 120)]
[Notices]
[Page 35960]
[DOCID:fr22jn06-123]

=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.

Extension: Rule 6c-7; SEC File No. 270-269; OMB Control No. 3235-
0276.

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (the ``Commission'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit these existing collections of information to the Office of
Management and Budget (``OMB'') for extension and approval.
    Rule 6c-7 (17 CFR 270.6c-7) under the Investment Company Act of
1940 (15 U.S.C. 80a-1 et seq.) (``1940 Act'') provides exemption from
certain provisions of sections 22(e) and 27 of the 1940 Act for
registered separate accounts offering variable annuity contracts to
certain employees of Texas institutions of higher education
participating in the Texas Optional Retirement Program. There are
approximately 80 registrants governed by Rule 6c-7. The burden of
compliance with Rule 6c-7, in connection with the registrants obtaining
from a purchaser, prior to or at the time of purchase, a signed
document acknowledging the restrictions on redeemability imposed by
Texas law, is estimated to be approximately 3 minutes of professional
time per response for each of approximately 2600 purchasers annually
(at an estimated $70 per hour), for a total annual burden of 130 hours
(at a total annual cost of $9,100).
    The estimate of average burden hours is made solely for the
purposes of the Paperwork Reduction Act, and is not derived from a
comprehensive or even a representative survey or study of the costs of
Commission rules or forms. The Commission does not include in the
estimate of average burden hours the time preparing registration
statements and sales literature disclosure regarding the restrictions
on redeemability imposed by Texas law. The estimate of burden hours for
completing the relevant registration statements are reported on the
separate PRA submissions for those statements. (See the separate PRA
submissions for Form N-3 (17 CFR 274.11b) and Form N-4 (17 CFR
274.11c).
    The Commission requests written comments on: (a) Whether the
proposed collection of information is necessary for the proper
performance of the functions of the agency, including whether the
information will have practical utility; (b) the accuracy of the
agency's estimate of the burden of the collection of information; (c)
ways to enhance the quality, utility, and clarity of the information
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology.
Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
    Please direct your written comments to R. Corey Both, Director/
Chief Information Officer, Securities and Exchange Commission, C/O
Shirley Martinson 6432 General Green Way, Alexandria, Virginia 22312;
or send an e-mail to<EMAIL_ADDRESS>
    Dated: June 15, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. E6-9833 Filed 6-21-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register: September 22, 2010 (Volume 75, Number 183)]
[Notices]
[Page 57782]
[DOCID:fr22se10-71]

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

ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2009-0760; FRL-8844-9]

Clofencet; Registration Review Case Closure; Notice of
Availability

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: This notice announces the availability of EPA's notice of
registration review case closure for the pesticide clofencet, case
7015. Registration review is EPA's periodic review of pesticide
registrations to ensure that each pesticide continues to satisfy the
statutory standard for registration, that is, that the pesticide can
perform its intended function without causing unreasonable adverse
effects on human health or the environment. Through this program, EPA
is ensuring that each pesticide's registration is based on current
scientific and other knowledge, including its effects on human health
and the environment.

FOR FURTHER INFORMATION CONTACT: For pesticide-specific information,
contact: Wilhelmena Livingston, Pesticide Re-evaluation Division
(7508P), Office of Pesticide Programs, Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone
number:<PHONE_NUMBER>; fax number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>    For general information on the registration review program,
contact: Kevin Costello, Pesticide Re-evaluation Division (7508P),
Office of Pesticide Programs, Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone number:
(703) 305-5026; fax number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    This action is directed to the public in general, and may be of
interest to a wide range of stakeholders including environmental, human
health, farm worker, and agricultural advocates; the chemical industry;
pesticide users; and members of the public interested in the sale,
distribution, or use of pesticides. Since others also may be
interested, the Agency has not attempted to describe all the specific
entities that may be affected by this action. If you have any questions
regarding the applicability of this action to a particular entity,
consult the pesticide-specific contact person listed under FOR FURTHER
INFORMATION CONTACT.

B. How Can I Get Copies of this Document and Other Related Information?

    EPA has established a docket for this action under docket
identification (ID) number EPA-HQ-OPP-2009-0760. Publicly available
docket materials are available either in the electronic docket at
http://www.regulations.gov, or, if only available in hard copy, at the
Office of Pesticide Programs (OPP) Regulatory Public Docket in Rm. S-
4400, One Potomac Yard (South Bldg.), 2777 S. Crystal Dr., Arlington,
VA. The hours of operation of this Docket Facility are from 8:30 a.m.
to 4 p.m., Monday through Friday, excluding legal holidays. The Docket
Facility telephone number is<PHONE_NUMBER>.

II. Background

A. What Action is the Agency Taking?

    On July 14, 2010 the Agency issued a product cancellation order (75
FR 40825; FRL-8833-4) for all clofencet product registrations. Due to
the cancellation of all registered clofencet products in the United
States, the Agency closed the registration review case for clofencet,
pursuant to 40 CFR 155.42(c). This notice announces the availability of
EPA's Notice of Registration Review Case Closure for clofencet, case
0715.
    In addition to the registration review case closure document, the
registration review docket for clofencet also includes other relevant
documents related to the registration review of this case. The Notice
of Receipt of a Request to Voluntarily Cancel Certain Pesticide
Registrations was issued on April 28, 2010, and the public was invited
to submit any comments or new information. During the 30-day comment
period, no public comments were received which impacted the Agency's
decision to grant the cancellation request. Subsequently, on July 14,
2010, the Agency published the Cancellation Order for all clofencet
product registrations in the Federal Register (75 FR 40825).
    Background on the registration review program is provided at:
http://www.epa.gov/oppsrrd1/registration_review. Links to earlier
documents related to the registration review of this pesticide are
provided at: http://www.epa.gov/oppsrrd1/registration_review/
clofencet/index.html.

B. What is the Agency's Authority for Taking this Action?

    Section 3(g) of FIFRA and 40 CFR part 155, subpart C, provide
authority for this action.

List of Subjects

    Environmental protection, Registration review, Pesticides and
pests, clofencet.

    Dated: September 13, 2010
 Richard P. Keigwin, Jr.,
Director, Pesticide Re-evaluation Division, Office of Pesticide
Programs.

[FR Doc. 2010-23542 Filed 9-21-10; 8:45 am]
BILLING CODE 6560-50-S


[Federal Register Volume 79, Number 224 (Thursday, November 20, 2014)]
[Notices]
[Pages 69104-69106]
[FR Doc No: 2014-27495]

=======================================================================
-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

[FRL-9919-54-OAR]

California State Motor Vehicle Pollution Control Standards;
Malfunction and Diagnostic System Requirements for 2010 and Subsequent
Model Year Heavy-Duty Engines; Request for Waiver Determination;
Opportunity for Public Hearing and Comment

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of opportunity for public hearing and comment.

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

SUMMARY: The California Air Resources Board (CARB) has notified EPA
that it has adopted amendments to its ``Malfunction and Diagnostic
System Requirements for 2010 and Subsequent Model Year Heavy-Duty
Engines'' regulation (HD OBD Requirements) and its ``Enforcement of
Malfunction and Diagnostic System Requirements for 2010 and Subsequent
Model-Year Heavy-Duty Engines'' regulation (HD OBD Enforcement
Regulation), collectively referred to herein as HD OBD Regulations. EPA
previously granted California a waiver for its HD OBD Regulations as
amended in 2010. CARB adopted further amendments to the HD OBD
Regulations in 2013 (``2013 HD OBD amendments''). By letter dated
February 12, 2014, CARB requested that EPA confirm that the 2013 HD OBD
amendments are within the scope of the previously granted waiver or,
alternatively, that EPA grant a full waiver of preemption for the
amendments. This notice announces that EPA has tentatively scheduled a
public hearing to consider California's request for waiver of the 2013
HD OBD amendments, and that EPA is additionally now accepting written
comment on California's request.

DATES: EPA has tentatively scheduled a public hearing concerning CARB's
request on January 14, 2015 at 10 a.m. ET. EPA will hold a hearing only
if any party notifies EPA by December 15, 2014 to express interest in
presenting the Agency with oral testimony. Parties that wish to present
oral testimony at the public hearing should provide written notice to
David Read at the email address noted below. If EPA receives a request
for a public hearing, that hearing will be held at the William
Jefferson Clinton Building (North), Room 5530 at 1200 Pennsylvania Ave.
NW., Washington, DC 20460. If EPA does not receive a request for a
public hearing, then EPA will not hold a hearing, and will instead
consider CARB's request based on written submissions to the docket. Any
party may submit written comments until February 16, 2015.
    Any person who wishes to know whether a hearing will be held may
call David Read at<PHONE_NUMBER> on or after December 17, 2014.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OAR-2014-0699, by one of the following methods:
     On-Line at http://www.regulations.gov: Follow the On-Line
Instructions for Submitting Comments.
     Email<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>.
     Mail: Air and Radiation Docket, Docket ID No. EPA-HQ-OAR-
2014-0699, U.S. Environmental Protection Agency, Mailcode: 6102T, 1200
Pennsylvania Avenue NW., Washington, DC 20460. Please include a total
of two copies.
     Hand Delivery: EPA Docket Center, Public Reading Room, EPA
West Building, Room 3334, 1301 Constitution Avenue NW., Washington, DC
20460. Such deliveries are only accepted during the Docket's normal
hours of operation, and special arrangements should be made for
deliveries of boxed information.
    On-Line Instructions for Submitting Comments: Direct your comments
to Docket ID No. EPA-HQ-OAR-2014-0699. EPA's policy is that all
comments we receive will be included in the public docket without
change and may be made available online at http://www.regulations.gov,
including any personal information provided, unless the comment
includes information claimed to be Confidential Business Information
(CBI) or other information whose disclosure is restricted by statute.
Do not submit information that you consider to be CBI or otherwise
protected through http://www.regulations.gov or email. The http://www.regulations.gov Web site is an ``anonymous access'' system, which
means EPA will not know your identity or contact information unless you
provide it in the body of your comment. If you send an email comment
directly to EPA without going through http://www.regulations.gov, your
email address will automatically be captured and included as part of
the comment that is placed in the public docket and made available on
the Internet. If you submit an electronic comment, EPA recommends that
you include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit. If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses. For additional
information about EPA's public docket visit the EPA Docket Center
homepage at http://www.epa.gov/epahome/dockets.htm.
    EPA will make available for public inspection materials submitted
by CARB, written comments received from any interested parties, and any
testimony given at the public hearing. Materials relevant to this
proceeding are contained in the Air and Radiation

Docket and Information Center, maintained in Docket ID No. EPA-HQ-OAR-
2014-0699. Publicly available docket materials are available either
electronically through http://www.regulations.gov or in hard copy at
the Air and Radiation Docket in the EPA Headquarters Library, EPA West
Building, Room 3334, 1301 Constitution Avenue NW., Washington, DC. The
Public Reading Room is open to the public on all federal government
work days from 8:30 a.m. to 4:30 p.m.; generally, it is open Monday
through Friday, excluding holidays. The telephone number for the
Reading Room is<PHONE_NUMBER>. The Air and Radiation Docket and
Information Center's Web site is http://www.epa.gov/oar/docket.html.
The electronic mail (email) address for the Air and Radiation Docket
is<EMAIL_ADDRESS>the telephone number is<PHONE_NUMBER>, and
the fax number is<PHONE_NUMBER>. An electronic version of the public
docket is available through the federal government's electronic public
docket and comment system. You may access EPA dockets at http://www.regulations.gov. After opening the http://www.regulations.gov Web
site, enter EPA-HQ-OAR-2014-0699, in the ``Enter Keyword or ID'' fill-
in box to view documents in the record. Although a part of the official
docket, the public docket does not include CBI or other information
whose disclosure is restricted by statute.
    EPA's Office of Transportation and Air Quality also maintains a Web
page that contains general information on its review of California
waiver requests. Included on that page are links to prior waiver and
authorization Federal Register notices. The page can be accessed at
http://www.epa.gov/otaq/cafr.htm.

FOR FURTHER INFORMATION CONTACT: David Read, Attorney, Office of
Transportation and Air Quality, U.S. Environmental Protection Agency,
2565 Plymouth Road, Ann Arbor, MI 48105. Telephone:<PHONE_NUMBER>.
Fax:<PHONE_NUMBER>. Email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. California's HD OBD Regulations

    CARB initially adopted the HD OBD Requirements in December 2005.
The HD OBD Requirements require manufacturers to install compliant HD
OBD systems with diesel and gasoline powered engines used in vehicles
having a gross vehicle weight rating greater than 14,000 pounds. HD OBD
systems monitor emission-related components and systems for proper
operation and for deterioration or malfunctions that cause emissions to
exceed specific thresholds.
    EPA issued a waiver under section 209(b) of the Clean Air Act (CAA
or Act) for the HD OBD Requirements in 2008.\1\ In 2010, CARB updated
the regulation to align the HD OBD Requirements with OBD regulations
applicable to medium-duty vehicles, and adopted the HD OBD Enforcement
Regulation. EPA issued California a waiver for the 2010 HD OBD
Regulations in December 2012.\2\ CARB subsequently updated the HD OBD
Regulations again in 2013. CARB formally adopted the 2013 HD OBD
amendments on June 26, 2013, and they became operative under state law
on July 31, 2013. The HD OBD Requirements are codified at title 13,
California Code of Regulations, section 1971.1. The HD OBD Enforcement
Regulation is codified at title 13, California Code of Regulations,
section 1971.5.
---------------------------------------------------------------------------

    \1\ 73 FR 52042 (September 8, 2008).
    \2\ 77 FR 73459 (December 10, 2012).
---------------------------------------------------------------------------

    The 2013 amendments that are subject of this notice are intended to
ease, clarify, or add flexibility to California's previously waived HD
OBD requirements. By letter dated February 12, 2014,\3\ CARB submitted
to EPA a request for a determination that the 2013 HD OBD amendments
are within the scope of the previous HD OBD waiver or, alternatively,
that EPA grant California a waiver of preemption for the 2013
amendments to its HD OBD regulations.
---------------------------------------------------------------------------

    \3\ CARB, ``Request for Waiver Action Pursuant to Clean Air Act
Section 209(b) for California's Heavy-Duty Engine On-Board
Diagnostic System Requirements (HD OBD) and On-Board Diagnostic
System Requirements for Passenger Cars, Light-Duty Trucks, and
Medium-Duty Vehicles and Engines (OBD II),'' February 12, 2014.
---------------------------------------------------------------------------

II. Clean Air Act Waivers of Preemption

    Section 209(a) of the CAA preempts states and local governments
from setting emission standards for new motor vehicles and engines. It
provides:

    No State or any political subdivision thereof shall adopt or
attempt to enforce any standard relating to the control of emissions
from new motor vehicles or new motor vehicle engines subject to this
part. No state shall require certification, inspection or any other
approval relating to the control of emissions from any new motor
vehicle or new motor vehicle engine as condition precedent to the
initial retail sale, titling (if any), or registration of such motor
vehicle, motor vehicle engine, or equipment.

Through operation of section 209(b) of the Act, California is able to
seek and receive a waiver of section 209(a)'s preemption. If certain
criteria are met, section 209(b)(1) of the Act requires the
Administrator, after notice and opportunity for public hearing, to
waive application of the prohibitions of section 209(a). Section
209(b)(1) only allows a waiver to be granted for any state that had
adopted standards (other than crankcase emission standards) for the
control of emissions from new motor vehicles or new motor vehicle
engines prior to March 30, 1966, if the state determines that its
standards will be, in the aggregate, at least as protective of public
health and welfare as applicable Federal standards (i.e., if such state
makes a ``protectiveness determination''). Because California was the
only state to have adopted standards prior to 1966, it is the only
state that is qualified to seek and receive a waiver.\4\ The
Administrator must grant \5\ a waiver unless she finds that: (A)
California's above-noted ``protectiveness determination'' is arbitrary
and capricious; \6\ (B) California does not need such state standards
to meet compelling and extraordinary conditions; \7\ or (C)
California's standards and accompanying enforcement procedures are not
consistent with section 202(a) of the Act.\8\ EPA has previously stated
that consistency with section 202(a) requires that California's
standards must be technologically feasible within the lead time
provided, giving due consideration to costs, and that California and
applicable Federal test procedures be consistent.\9\
---------------------------------------------------------------------------

    \4\ See S. Rep. No. 90-403 at 632 (1967).
    \5\ EPA's review of California regulations under section 209 is
not a broad review of the reasonableness of the regulations or its
compatibility with all other laws. Sections 209(b) and 209(e) of the
Clean Air Act limit EPA's authority to deny California requests for
waivers and authorizations to the three criteria listed therein. As
a result, EPA has consistently refrained from denying California's
requests for waivers and authorizations based on any other criteria.
In instances where the U.S. Court of Appeals has reviewed EPA
decisions declining to deny waiver requests based on criteria not
found in section 209(b), the Court has upheld and agreed with EPA's
determination. See Motor and Equipment Manufacturers Ass'n v.
Nichols, 142 F.3d 449, 462-63, 466-67 (D.C. Cir. 1998), Motor and
Equipment Manufacturers Ass'n v. EPA, 627 F.2d 1095, 1111, 1114-20
(D.C. Cir. 1979). See also 78 FR 58090, 58120 (September 20, 2013).
    \6\ CAA Sec.  209(b)(1)(A).
    \7\ CAA Sec.  209(b)(1)(B).
    \8\ CAA Sec.  209(b)(1)(C).
    \9\ See, e.g., 74 FR 32767 (July 8, 2009); see also Motor and
Equipment Manufacturers Association v. EPA, 627 F.2d 1095, 1126
(D.C. Cir. 1979).
---------------------------------------------------------------------------

    If California amends regulations that were previously granted a
waiver, EPA can confirm that the amended regulations are within the
scope of the previously granted waiver. Such within-the-scope
amendments are permissible without a full waiver review if three
conditions are met. First, the amended

regulations must not undermine California's determination that its
standards, in the aggregate, are as protective of public health and
welfare as applicable federal standards. Second, the amended
regulations must not affect consistency with section 202(a) of the Act.
Third, the amended regulations must not raise any ``new issues''
affecting EPA's prior waivers.

III. EPA's Request for Comments

    EPA invites public comment on CARB's request, including but not
limited to the following issues.

A. 2013 HD OBD Amendments Within-the-Scope or Full Waiver

    First, we request comment on whether CARB's 2013 HD OBD amendments
should be considered under the within-the-scope analysis or whether
they should be considered under the full waiver criteria. Specifically,
we request comment on whether California's 2013 HD OBD amendments (1)
undermine California's previous determination that its standards, in
the aggregate, are at least as protective of public health and welfare
as comparable federal standards, (2) affect the consistency of
California's requirements with section 202(a) of the Act, and (3) raise
any other ``new issue'' affecting EPA's previous waiver or
authorization determinations.

B. Whether 2013 HD OBD Amendments Meet the Criteria for New Waiver

    Should any party believe that CARB's 2013 HD OBD amendments do not
merit consideration as within-the-scope of the previous waivers, EPA
also requests comment on whether those amendments meet the criteria for
full waiver. Specifically, we request comment on: (a) Whether CARB's
determination that its standards, in the aggregate, are at least as
protective of public health and welfare as applicable federal standards
is arbitrary and capricious, (b) whether California needs such
standards to meet compelling and extraordinary conditions, and (c)
whether California's standards and accompanying enforcement procedures
are consistent with section 202(a) of the CAA.

IV. Procedures for Public Participation

    If a hearing is held, the Agency will make a record of the
proceedings. Interested parties may arrange with the reporter at the
hearing to obtain a copy of the transcript at their own expense.
Regardless of whether a public hearing is held, EPA will keep the
record open until February 16, 2015. Upon expiration of the comment
period, EPA will render a decision on CARB's request based on the
record from the public hearing, if any, all relevant written
submissions, and other information that the Agency deems pertinent. All
information will be available for inspection at the EPA Air Docket No.
EPA-HQ-OAR-2014-0699.
    Persons with comments containing proprietary information must
distinguish such information from other comments to the greatest extent
possible and label it as ``Confidential Business Information''
(``CBI''). If a person making comments wants EPA to base its decision
on a submission labeled as CBI, then a non-confidential version of the
document that summarizes the key data or information should be
submitted to the public docket. To ensure that proprietary information
is not inadvertently placed in the public docket, submissions
containing such information should be sent directly to the contact
person listed above and not to the public docket. Information covered
by a claim of confidentiality will be disclosed by EPA only to the
extent allowed, and according to the procedures set forth in 40 CFR
part 2. If no claim of confidentiality accompanies the submission when
EPA receives it, EPA will make it available to the public without
further notice to the person making comments.

    Dated: November 12, 2014.
Christopher Grundler,
Director, Office of Transportation and Air Quality, Office of Air and
Radiation.
[FR Doc. 2014-27495 Filed 11-19-14; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 76, Number 161 (Friday, August 19, 2011)]
[Notices]
[Pages 52028-52030]
[FR Doc No: 2011-21257]

=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-65111; File No. SR-NYSE-2011-42]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Amending NYSE Rule 128 So That Clearly Erroneous Executions Involving
Securities Recently Added to the Individual Security Trading Pause
Pilot Under NYSE Rule 80C Continue To Be Resolved in the Same Manner
Before Being Added to the Pilot

August 11, 2011.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that August 9, 2011, New York Stock Exchange LLC (``NYSE'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and
II, below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    The Exchange proposes to amend NYSE Rule 128 so that clearly
erroneous executions involving securities recently added to the
individual security trading pause pilot under NYSE Rule 80C continue to
be resolved in the same manner as they were before being added to the
pilot. The text of the proposed rule change is available at the
Exchange, the Commission's Public Reference Room, and http://www.nyse.com.

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

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

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

1. Purpose
    The Exchange proposes to amend NYSE Rule 128 so that clearly
erroneous executions involving securities recently added to the
individual security trading pause pilot under NYSE Rule 80C continue to
be resolved in the same manner as they were before being added to the
pilot.
Background
    The Exchanges \4\ and the Financial Industry Regulatory Authority,
Inc. (``FINRA''), in consultation with the Commission, have made
changes to their respective rules in a concerted effort to strengthen
the markets after the severe market disruption that occurred on May 6,
2010. One such effort by the Exchanges and FINRA was to adopt a uniform
trading pause process during periods of extraordinary market volatility
as a pilot in S&P 500 Index stocks (``Pause Pilot''),\5\ approved by
the Commission on June 10, 2010.\6\ On September 10, 2010, the
Commission approved the Exchanges' and FINRA's proposals to add the
securities included in the Russell 1000 Index and specified Exchange-
Traded Products (``ETPs'') to the Pause Pilot.\7\ On September 10,
2010, the Commission also approved changes proposed by the Exchanges to
amend certain of their respective rules to set forth clearer standards
and curtail their discretion with respect to breaking erroneous
trades.\8\ The changes, among other things, provided for uniform
treatment of clearly erroneous execution reviews in the event of
transactions that result in the issuance of an individual stock trading
pause pursuant to the Pause Pilot on the primary listing market and
those transactions that occur up to the time the trading pause message
is received by the other markets from the single plan processor
responsible for consolidation and dissemination of information for the
security (``Latency Trades'').
---------------------------------------------------------------------------

    \4\ For purposes of this filing, the term ``Exchanges'' refers
collectively to BATS Exchange, Inc., BATS Y-Exchange, Inc., NASDAQ
OMX BX, Inc., Chicago Board Options Exchange, Inc., Chicago Stock
Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc.,
International Securities Exchange LLC, The NASDAQ Stock Market LLC,
New York Stock Exchange LLC, NYSE Amex LLC, NYSE Arca, Inc.,
National Stock Exchange, Inc., and NASDAQ OMX PHLX LLC.
    \5\ See NYSE Rule 80C. The pauses under NYSE Rule 80C occur when
a security's price moves by the applicable percentage within a five-
minute period between 9:45 a.m. and 3:35 p.m., or in the case of an
early scheduled close, 25 minutes before the close of trading. Such
pauses last for five minutes. At the conclusion of the pause period,
the security is opened pursuant to NYSE Rule 80C(b).
    \6\ See Securities Exchange Act Release Nos. 62252 (June 10,
2010), 75 FR 34186 (June 16, 2010) (File Nos. SR-BATS-2010-014; SR-
EDGA-2010-01; SR-EDGX-2010-01; SR-BX-2010-037; SR-ISE-2010-48; SR-
NYSE-2010-39; SR-NYSEAmex-2010-46; SR-NYSEArca-2010-41; SR-NASDAQ-
2010-061; SR-CHX-2010-10; SR-NSX-2010-05; and SR-CBOE-2010-047) and
62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) (SR-FINRA-2010-
025).
    \7\ See, e.g., Securities Exchange Act Release Nos. 62884
(September 10, 2010), 75 FR 56618 (September 16, 2010) (File Nos.
SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14;
SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NASDAQ-2010-
079; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; and
SR-NSX-2010-08) and 62883 (September 10, 2010), 75 FR 56608
(September 16, 2010) (SR-FINRA-2010-033).
    \8\ See Securities Exchange Act Release No. 62886 (September 10,
2010), 75 FR 56613 (September 16, 2010) (File Nos. SR-BATS-2010-016;
SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03;
SR-EDGX-2010-03; SR-ISE-2010-62; SR-NASDAQ-2010-076; SR-NSX-2010-07;
SR-NYSE-2010-47; SR-NYSEAmex-2010-60; and SR-NYSEArca-2010-58).
---------------------------------------------------------------------------

    As part of the changes to the clearly erroneous process under NYSE
Rule 128, NYSE added new text to NYSE Rule 128(c)(4) to provide clarity
in the clearly erroneous process when a Pause Pilot trading pause is
triggered. Pursuant to NYSE Rule 128(c)(4), Latency Trades will be
broken by the Exchange if they exceed the applicable percentage from
the Reference Price, as noted in the table found under NYSE Rule
128(c)(1).\9\ The Reference Price, for purposes of Rule 128(c)(4), is
the price that triggered a trading pause pursuant to the Pause Pilot
(the ``Trading Pause Trigger Price''). As such, Latency Trades that
occur on the Exchange would be broken by the Exchange pursuant to NYSE
Rule 128(c)(4) if the transaction occurred at either three, five or ten
percent above the Trading Pause Trigger Price.\10\
---------------------------------------------------------------------------

    \9\ Pursuant to NYSE Rule 128(c)(1), during regular trading
hours a security with a Reference Price of greater than zero and up
to an including $25 is subject to a 10% threshold; a security with a
Reference Price of greater than $25 and up to and including $50 is
subject to a 5% threshold; and a security with a Reference Price of
greater than $50 is subject to a 3% threshold.
    \10\ See NYSE Rule 128(c)(4).
---------------------------------------------------------------------------

    On June 23, 2011, the Commission approved a joint proposal to
expand the respective Pause Pilot rules of the Exchanges and FINRA to
include all remaining NMS stocks (``Phase III Securities'').\11\ The
new pilot rules, which will be implemented on August

8, 2011, not only expand the application of the Pause Pilot, but also
apply larger percentage moves that trigger a pause to the Phase III
Securities. The Exchange amended its Pause Pilot rule, NYSE Rule 80C,
by adding three new subparagraphs to Rule 80C(a) to address the
treatment of the Phase III Securities. The rule applicable to the
original Pause Pilot securities was placed in new NYSE Rule 80C(a)(i).
The rules applicable to the Phase III Securities were placed in new
NYSE Rule 80C(a)(ii) and (iii). A pause under NYSE Rule 80C(a)(ii) is
triggered by a 30 percent price move within a five-minute period in a
Phase III Security that had a closing price on the previous trading day
of $1 or more. A pause under NYSE Rule 80C(a)(iii) is triggered by a 50
percent price move within a five-minute period in a Phase III Security
that had a closing price on the previous trading day of less than $1.
If no prior day closing price is available, the last sale reported to
the Consolidated Tape on the previous trading day is used.
---------------------------------------------------------------------------

    \11\ See Securities Exchange Act Release No. 64735 (June 23,
2011), 76 FR 38243 (June 29, 2011) (File Nos. SR-BATS-2011-016; SR-
BYX-2011-011; SR-BX-2011-025; SR-CBOE-2011-049; SR-CHX-2011-09; SR-
EDGA-2011-15; SR-EDGX-2011-14; SR-FINRA-2011-023; SR-ISE-2011-028;
SR-NASDAQ-2011-067; SR-NYSE-2011-21; SR-NYSEAmex-2011-32; SR-
NYSEArca-2011-26; SR-NSX-2011-06; and SR-Phlx-2011-64).
---------------------------------------------------------------------------

    The Exchange has submitted immediately effective proposed rule
changes to the Commission to extend both the Pause Pilot under NYSE
Rule 80C and the clearly erroneous execution process pilot under Rule
128 until January 31, 2012.\12\
---------------------------------------------------------------------------

    \12\ See SR-NYSE-2011-40 (extending NYSE Rule 80C pilot until
January 31, 2012) and SR-NYSE-2011-41 (extending NYSE Rule 128 pilot
until January 31, 2012).
---------------------------------------------------------------------------

The Issue
    The recently-approved changes to the Pause Pilot will have the
unintended effect of removing the Phase III Securities from the normal
clearly erroneous process and potentially result in unfair outcomes in
the face of severe volatility in such securities. Phase III Securities
are currently subject to the clearly erroneous process under NYSE Rule
128(c)(1)-(3), which applies to all securities except the current Pause
Pilot securities subject to a pause. For purposes of transactions in
securities not involving Pause Pilot securities, or transactions
involving Pause Pilot securities that occur when there is not a pause
pursuant to the Pause Pilot, the Reference Price is the consolidated
last sale price immediately prior to the execution(s) under review,
subject to certain exceptions.\13\ As noted above, the Trading Pause
Trigger Price is used as the Reference Price when a Pause Pilot pause
is in effect. As a consequence, under the current rules a Latency Trade
is subject to the clearly erroneous thresholds based on the Trading
Pause Trigger Price, which represents a ten percent or greater move in
the transacted price of the security in a five-minute period.
---------------------------------------------------------------------------

    \13\ See supra note 9.
---------------------------------------------------------------------------

    Under the amended Pause Pilot rule, a Latency Trade in a Phase III
Security occurs only after either a 30 or 50 percent (or greater) move
in the transacted price of the security in a five-minute period. As a
result, a member organization that trades in a Phase III Security that
triggers a clearly erroneous threshold of three, five or ten percent
from the Reference Price, yet falls below the Pause Pilot trigger of
either 30 or 50 percent, would be able to avail themselves of a clearly
erroneous review. A similarly situated member organization that
transacts in the same security as a Latency Trade at a price equal to
or greater than the Phase III Security thresholds, yet less than the
clearly erroneous thresholds under NYSE Rule 128(c)(1), would not be
able to avail themselves of the clearly erroneous process. Another
member organization that transacts in the same security as a Latency
Trade that exceeds three, five or ten percent from the Trading Pause
Trigger Price would automatically receive clearly erroneous relief. The
Exchange believes that this would be an inequitable result and an
arbitrary application of the clearly erroneous process. Specifically,
the Exchange believes that, since the 30 and 50 percent triggers of the
Pause Pilot are substantially greater than the 10 percent threshold of
the original Pause Pilot, the Phase III Securities should remain under
the current clearly erroneous process of NYSE Rule 128(c)(1)-(3).
    Applying the clearly erroneous process under NYSE Rule 128(c)(1)-
(3) to the Phase III Securities would allow the Exchange to review all
transactions that exceed the normal clearly erroneous thresholds and
Reference Price, and, importantly, avoid arbitrary selection of
``winners'' and ``losers'' in the face of severe volatile moves in a
security of 30 or 50 percent over a five-minute period. For example, a
member organization that trades in a security subject to NYSE Rule
80C(a)(ii) and (iii) that triggers a clearly erroneous threshold of
three, five or ten percent, yet falls below the Pause Pilot trigger
threshold trading at 29 percent from the prior day's closing price,
would be potentially entitled to a clearly erroneous break pursuant
NYSE Rule 128(c)(1). Should trading in that same security trigger a
trading pause at a price of 30 or 50 percent greater than the prior
day's close, the member organization would not be entitled to a clearly
erroneous trade break unless that trade exceeded three, five or ten
percent beyond the price that triggered the pause. This scenario causes
an inequity among a group of member organizations that have
transactions in the Phase III Securities falling between the three,
five and ten percent thresholds from the Reference Price under the
normal NYSE Rule 128(c)(1) clearly erroneous process and the Pause
Pilot clearly erroneous triggers of three, five or ten percent away
from the Trading Pause Trigger Price. Such member organizations would
not be provided relief under the clearly erroneous rules merely due to
the imposition of a Pause Pilot halt, notwithstanding that other member
organizations with transactions that occur at the same rolling five
minute percentage difference. The Exchange believes a better outcome is
to afford all member organizations transacting in Phase III Securities
the opportunity of having such trades reviewed.
Summary
    The expansion of the Pause Pilot to the Phase III Securities will
have the unintended consequence of setting the point at which a clearly
erroneous transaction occurs once a Pause Pilot pause is initiated far
beyond the triggers applied prior to the expansion, which will, in
turn, prevent certain market participants from availing themselves of
the clearly erroneous rules, notwithstanding that other similarly
situated participants are able to do so. The Exchange believes that
this would be an arbitrary application of the clearly erroneous process
in a manner that is unfair and not consistent with the spirit and
purpose of the rule. Accordingly, the Exchange is proposing to amend
NYSE Rule 128(c)(1)-(4) to specify that NYSE Rule 128(c)(4) applies
only to the current securities of the Pause Pilot, as found under NYSE
Rule 80C(a)(i).\14\
---------------------------------------------------------------------------

    \14\ NYSE notes that the Exchanges are filing similar proposals
to make the changes proposed herein.
---------------------------------------------------------------------------

2. Statutory Basis
    The statutory basis for the proposed rule change is Section 6(b)(5)
of the Securities Exchange Act of 1934 (the ``Act''),\15\ which
requires the rules of an exchange 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 proposed rule change
also is designed to support the principles of Section 11A(a)(1) \16\ of
the Act in that it seeks to assure fair competition among brokers and
dealers and among exchange markets. The

Exchange believes that the proposed rule meets these requirements in
that it promotes transparency and uniformity across markets concerning
decisions to break erroneous trades, yet also ensures fair application
of the process so that similarly situated member organizations are
provided the same opportunity of a clearly erroneous review. The
Exchange notes that the changes proposed herein will in no way
interfere with the operation of the Pause Pilot process, as amended.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78f(b)(5).
    \16\ 15 U.S.C. 78k-1(a)(1).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

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

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \17\ and Rule 19b-
4(f)(6)(iii) thereunder.\18\ The Exchange has asked the Commission to
waive the 30-day operative delay so that the proposal may become
operative immediately upon filing. The Commission believes that waiving
the 30-day operative delay is consistent with the protection of
investors and the public interest because such waiver will allow the
clearly erroneous rules to continue to operate as they did prior to the
effectiveness of the Pause Pilot expansion to Phase III Securities so
that similarly situated member organizations are provided the same
opportunity of a clearly erroneous review. Accordingly, the Commission
waives the 30-day operative delay requirement and designates the
proposed rule change as operative upon filing with the Commission.\19\
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78s(b)(3)(A).
    \18\ 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-
4(f)(6)(iii) requires that a self-regulatory organization submit to
the Commission written notice of its intent to file the proposed
rule change, along with a brief description and text of the proposed
rule change, at least five business days prior to the filing of the
proposed rule change, or such shorter time as designated by the
Commission. The Commission is waiving the five day written notice
requirement in this case. Therefore, the Commission notes that the
Exchange has satisfied this requirement.
    \19\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2011-42 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2011-42. This file
number 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 change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of NYSE. 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 publicly available. All
submissions should refer to File Number SR-NYSE-2011-42 and should be
submitted on or before September 9, 2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\

    \20\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-21257 Filed 8-18-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 156 (Thursday, August 13, 2015)]
[Notices]
[Page 48622]
[FR Doc No: 2015-19910]

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

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Application of Harris Aircraft Services, Inc. for Certificate
Authority

AGENCY: Department of Transportation.

ACTION: Notice of Order to Show Cause (Order 2015-8-10) Docket DOT-OST-
2014-0145.

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

SUMMARY: The Department of Transportation is directing all interested
persons to show cause why it should not issue an order finding Harris
Aircraft Services, Inc., fit, willing, and able, and awarding it a
certificate of public convenience and necessity to conduct interstate
scheduled air transportation of persons, property and mail.

DATES: Persons wishing to file objections should do so no later than
August 27, 2015.

ADDRESSES: Objections and answers to objections should be filed in
Docket DOT-OST-2014-0145 and addressed to Docket Operations, (M-30,
Room W12-140), U.S. Department of Transportation, 1200 New Jersey
Avenue SE., Washington, DC 20590, and should be served upon the parties
listed in Attachment A to the order.

FOR FURTHER INFORMATION CONTACT: Barbara Snoden, Air Carrier Fitness
Division (X-56, Room W86-471), U.S. Department of Transportation, 1200
New Jersey Avenue SE., Washington, DC 20590,<PHONE_NUMBER>.

    Dated: August 7, 2015.
Susan L. Kurland,
 Assistant Secretary for Aviation and International Affairs.
[FR Doc. 2015-19910 Filed 8-12-15; 8:45 am]
BILLING CODE 4910-9X-P