[Federal Register: May 6, 2008 (Volume 73, Number 88)]
[Notices]
[Page 24977-24979]
[DOCID:fr06my08-77]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OAR-2008-0246, FRL-8562-7]

Agency Information Collection Activities; Proposed Collection;
Comment Request; NESHAP for Hazardous Waste Combustors (40 CFR Part 63,
Subpart EEE), EPA ICR Number 1773.09, OMB Control Number 2050-0171

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act (PRA) (44
U.S.C. 3501 et seq.), this document announces that EPA is planning to
submit a request to renew an existing approved Information Collection
Request (ICR) to the Office of Management and Budget (OMB). This ICR is
scheduled to expire on September 30, 2008. Before submitting the ICR to
OMB for review and approval, EPA is

soliciting comments on specific aspects of the proposed information
collection as described below.

DATES: Comments must be submitted on or before July 7, 2008.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OAR-2008-0246, by one of the following methods:
     http://www.regulations.gov: Follow the on-line
instructions for submitting comments.
     Email<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>.
     Mail: Air and Radiation Docket (2822T), U.S. Environmental
Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
     Hand Delivery: 1301 Constitution Ave., NW., Room 3334,
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.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OAR-
2008-0246. EPA's policy is that all comments received 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 e-mail. 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 e-mail comment directly to EPA without
going through http://www.regulations.gov, your e-mail address will be
automatically 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.

FOR FURTHER INFORMATION CONTACT: Shiva Garg, Office of Solid Waste
(mail code 5302P), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax
number:<PHONE_NUMBER>; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

How Can I Access the Docket and/or Submit Comments?

    EPA has established a public docket for this ICR under Docket ID
No. EPA-HQ-OAR-2008-0246, which is available for online viewing at
http://www.regulations.gov, or in person viewing at the RCRA Docket in
the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution
Ave., NW., Washington, DC. The EPA/DC Public Reading Room is open from
8 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.
The telephone number for the Reading Room is<PHONE_NUMBER>, and the
telephone number for RCRA Docket is<PHONE_NUMBER>.
    Use http://www.regulations.gov to obtain a copy of the draft
collection of information, submit or view public comments, access the
index listing of the contents of the docket, and to access those
documents in the public docket that are available electronically. Once
in the system, select ``search,'' then key in the docket ID number
identified in this document.

What Information Is EPA Particularly Interested in?

    Pursuant to section 3506(c)(2)(A) of the PRA, EPA specifically
solicits comments and information to enable it to:
    (i) Evaluate 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;
    (ii) evaluate the accuracy of the Agency's estimate of the burden
of the proposed collection of information, including the validity of
the methodology and assumptions used;
    (iii) enhance the quality, utility, and clarity of the information
to be collected; and
    (iv) minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses. In particular, EPA is requesting comments from
very small businesses (those that employ less than 25) on examples of
specific additional efforts that EPA could make to reduce the paperwork
burden for very small businesses affected by this collection.

What Should I Consider When I Prepare My Comments for EPA?

    You may find the following suggestions helpful for preparing your
comments:
    1. Explain your views as clearly as possible and provide specific
examples.
    2. Describe any assumptions that you used.
    3. Provide copies of any technical information and/or data you used
that support your views.
    4. If you estimate potential burden or costs, explain how you
arrived at the estimate that you provide.
    5. Offer alternative ways to improve the collection activity.
    6. Make sure to submit your comments by the deadline identified
under DATES.
    7. To ensure proper receipt by EPA, be sure to identify the docket
ID number assigned to this action in the subject line on the first page
of your response. You may also provide the name, date, and Federal
Register citation.

What Information Collection Activity or ICR Does This Apply to?

    Affected entities: Entities affected by this action are businesses
and the Federal Government.
    Title: Information Collection Request (ICR) for NESHAP for
Hazardous Waste Combustors (40 CFR part 63, subpart EEE)
    ICR numbers: EPA ICR No. 1773.09, OMB Control No. 2050-0171.
    ICR status: This ICR is currently scheduled to expire on September
30, 2008. 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 for EPA's
regulations in title 40 of the CFR, after appearing in the Federal
Register when approved, are listed in 40 CFR part 9, 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 in certain EPA
regulations is consolidated in 40 CFR part 9.
    Abstract: EPA, under authority of section 112d of the Clean Air
Act, established National Emission Standards for Hazardous Air
Pollutants (NESHAPs) for hazardous waste combustors: hazardous waste
burning

incinerators, cement kilns, lightweight aggregate kilns, industrial/
commercial/institutional boilers and process heaters, and hydrochloric
acid production furnaces. These NESHAPs are found in 40 CFR part 63.
Under these standards, hazardous waste combustors are required to meet
emission levels that reflect the maximum achievable control technology.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 51
hours per response. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and
transmit or otherwise disclose the information.
    The ICR provides a detailed explanation of the Agency's estimate,
which is only briefly summarized here:
    Estimated total number of potential respondents: 238.
    Frequency of response: on occasion.
    Estimated total average number of responses for each respondent:
17.
    Estimated total annual burden hours: 201,527.
    Estimated total annual costs: $19,838,000. This includes an
estimated labor burden cost of $14,571,000 and an estimated cost of
$5,267,000 for capital investment or maintenance and operational costs.

What Is the Next Step in the Process for This ICR?

    EPA will consider the comments received and amend the ICR as
appropriate. The final ICR package will then be submitted to OMB for
review and approval pursuant to 5 CFR 1320.12. At that time, EPA will
issue another Federal Register notice pursuant to 5 CFR
1320.5(a)(1)(iv) to announce the submission of the ICR to OMB and the
opportunity to submit additional comments to OMB. If you have any
questions about this ICR or the approval process, please contact the
technical person listed under FOR FURTHER INFORMATION CONTACT.

    Dated: April 28, 2008.
Matthew Hale,
Director, Office of Solid Waste.
[FR Doc. E8-9952 Filed 5-5-08; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 78, Number 89 (Wednesday, May 8, 2013)]
[Notices]
[Pages 26766-26768]
[FR Doc No: 2013-10946]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. IC13-13-000]

Commission Information Collection Activities (FERC Form 580);
Comment Request; Revision

AGENCY: Federal Energy Regulatory Commission.

ACTION: Notice of information collection and request for comments.

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SUMMARY: In compliance with the requirements of the Paperwork Reduction
Act of 1995, 44 USC 3506(c)(2)(A), the Federal Energy Regulatory
Commission (Commission or FERC) is soliciting public comment on the
currently approved information collection, FERC Form No. 580
(Interrogatory on Fuel and Energy Purchase Practices).

DATES: Comments on the collections of information are due July 8, 2013.

ADDRESSES: You may submit comments (identified by Docket No. IC13-13-
000) by either of the following methods:
     eFiling at Commission's Web site: http://www.ferc.gov/docs-filing/efiling.asp.
     Mail/Hand Delivery/Courier: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE.,
Washington, DC 20426.
    Instructions: All submissions must be formatted and filed in
accordance with submission guidelines at: http://www.ferc.gov/help/submission-guide.asp. For user assistance contact FERC Online Support
by email at<EMAIL_ADDRESS>or by phone at:<PHONE_NUMBER>
(toll-free), or<PHONE_NUMBER> for TTY.
    Docket: Users interested in receiving automatic notification of
activity in this docket or in viewing/downloading comments and
issuances in this docket may do so at http://www.ferc.gov/docs-filing/docs-filing.asp.

FOR FURTHER INFORMATION CONTACT: Ellen Brown may be reached by email at
<EMAIL_ADDRESS>telephone at<PHONE_NUMBER>, and fax at (202)
273-0873.

SUPPLEMENTARY INFORMATION:

    Title: Interrogatory on Fuel and Energy Purchase Practices (FERC
Form No. 580).
    OMB Control No.: 1902-0131.
    Type of Request: Three-year approval of the FERC Form No. 580.
    Abstract: FERC Form No. 580 is collected in even numbered years.
The Public Utility Regulatory Policies Act (PURPA) \1\ amended the
Federal Power Act (FPA) and directed the Commission to make
comprehensive biennial reviews of certain matters related to automatic
adjustment clauses (AACs) in wholesale rate schedules used by public
utilities subject to the Commission's jurisdiction. Specifically, the
Commission is required to examine whether the clauses effectively
provide the incentives for efficient use of resources and whether the
clauses reflect only those costs that are either ``subject to periodic
fluctuations'' or ``not susceptible to precise determinations'' in rate
cases prior to the time the costs are incurred.
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    \1\ Enacted November 8, 1978.
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    The Commission is also required to review the practices of each
public utility under AACs ``to insure efficient use of resources under
such clauses.'' \2\ In response to the PURPA directive, the Commission
(Docket Number IN79-6-000) established an investigation. Beginning in
1982, the Commission collected ``Interrogatory on Fuel and Energy
Purchase Practices'' data every other year.
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    \2\ The review requirement is set forth in two paragraphs of
Section 208 of PURPA, 49 Stat. 851; 16 U.S.C. 824d.
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    In 2010, the Commission redesigned the form to collect the
information electronically through use of a standard form. Based on
filer comments in response to the new electronic form used in the 2010
and 2012 collections, FERC recommends the following changes to the
form:

Question 1

--Repair the email field to eliminate error messages.

Question 2

--Add a column labeled ``Is this AAC a fuel adjustment clause?''
--Add a column labeled ``Tariff volume number containing''. This
information will aid staff in locating AACs.
--Remove the column and, thus, the request for information titled:

    [cir] ``Type/s of AAC''

    [cir] ``Type of costs that were passed through the AAC--if fuel,
state fuel type''

    There has been an increasing number of AAC-related cost types. This
field makes it difficult for Commission staff to repopulate the
dropdowns for this column without additional OMB approval. The
information otherwise gained from respondents supplying the information
collected in these columns will not be lost. Staff will locate and

recover the information from Commission rate filings by using the AAC
identification information given by respondents in the first three
columns of Question 2.
--Rename Question 2 columns as follows to correct typographical errors:

------------------------------------------------------------------------
                  From                                  To
------------------------------------------------------------------------
Identify service agreement within rate   Identify service schedule, if
 schedule containing AAC.                 any, where the AAC is located
                                          within the rate schedule.
If rate schedule superseded or           Was rate schedule superseded or
 abandoned during 2012-2013.              abandoned during 2012-2013?
------------------------------------------------------------------------

    Additional changes to Question 2 table:

--Add a check box to enable the utility to indicate that it had no non-
transmission related AACs during the reporting years, if the situation
applies. This box, when checked, clearly indicates that there were no
AACs to report.
--Add a ``Copy Row'' button to facilitate data entry.

    We are further reducing the amount of information required for AACs
that are not fuel adjustment clauses. Utilities with no fuel adjustment
clauses only need to respond to questions 1 and 2. Utilities with a FAC
will continue to complete the entire form.

Question 3

--Reword the question from:

------------------------------------------------------------------------
                  From                                  To
------------------------------------------------------------------------
If during the 2010 and 2011 period, the  If during the 2012-2013 period,
 Utility had any contracts or             the Utility had any contracts
 agreements for the purchase of either    or agreements for the purchase
 energy or capacity under which all or    of either energy or capacity
 any portion of the purchase costs were   under which all or any portion
 passed through the AAC, for each         of the purchase costs were
 purchase provide the information         passed through a fuel
 requested in the table below. Provide    adjustment clause (FAC), for
 the information separately for each      each purchase from a PURPA
 reporting year 2010 and 2011. Do not     Qualifying Facility (QF) or
 report purchased power where none of     Independent Power Producer
 the costs were recovered through an      (IPP) provide the information
 AAC.                                     requested in the non-shaded
                                          columns of the table below.
                                          Provide the information
                                          separately for each reporting
                                          year 2012 and 2013. Do not
                                          report purchased power where
                                          none of the costs were
                                          recovered through an FAC. For
                                          each purchase where costs were
                                          flowed through an FAC, fill-in
                                          the non-shaded columns and
                                          either ``Only energy charges''
                                          or ``The total cost of the
                                          purchase of economic power''
                                          columns, whichever apply.
------------------------------------------------------------------------

    The Commission is only interested in QF and IPP information here
and not every power purchase contracts/agreement. The language will be
similar to what was used in Form No. 580 interrogatories prior to 2010.

--Remove the request for information and thus the columns titled:

    [cir] Was an after-the-fact comparison made of actual avoided costs
against the purchase costs?

    [cir] Were purchases made on an hourly economic dispatch basis?

    From the information provided in the 2010 and 2012 filings the
Commission has found that it can fully evaluate regulatory compliance
without this information.

Question 6

    Change the question as follows:

------------------------------------------------------------------------
                  From                                  To
------------------------------------------------------------------------
For each fuel supply contract, where     For each fuel supply contract,
 costs were subject to 18 CFR 35.14,      of longer than one year in
 (including informal agreements with      duration, in force at any time
 associated companies), in force at any   during 2012 and/or 2013, where
 time during 2012 and/or 2013, of         costs were subject to 18 CFR
 longer than one year in duration,        35.14, (including informal
 provide the requested information.       agreements with associated
 Report the data individually, for each   companies), provide the
 contract, for each calendar year. [No    requested information. Report
 response to any part of Question 6 for   the data individually for each
 fuel oil no. 2 is necessary.] Report     contract for each calendar
 all fuels consumed for electric power    year. No response to any part
 generation and thermal energy            of Question 6 for fuel oil no.
 associated with the production of        2 is necessary. Report all
 electricity. Information for only        fuels consumed for electric
 coal, natural gas, and oil should be     power generation and thermal
 reported. Information for ALL FUELS      energy associated with the
 e.g. fossil fuels, wood chips), EXCEPT   production of electricity.
 URANIUM, should be reported.             Information for only coal,
                                          natural gas, and oil should be
                                          reported.
------------------------------------------------------------------------

--As with the request for transportation information that was
eliminated in 2010, the Commission has found alternative information
sources and analytical approaches sufficient to eliminate the request
for fuels other than coal, natural gas and oil.
--Add a ``Copy Contract'' button.

Question 6a

--Add a column labeled ``Is contract evergreen?''.
--Add a column labeled ``Pipeline quality? (Y/N)''.

Question 6b

--Add a new column to the fuel quantity section labeled: ``Coal
(x10\3\tons) not delivered by end of contract year.''
--Add a column labeled ``Pipeline quality? (Y/N)''.

Questions 7 and 8. There are no proposed changes.
    Glossary: Define Evergreen contracts as follows: Evergreen
contract: a contract that is renewed automatically or by notice from
year to year until canceled by either party.
    Access to the Revised Materials: A copy of the form, desk
reference, and glossary are attached to this docket, but they are not
included in the Federal

Register.\3\ Interested parties can see the form electronically as part
of this notice in FERC's eLibrary (http://www.ferc.gov/docs-filing/elibrary.asp) by searching Docket No. IC13-13-000. Interested parties
may also request paper or electronic copies of the form and desk
reference by contacting Ellen Brown, by telephone at<PHONE_NUMBER>, by
fax at<PHONE_NUMBER>, or by email at<EMAIL_ADDRESS>---------------------------------------------------------------------------

    \3\ The attached form is for illustrative purposes only and does
not include all the interactive features of the actual form. For a
copy of the actual form, please contact Ellen Brown as indicated in
this notice.
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    Type of Respondents: Large FERC-jurisdictional electric public
utilities.
    Estimate of Annual Burden: \4\ The Commission estimates the total
Public Reporting Burden for this information collection as:
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    \4\ Burden is defined as the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. For
further explanation of what is included in the information
collection burden, reference 5 CFR 1320.3.

                                        FERC Form No. 580 (IC13-13-000):
                               Interrogatory on Fuel and Energy Purchase Practices
----------------------------------------------------------------------------------------------------------------
                                                                                Average
                                   Number of       Number of    Total Number of   burden hours   Estimated total
                                  respondents    responses per    responses (A)   per response    annual burden
                                      (A)       respondent (B)    x (B) = (C)          (D)          (C) x (D)
----------------------------------------------------------------------------------------------------------------
Respondents with FACs.........              37             0.5             18.5             103          1,905.5
Respondents with AACs, but no               10             0.5              5                20            100
 FACs.........................
Respondents with no AACs nor                35             0.5             17.5               2             35
 FACs.........................
                               ---------------------------------------------------------------------------------
    Total.....................  ..............  ..............  ...............  ..............          2,040.5
----------------------------------------------------------------------------------------------------------------

    Despite the changes to the Form 580, burden estimates per response
for each entity will not change from previously approved amounts. The
burden estimate may vary by utility depending on whether the utility
has or does not have an automatic adjustment clause and depending on
whether or not those utilities with adjustment clauses allow automatic
adjustment of fuel cost.
    The total estimated annual cost burden to respondents is $142,835.
[2040.5 hours * $70/hour \5\ = $142,835]
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    \5\ FY2013 Estimated Average Hourly Cost per FERC FTE, including
salary + benefits.
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    The estimated annual cost of filing the FERC Form 580 per response
is $1,742. [$142,835 / 82 responses = $1,742/response]
    Comments: The Commission seeks public comment on and subsequent OMB
approval of the proposed revised information collection. Also, the
Commission invites comments on: (1) Whether the collection of
information is necessary for the proper performance of the functions of
the Commission, including whether the information will have practical
utility; (2) the accuracy of the agency's estimate of the burden and
cost of the collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility and clarity of the information collection; and (4) ways to
minimize the burden of the collection of information on those who are
to respond, including the use of automated collection techniques or
other forms of information technology.

    Dated: May 2, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-10946 Filed 5-7-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 87, Number 57 (Thursday, March 24, 2022)]
[Notices]
[Pages 16800-16804]
[FR Doc No: 2022-06186]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-94465; File No. SR-LTSE-2021-08]

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.;
Notice of Filing of Amendment No. 1 and Order Granting Accelerated
Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To
Modify and Expand the Package of Products and Services Provided to
Companies and Clarify Existing Practice Under Rule 14.602

March 18, 2022.

I. Introduction

    On December 2, 2021, Long-Term Stock Exchange, Inc. (``LTSE'' or
``Exchange'') 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 modify and expand the package of products and
services provided to Companies and clarify existing practice under
Exchange Rule 14.602 with respect to providing Company-specific web
pages on the Exchange's website in connection with listing on the
Exchange. The proposed rule change was published for comment in the
Federal Register on December 21, 2021.\3\ On February 3, 2022, 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 March 9, 2022, the Exchange filed Amendment No. 1 to the
proposed rule change, which replaced and superseded the proposed rule
change in its entirety.\6\ The Commission has received no comments on
the proposed rule change. This order provides notice of the filing of
Amendment No. 1 to the proposed rule change, and grants approval to the
proposed rule change, as modified by Amendment No. 1, on an accelerated
basis.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 93787 (December 15,
2021), 86 FR 72296 (December 21, 2021) (``Notice'').
    \4\ 15 U.S.C. 78s(b)(2).
    \5\ See Securities Exchange Act Release No. 94140 (January 19,
2022), 87 FR 7521 (February 9, 2022). The Commission designated
March 21, 2022, as the date by which the Commission shall approve or
disapprove, or institute proceedings to determine whether to
disapprove, the proposed rule change.
    \6\ In Amendment No. 1 to the proposed rule change, the
Exchange: (i) Removed provisions related to a proposed optional
credit for certain products and services utilized by Companies prior
to listing on the Exchange; (ii) proposed timelines for Companies
(whether newly or currently listed Companies) to exercise their
option to request and commence receiving certain complimentary
products and services offered by the Exchange; (iii) added
justification for offering such products and services to currently
listed Companies; and (iv) made minor technical changes to improve
the clarity of the proposed rule change. Amendment No. 1 is
available on the Commission's website at https://www.sec.gov/comments/sr-ltse-2021-08/srltse202108-20119645-272512.pdf.
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II. Description of the Proposed Rule Change, as Modified by Amendment
No. 1

    The Exchange proposes to modify and expand the package of products
and services provided to Companies and clarify existing practice under
Exchange Rule 14.602 with respect to providing Company-specific web
pages on the Exchange's website in connection with listing on the
Exchange.\7\
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    \7\ See Amendment No. 1, supra note 6, at 3. ``Company'' means
the issuer of a security listed or applying to list on the Exchange.
For purposes of Chapter 14 of the LTSE Rules, the term ``Company''
includes an issuer that is not incorporated, such as, for example, a
limited partnership. See Exchange Rule 14.002(a)(5).
---------------------------------------------------------------------------

    Currently, in connection with a Company's approval for listing, the
Exchange offers complimentary promotional services (including press
releases, articles, videos, and podcasts) and invites the Company to
participate in listing ceremonies.\8\ According to LTSE, as part of
these promotional services, the Exchange provides each listed Company
with a dedicated section on the Exchange's website featuring
information about the Company, including publicly available data and
links to each Company's long-term policies.\9\ The Exchange first
proposes to clarify under Exchange Rule 14.602 that such Company-
specific web pages are included as part of the Exchange's complimentary
promotional services in connection with listing on the Exchange.\10\
The Exchange also proposes to offer these services on an ongoing basis
to listed Companies at no charge, in a manner generally consistent with
what was done at the time of initial listing.\11\ The Exchange states
that these ongoing promotional services could be discontinued at the
Company's discretion at any time.\12\ According to the Exchange, these
services have a retail value of approximately $5,000 per year.\13\
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    \8\ See Exchange Rule 14.602; Amendment No. 1, supra note 6, at
6-7. See also Release No. 91054 (February 3, 2021), 86 FR 8812
(February 9, 2021) (SR-LTSE-2020-22) (Notice of Filing of Amendment
No. 1 and Order Granting Accelerated Approval of a Proposed Rule
Change, as Modified by Amendment No. 1, To Adopt Rule 14.602 Related
to Promotional Services and Listing Ceremonies for Listed
Companies). Each Company may elect whether or not to receive these
services or whether or not to participate in any listing ceremonies.
See Exchange Rule 14.602.
    \9\ See Amendment No. 1, supra note 6, at 6-7. Exchange Rule
14.425(a) requires Companies to adopt and publish various ``Long-
Term Policies,'' which must be consistent with certain principles
articulated in Exchange Rule 14.425(b). See id. at 9 n.12.
    \10\ See proposed Exchange Rule 14.602(a); Amendment No. 1,
supra note 6, at 6-7.
    \11\ See proposed Exchange Rule 14.602(b); Amendment No. 1,
supra note 6, at 6-7. According to the Exchange, as is the case with
the current promotional services, all updates to Company-specific
web pages on the Exchange's website would be managed by an
affiliate, LTSE Services, Inc. (``LTSE Services''), subject to
review and approval by the Exchange and the listed Company. See
Amendment No. 1, supra note 6, at 5, 7.
    \12\ See Amendment No. 1, supra note 6, at 12.
    \13\ See id. at 7. The Exchange states that this retail value is
based on market rate estimates by LTSE Services. See id. at 7 n.10.
---------------------------------------------------------------------------

    Next, the Exchange proposes to provide each listed Company with
complimentary ``Capital Market Reports'' on an ongoing basis.\14\ The
Exchange states that these Capital Market Reports would provide
tailored investor and capital markets insights and analytics that are
relevant to each listed Company and its market sector, including a
summary evaluation of the Company's current institutional investor base
that provides specific metrics analyzing the Environmental, Social, and
Governance (``ESG'') profile of each underlying institutional investor,
and would highlight investor behavior and provide insights on their
likely strategic priorities so that Companies can better understand
their current status.\15\ The Capital Markets Reports would be issued
periodically, at a minimum of one report and at most four reports each
calendar year.\16\ The Exchange states that the Capital Markets Reports
could be discontinued at the Company's discretion at any time.\17\
According to the Exchange, an annual subscription to the Capital
Markets reports has a retail value of approximately $5,000 per year on
a flat fee basis, regardless of the number of reports issued.\18\
---------------------------------------------------------------------------

    \14\ See proposed Exchange Rule 14.602(b); Amendment No. 1,
supra note 6, at 7. These Capital Markets Reports would be provided
by LTSE Services. See Amendment No. 1, supra note 6, at 7.
    \15\ See Amendment No. 1, supra note 6, at 7-8.
    \16\ See id. at 7.
    \17\ See id. at 12.
    \18\ See id. at 8. The Exchange states that this retail value is
based on market rate estimates by LTSE Services. See id. at 8 n.11.
---------------------------------------------------------------------------

    Lastly, the Exchange proposes to provide each listed Company with
up to one year of complimentary Capital Market Solutions (``CM
Solutions'').\19\ According to the Exchange, CM Solutions has two
components: (i) The Investor Alignment Solution; and (ii) the Long-Term
Investor Platform (``LTIP'').\20\
---------------------------------------------------------------------------

    \19\ See proposed Exchange Rule 14.602(b); Amendment No. 1,
supra note 6, at 8. CM Solutions would be provided by LTSE Services.
See id. Amendment No. 1, supra note 6, at 8.
    \20\ See id. Amendment No. 1, supra note 6, at 8.
---------------------------------------------------------------------------

    The Exchange states that the Investor Alignment Solution would
provide recipient Companies with detailed institutional investor
analytics and insights into investor behavior to enable them to
evaluate the behaviors of select investors and provide them with a
deeper understanding of the ESG landscape and their positioning, with
LTSE Services analyzing the ESG profile of institutional investors in
order to understand and identify relevant sources of capital to aid the
Company in honing and achieving strategic priorities, deploying a
highly-experienced, multi-disciplinary team to support this long-term
governance and capital markets strategy.\21\ According to the Exchange,
the Investor Alignment Solution has a retail value of approximately
$150,000 per year.\22\
---------------------------------------------------------------------------

    \21\ See id. at 8-9.
    \22\ See id. at 9. The Exchange states this retail value
reflects LTSE Services' current price list. See id. at 9 n.13.
---------------------------------------------------------------------------

    The Exchange states that the LTIP is a platform that would provide
listed Companies with a means to upload and effectively manage and use
their registered shareholder data received from their transfer
agent.\23\ Registered shareholders are listed directly on the records
of an issuer or the issuer's

transfer agent under their own names.\24\ Because their ownership of
shares is listed on records maintained by the issuer or its transfer
agent, registered shareholders have a direct relationship with the
issuer.\25\ Relatedly, Exchange Rule 14.208 requires that (subject to
certain exceptions) all securities listed on the Exchange must be
eligible for a ``Direct Registration Program'' operated by a clearing
agency registered under Section 17A of the Act,\26\ defined as any
program by a Company (directly or through its transfer agent) whereby a
shareholder may have securities registered in the shareholder's name on
the books of the Company or its transfer agent without the need for a
physical certificate to evidence ownership.\27\ In this regard, the
Exchange states that the primary means by which shareholders become
registered shareholders is through the Direct Registration System
(``DRS'') operated by the Depository Trust Company (``DTC'').\28\
---------------------------------------------------------------------------

    \23\ See id. at 10.
    \24\ See Securities Exchange Act Release No. 76743 (December 22,
2015), 80 FR 81947, 81957 (December 31, 2015) (File No. S7-27-15).
    \25\ See Securities Exchange Act Release No. 62495 (July 14,
2010), 75 FR 42981, 42985 (June 22, 2010) (File No. S7-14-10).
    \26\ See Amendment No. 1, supra note 6, at 10.
    \27\ See Exchange Rule 14.002(a)(8).
    \28\ See Amendment No. 1, supra note 6, at 10.
---------------------------------------------------------------------------

    According to the Exchange, the LTIP would allow Companies to more
easily track, analyze, and utilize registered shareholder data in
support of their investor relations, strategic initiatives, board
review, and governance functions.\29\ As part of the LTIP, the Exchange
states that LTSE Services would also assist Companies with methods of
outreach to and education of existing or potential investors regarding
the process for becoming a registered shareholder, including the need
for an investor to work with their broker-dealer to complete a
submission to the ``DRS Profile System'' maintained by the DTC.\30\
According to the Exchange, the LTIP has a retail value of approximately
$150,000 per year if purchased on an individual basis.\31\
---------------------------------------------------------------------------

    \29\ See id. at 10-11. The Exchange states that registered
shareholder information in LTIP is proprietary to the Company and
viewable only by the Company and its authorized agents. See id. at
11 n.18.
    \30\ See id. at 11. The Exchange states that any outreach to
existing or potential investors would be entirely at the discretion
of the Company and would be conducted exclusively by the Company,
and that no personnel from LTSE Services or the Exchange would have
any role in communicating with investors on behalf of the Company.
Based on customer demand, the LTIP would also provide a means for a
Company to communicate with registered shareholders who choose to
participate via the Company's LTIP account. See id. at 11 n.19.
    \31\ See id. at 11. The Exchange states that this retail value
reflects LTSE Services' current price list. See id. at 11 n.20.
---------------------------------------------------------------------------

    The Exchange proposes that newly and currently listed Companies
would have the option of receiving CM Solutions on a complimentary
basis for a continuous one-year term.\32\ A newly listed Company that
wishes to receive the complimentary CM Solutions would be required to
request and commence receiving the CM Solutions within 90 days of its
initial listing date.\33\ A currently listed Company that wishes to
receive the complimentary CM Solutions would be required to request and
commence receiving the CM Solutions within 90 days of the effectiveness
of this proposed rule change.\34\ The start date for the continuous
complimentary one-year period for both newly and currently listed
Companies would begin on the date of first use by a Company, subject to
the 90-day periods noted above, as applicable.\35\ At the end of the
one-year complimentary period for CM Solutions, Companies could choose
to renew these services on a contractual basis with LTSE Services and
pay for them in the regular course, or discontinue them.\36\ If a
Company ceases to be listed on the Exchange, the complimentary CM
Solutions would end as of the date of de-listing, even if less than a
one-year period has elapsed.\37\
---------------------------------------------------------------------------

    \32\ See proposed Exchange Rule 14.602(b)(2); Amendment No. 1,
supra note 6, at 11. The Exchange states that Companies may elect to
receive either the Investor Alignment Solution, the LTIP, or both
during this complimentary one-year period. However, these services
cannot be utilized during separate one-year periods on a
complimentary basis. See Amendment No. 1, supra note 6, at 12.
    \33\ See proposed Exchange Rule 14.602(b)(2)(a); Amendment No.
1, supra note 6, at 11.
    \34\ See proposed Exchange Rule 14.602(b)(2)(b); Amendment No.
1, supra note 6, at 11.
    \35\ See proposed Exchange Rule 14.602(b)(2); Amendment No. 1,
supra note 6, at 11.
    \36\ See Amendment No. 1, supra note 6, at 12.
    \37\ See id.
---------------------------------------------------------------------------

    The Exchange states that Companies are not required to use the
products and services proposed above as a condition of listing, and may
choose not to avail themselves of any of these products and services or
only a subset of them.\38\ If a listed Company chooses to discontinue
receiving any of these products or services, the Exchange states that
there would be no effect on the Company's continued listing on the
Exchange.\39\ Moreover, the Exchange represents that no listed Company
will be required to pay higher fees as a result of this proposed rule
change; that providing the proposed products and services will have no
impact on the resources available for the Exchange's regulatory
programs; and that no confidential trading or regulatory information
generated or received by the Exchange will be shared with LTSE Services
or leveraged for the provision of its products and services.\40\
---------------------------------------------------------------------------

    \38\ See id.
    \39\ See id.
    \40\ See id. at 12-13.
---------------------------------------------------------------------------

III. Discussion and Commission Findings

    The Commission has carefully reviewed the proposed rule change, as
modified by Amendment No. 1, and finds that it is consistent with the
requirements of Section 6 of the Act.\41\ Specifically, the Commission
finds that the proposal is consistent with Sections 6(b)(4) \42\ and
6(b)(5) of the Act \43\ in particular, in that the proposed rule is
designed to provide for the equitable allocation of reasonable dues,
fees, and other charges among Exchange members, issuers, and other
persons using the Exchange's facilities, and is not designed to permit
unfair discrimination between customers, issuers, brokers, or dealers.
Moreover, the Commission finds that the proposal is consistent with
Section 6(b)(8) of the Act \44\ in that it does not impose any burden
on competition not necessary or appropriate in furtherance of the
purposes of the Act.
---------------------------------------------------------------------------

    \41\ 15 U.S.C. 78f. In approving this proposed rule change, the
Commission has considered the proposed rule's impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
    \42\ 15 U.S.C. 78f(b)(4).
    \43\ 15 U.S.C. 78f(b)(5).
    \44\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

    The Exchange proposes to modify and expand the package of products
and services provided to Companies and clarify existing practice under
Exchange Rule 14.602 with respect to providing Company-specific web
pages on the Exchange's website in connection with listing on the
Exchange. The Commission believes that by describing and clarifying in
its Rules the complimentary products and services available to listed
Companies, the Exchange is adding greater transparency to its rules and
the fees applicable to such Companies.\45\ This will help to ensure
that individual listed Companies are not given specially negotiated
packages of products and services to list

or remain listed that would raise unfair discrimination issues under
the Act.
---------------------------------------------------------------------------

    \45\ The Commission views complimentary products and services
provided by exchanges to listed companies as a discount on the
ultimate listing fees paid by such companies. See, e.g., Securities
Exchange Act Release Nos. 91054 (February 3, 2021), 86 FR 8812
(February 9, 2021) (order approving SR-LTSE-2020-22); 81872 (October
13, 2017), 82 FR 48733 (October 19, 2017) (order approving SR-IEX-
2017-20); 65127 (August 12, 2011), 76 FR 51449 (August 18, 2011)
(order approving SR-NYSE-2011-20); and 65963 (December 15, 2011), 76
FR 79262 (December 21, 2011) (order approving SR-NASDAQ-2011-122).
---------------------------------------------------------------------------

    Moreover, the Commission notes the Exchange's representations that
the proposed complimentary products and services will be offered to all
listed Companies on the same terms and conditions without
differentiation.\46\ In this respect, the Commission notes that the
Exchange would offer all currently and newly listed Companies
complimentary periodic Capital Markets Reports and Company-specific web
page updates on the Exchange's website on an ongoing basis.\47\ All
currently and newly listed Companies would also be provided the same
one-year term of complimentary CM Solutions to be utilized at their
discretion, provided such complimentary services are requested and
commenced within the 90-day periods noted above, as applicable.\48\
According to the Exchange, these 90-day opt-in periods for newly and
currently listed Companies offer them sufficient flexibility and
autonomy in requesting and commencing receiving CM Solutions.\49\ The
Commission believes that these timeframes would provide only a short
window of time to allow companies to avail themselves of these
complimentary products and services, and notes that these timeframes
would only be available to Companies that have already determined to
list or are already listed on the Exchange.\50\ Accordingly, the
Commission believes that the proposed rule change, as modified by
Amendment No. 1, is consistent with the requirements of the Act and, in
particular, that the services are equitably allocated among issuers
consistent with Section 6(b)(4) of the Act,\51\ and the rule does not
unfairly discriminate between issuers consistent with Section 6(b)(5)
of the Act.\52\
---------------------------------------------------------------------------

    \46\ See Amendment No. 1, supra note 6, at 15-16.
    \47\ See proposed Exchange Rule 14.602(b)(1).
    \48\ See Amendment No. 1, supra note 6, at 15.
    \49\ See id. at 11-12.
    \50\ The Commission expects the Exchange to track the start (and
end) date of each free service.
    \51\ 15 U.S.C. 78f(b)(4).
    \52\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Commission also acknowledges that the Exchange is responding to
competitive pressures in the market for listings in making this
proposal. Specifically, according to LTSE, the Exchange expects to face
competition as a new entrant in the market for exchange listings, and
it believes the complimentary products and services that it proposes to
offer to listed companies will facilitate LTSE's ability to attract and
retain listings.\53\ In addition, the Exchange states that comparable
complimentary products and services are already provided by other
listing exchanges.\54\ Accordingly, the Commission believes that the
proposed rule change, as modified by Amendment No. 1, reflects the
current competitive environment for exchange listings among national
securities exchanges, and is appropriate and consistent with Section
6(b)(8) of the Act.\55\
---------------------------------------------------------------------------

    \53\ See Amendment No. 1, supra note 6, at 13-15.
    \54\ See id. at 16-17. See also New York Stock Exchange LLC
Listed Company Manual Section 907 and The Nasdaq Stock Market LLC
Rule IM-5900-7.
    \55\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

IV. Solicitation of Comments on Amendment No. 1

    Interested persons are invited to submit written data, views, and
arguments concerning whether Amendment No. 1 is consistent with the
Act. Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File No. SR-LTSE-2021-08 on the subject line.

Paper Comments

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

All submissions should refer to File No. SR-LTSE-2021-08. The file
numbers should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make publicly available. All submissions
should refer to File No. SR-LTSE-2021-08 and should be submitted on or
before April 14, 2022.

V. Accelerated Approval of Proposed Rule Change, as Modified by
Amendment No. 1

    The Commission finds good cause to approve the proposed rule
change, as modified by Amendment No. 1, prior to the thirtieth day
after the date of publication of notice of the amended proposal in the
Federal Register. As discussed above, in Amendment No. 1, the Exchange:
(i) Removed provisions related to a proposed optional credit for
certain products and services utilized by Companies prior to listing on
the Exchange; (ii) proposed timelines for Companies (whether newly or
currently listed Companies) to exercise their option to request and
commence receiving certain complimentary products and services offered
by the Exchange; (iii) added justification for offering such products
and services to currently listed Companies; and (iv) made minor
technical changes to improve the clarity of the proposed rule change.
The Commission believes that these changes will help to ensure that
individual listed Companies are not given specially negotiated packages
of products and services to list or remain listed, as well as to ensure
that the services are equitably allocated among issuers consistent with
Section 6(b)(4) of the Act \56\ and that the proposed rule change does
not unfairly discriminate between issuers consistent with Section
6(b)(5) of the Act.\57\ In addition, Amendment No. 1 does not alter any
substantive provisions of the remaining parts of the proposed rule
change from what is set forth in the Notice, which was subject to a
full comment period. Accordingly, the Commission finds good cause,
pursuant to Section 19(b)(2) of the Act,\58\ to approve the proposed
rule change, as modified by Amendment No. 1, on an accelerated basis.
---------------------------------------------------------------------------

    \56\ 15 U.S.C. 78f(b)(4).
    \57\ 15 U.S.C. 78f(b)(5).
    \58\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

VI. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\59\ that the proposed rule change (SR-LTSE-2021-08), as modified
by Amendment No. 1,

be, and hereby is, approved on an accelerated basis.
---------------------------------------------------------------------------

    \59\ 15 U.S.C. 78s(b)(2).
    \60\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\60\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-06186 Filed 3-23-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 150 (Friday, August 3, 2018)]
[Notices]
[Pages 38153-38157]
[FR Doc No: 2018-16648]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2018-N-0270]

Agency Information Collection Activities; Submission for Office
of Management and Budget Review; Comment Request; Survey on the
Occurrence of Foodborne Illness Risk Factors in Selected Institutional
Foodservice and Retail Food Stores Facility Types

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is announcing that a
proposed collection of information has been submitted to the Office of
Management and Budget (OMB) for review and clearance under the
Paperwork Reduction Act of 1995.

DATES: Fax written comments on the collection of information by
September 4, 2018.

ADDRESSES: To ensure that comments on the information collection are
received, OMB recommends that written comments be faxed to the Office
of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer,
Fax:<PHONE_NUMBER>, or emailed to [email protected]. All
comments should be identified with the OMB control number 0910-0799.
Also include the FDA docket number found in brackets in the heading of
this document.

FOR FURTHER INFORMATION CONTACT: Ila S. Mizrachi, Office of Operations,
Food and Drug Administration, Three White Flint North, 10A-12M, 11601
Landsdown St., North Bethesda, MD 20852,<PHONE_NUMBER>,
[email protected].

SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has
submitted the following proposed collection of information to OMB for
review and clearance.

Survey on the Occurrence of Foodborne Illness Risk Factors in Selected
Institutional Foodservice and Retail Food Stores Facility Types

OMB Control Number 0910-0799--Reinstatement

I. Background

    From 1998 to 2008, FDA's National Retail Food Team conducted a
study to measure trends in the occurrence of foodborne illness risk
factors, preparation practices, and employee behaviors most commonly
reported to the Centers for Disease Control and Prevention as
contributing factors to foodborne illness outbreaks at the retail
level. Specifically, data was collected by FDA specialists in retail
and foodservice establishments at 5-year intervals (1998, 2003, and
2008) to observe and document trends in the occurrence of the following
foodborne illness risk factors:
     Food from Unsafe Sources,
     Poor Personal Hygiene,
     Inadequate Cooking,
     Improper Holding/Time and Temperature, and
     Contaminated Equipment/Cross-Contamination.
    FDA developed reports summarizing the findings for each of the
three data collection periods (1998, 2003, and 2008) (Refs. 1 to 3).
Data from all three data collection periods were analyzed to detect
trends in improvement or regression over time and to determine whether
progress had been made toward the goal of reducing the occurrence of
foodborne illness risk factors in selected retail and foodservice
facility types (Ref. 4).
    Using this 10-year survey as a foundation, in 2013 to 2014, FDA
initiated a new study in full service and fast food restaurants. This
study will span 10 years with additional data collections planned for
2017 to 2018 and 2021 to 2022.
    FDA recently completed the baseline data collection in select
healthcare, school, and retail food store facility types in 2015 to
2016. This proposed study will also span 10 years with additional data
collections planned for 2019 to 2020 (the subject of this information
collection request reinstatement) and 2023 to 2024 (which will be
posted in the Federal Register at the next renewal).

    Table 1--Description of the Facility Types Included in the Survey
------------------------------------------------------------------------
        Facility type                         Description
------------------------------------------------------------------------
Healthcare Facilities........  Hospitals and long-term care facilities
                                foodservice operations that prepare
                                meals for highly susceptible populations
                                as defined as follows:
                                Hospitals--A foodservice
                                operation that provides for the
                                nutritional needs of inpatients by
                                preparing meals and transporting them to
                                the patient's room and/or serving meals
                                in a cafeteria setting (meals in the
                                cafeteria may also be served to hospital
                                staff and visitors).
                                Long-term care facilities--A
                                foodservice operation that prepares
                                meals for the residents in a group care
                                living setting such as nursing homes and
                                assisted living facilities.
                               Note: For the purposes of this study,
                                healthcare facilities that do not
                                prepare or serve food to a highly
                                susceptible population, such as mental
                                healthcare facilities, are not included
                                in this facility type category.
Schools (K-12)...............  Foodservice operations that have the
                                primary function of preparing and
                                serving meals for students in one or
                                more grade levels from kindergarten
                                through grade 12. A school foodservice
                                may be part of a public or private
                                institution.
Retail Food Stores...........  Supermarkets and grocery stores that have
                                a deli department/operation as described
                                as follows:
                                   Deli department/operation--
                                   Areas in a retail food store where
                                   foods, such as luncheon meats and
                                   cheeses, are sliced for the customers
                                   and where sandwiches and salads are
                                   prepared onsite or received from a
                                   commissary in bulk containers,
                                   portioned, and displayed. Parts of
                                   deli operations may include:
                                     Salad bars, pizza stations,
                                     and other food bars managed by the
                                     deli department manager.
                                     Areas where other foods are
                                     cooked or prepared and offered for
                                     sale as ready-to-eat and are
                                     managed by the deli department
                                     manager.
                               Data will also be collected in the
                                following areas of a supermarket or
                                grocery store, if present:

                                   Seafood department/operation--
                                   Areas in a retail food store where
                                   seafood is cut, prepared, stored, or
                                   displayed for sale to the consumer.
                                   In retail food stores where the
                                   seafood department is combined with
                                   another department (e.g. meat), the
                                   data collector will only assess the
                                   procedures and practices associated
                                   with the processing of seafood.
                                   Produce department/operation--
                                   Areas in a retail food store where
                                   produce is cut, prepared, stored, or
                                   displayed for sale to the consumer. A
                                   produce operation may include salad
                                   bars or juice stations that are
                                   managed by the produce manager.
------------------------------------------------------------------------

    The purpose of the study is to:
     Assist FDA with developing retail food safety initiatives
and policies focused on the control of foodborne illness risk factors;
     Identify retail food safety work plan priorities and
allocate resources to enhance retail food safety nationwide;
     Track changes in the occurrence of foodborne illness risk
factors in retail and foodservice establishments over time; and
     Inform recommendations to the retail and foodservice
industry and State, local, tribal, and territorial regulatory
professionals on reducing the occurrence of foodborne illness risk
factors.
    The statutory basis for FDA conducting this study is derived from
the Public Health Service Act (PHS Act) (42 U.S.C. 243, section
311(a)). Responsibility for carrying out the provisions of the PHS Act
relative to food protection was transferred to the Commissioner of Food
and Drugs in 1968 (21 CFR 5.10(a)(2) and (4)). Additionally, the
Federal Food, Drug, and Cosmetic Act (21 U.S.C. 301 et seq.) and the
Economy Act (31 U.S.C. 1535) require FDA to provide assistance to other
Federal, State, and local government bodies.
    The objectives of the study are to:
     Identify the least and most often occurring foodborne
illness risk factors and food safety behaviors/practices in healthcare,
school, restaurant, and retail food store facility types during each
data collection period;
     Track improvement and/or regression trends in the
occurrence of foodborne illness risk factors during the 10-year study
period;
     Examine potential correlations between operational
characteristics of food establishments and the control of foodborne
illness risk factors;
     Examine potential correlations between elements within
regulatory retail food protection programs and the control of foodborne
illness risk factors; and
     Determine the extent to which food safety management
systems and the presence of a certified food protection manager impact
the occurrence of foodborne illness risk factors.
    The methodology to be used for this information collection is
described as follows. To obtain a sufficient number of observations to
conduct statistically significant analysis, FDA will conduct
approximately 400 data collections in each facility type. This sample
size has been calculated to provide for sufficient observations to be
95 percent confident that the compliance percentage is within 5 percent
of the true compliance percentage.
    A geographical information system database containing a listing of
businesses throughout the United States provides the establishment
inventory for the data collections. FDA samples establishments from the
inventory based on the descriptions in table 1. FDA does not intend to
sample operations that handle only prepackaged food items or conduct
low-risk food preparation activities. The ``FDA Food Code'' contains a
grouping of establishments by risk, based on the type of food
preparation that is normally conducted within the operation (Ref. 5).
The intent is to sample establishments that fall under risk categories
2 through 4.
    FDA has approximately 25 Regional Retail Food Specialists
(Specialists) who serve as the data collectors for the 10-year study.
The Specialists are geographically dispersed throughout the United
States and possess technical expertise in retail food safety and a
solid understanding of the operations within each of the facility types
to be surveyed. The Specialists are also standardized by FDA's Center
for Food Safety and Applied Nutrition personnel in the application and
interpretation of the FDA Food Code (Ref. 5).
    Sampling zones have been established that are equal to the 150-mile
radius around a Specialist's home location. The sample is selected
randomly from among all eligible establishments located within these
sampling zones. The Specialists are generally located in major
metropolitan areas (i.e., population centers) across the contiguous
United States. Population centers usually contain a large concentration
of the establishments FDA intends to sample. Sampling from the 150-mile
radius sampling zones around the Specialists' home locations provides
three advantages to the study:
    1. It provides a cross-section of urban and rural areas from which
to sample the eligible establishments.
    2. It represents a mix of small, medium, and large regulatory
entities having jurisdiction over the eligible establishments.
    3. It reduces overnight travel and therefore reduces travel costs
incurred by the Agency to collect data.
    The sample for each data collection period is evenly distributed
among Specialists. Given that participation in the study by industry is
voluntary and the status of any given randomly selected establishment
is subject to change, substitute establishments have been selected for
each Specialist for cases where the institutional foodservice, school,
or retail food store facility is misclassified, closed, or otherwise
unavailable, unable, or unwilling to participate.
    Prior to conducting the data collection, Specialists contact the
State or local jurisdiction that has regulatory responsibility for
conducting retail food inspections for the selected establishment. The
Specialist verifies with the jurisdiction that the facility has been
properly classified for the purposes of the study and is still in
operation. The Specialist ascertains whether the selected facility is
under legal notice from the State or local regulatory authority. If the
selected facility is under legal notice, the Specialist will not
conduct a data collection, and a substitute establishment will be used.
An invitation is extended to the State or local regulatory authority to
accompany the Specialist on the data collection visit.
    A standard form is used by the Specialists during each data
collection. The form is divided into three sections: Section 1--
``Establishment Information''; Section 2--``Regulatory Authority
Information''; and Section 3--``Foodborne Illness Risk Factor and

Food Safety Management System Assessment''. The information in Section
1--``Establishment Information'' of the form is obtained during an
interview with the establishment owner or person in charge by the
Specialist and includes a standard set of questions.
    The information in Section 2--``Regulatory Authority Information''
is obtained during an interview with the program director of the State
or local jurisdiction that has regulatory responsibility for conducting
inspections for the selected establishment. Section 3 includes three
parts: Part A for tabulating the Specialists' observations of the food
employees' behaviors and practices in limiting contamination,
proliferation, and survival of food safety hazards; Part B for
assessing the food safety management system being implemented by the
facility; and Part C for assessing the frequency and extent of food
employee hand washing. The information in Part A is collected from the
Specialists' direct observations of food employee behaviors and
practices. Infrequent, nonstandard questions may be asked by the
Specialists if clarification is needed on the food safety procedure or
practice being observed. The information in Part B is collected by
making direct observations and asking followup questions of facility
management to obtain information on the extent to which the food
establishment has developed and implemented food safety management
systems. The information in Part C is collected by making direct
observations of food employee hand washing. No questions are asked in
the completion of Section 3, Part C of the form.
    FDA collects the following information associated with the
establishment's identity: Establishment name, street address, city,
state, ZIP code, county, industry segment, and facility type. The
establishment identifying information is collected to ensure the data
collections are not duplicative. Other information related to the
nature of the operation, such as seating capacity and number of
employees per shift, is also collected. Data will be consolidated and
reported in a manner that does not reveal the identity of any
establishment included in the study.
    FDA has collaborated with the Food Protection and Defense
Institute\1\ to develop a web-based platform in FoodSHIELD to collect,
store, and analyze data for the Retail Risk Factor Study. This platform
is accessible to State, local, territorial, and tribal regulatory
jurisdictions to collect data relevant to their own risk factor
studies. For the 2015 to 2016 data collection, FDA piloted the use of
hand-held technology for capturing the data onsite during the data
collection visits. The tablets that were made available for the data
collections were part of a broader Agency initiative focused on
internal uses of hand-held technology. The tablets provided for the
data collection presented several technical and logistical challenges
and increased the time burden associated with the data collection as
compared to the manual entry of data collections. FDA continues to
assess the feasibility for fully incorporating use of hand-held
technology in subsequent data collections during the 10-year study
period.
---------------------------------------------------------------------------

    \1\ https://foodprotection.umn.edu/.
---------------------------------------------------------------------------

    When a data collector is assigned a specific establishment, he or
she conducts the data collection and enters the information into the
web-based data platform. The interface will support the manual entering
of data, as well as the ability to directly enter information in the
database via a web browser.
    In the Federal Register of February 7, 2018 (83 FR 5441), FDA
published a 60-day notice requesting public comment on the proposed
collection of information. FDA received two comments.
    (Comment 1) National Association of County and City Health
Officials (NACCHO) provided comments related to the following areas:
    a. Supports FDA's efforts to reduce the occurrence of foodborne
illness through the proposed study and activities on retail food
safety.
    b. Recommends that Assisted Living Facilities should be included in
the facility types surveyed in the study.
    c. Recommends that FDA interview food handlers at retail food
facilities.
    d. Strongly urges FDA to use weighted random sampling to select
retail food facilities for the study and consider more factors for
establishing sampling zones.
    e. Recommends that FDA work with State and local health departments
to obtain data needed.
    (Response 1) FDA provides the following responses to the comments
provided by NACCHO:
    a. FDA thanks the submitter for supporting FDA's efforts to reduce
the occurrence of foodborne illness through the proposed study and
activities on retail food safety.
    b. The information collection identifies assisted living facilities
within the Long-Term Care category. The study protocol defines Long-
Term Care Facilities as foodservice operations that prepare meals for
residents in a group care living setting such as nursing homes and
assisted living centers.
    c. The study data collection protocol combines direct observations
of procedures and practices and interaction with both the Person In
Charge and front line food employees.
    d. Sampling zones for this information collection contain
approximately 59 percent of all healthcare establishments, 59 percent
of all school establishments, and 61 percent of all retail food store
establishments in the contiguous United States. The sample size of the
information collections provides sufficient observations to be 95
percent confident that compliance percentages derived from the data
collections are within 5 percent of their actual occurrence.
    e. This type of research requires a standardized design and
methodology to ensure that the occurrences of the foodborne illness
risk factors are uniformly assessed. Retail Food Specialists are
standardized by the Center for Food Safety and Applied Nutrition and
have a strong working knowledge of retail food industry. State and
local regulators are encouraged to accompany the data collectors during
the data collection.
    (Comment 2) Academy of Nutrition and Dietetics commented that they
support the proposed information collection for survey on the
occurrence of foodborne illness risk factors in various settings. The
Academy provided comments pertaining to the following general areas of
the study:
    a. Question whether 90 minutes is adequate for surveying larger
facilities.
    b. Request FDA evaluate the impact of conducting surveys during
non-peak hours of operation.
    c. Suggest that the use of gloves is not adequately addressed in
the survey.
    d. Recommend adding a food allergy component.
    e. Encourage continued efforts to simplify and standardize
expiration dates. Related to institutional operations at the retail
level, the Academy provided the following comments:
    a. Seeks clarification related to health systems as to whether FDA
will focus on the central facilities in hospital food service due to
their higher potential reach, impact, and risk.
    b. Seeks clarification whether the survey will be part of routine
inspections or in addition to them and whether the information
collections will be scheduled or unannounced.
    c. Seeks clarification on how FDA will analyze the information
collected and which data points will be tied to

which outcomes. (Response 2) FDA thanks the submitter for their comment
and appreciates their support. Regarding general areas of the study,
FDA provides the following responses:
    a. The current 10-year study estimates 90 minutes as the average
time needed to adequately collect necessary information, taking into
account both small and large facilities. This average time is
consistent with the amount of time burden estimated for the previous
data collection periods and provides a sufficient timeframe to observe
food safety practices and procedures that are the focus of the study.
    b. Based on the methodology of the study, the information
collection is performed during hours of operation of the randomly
selected facility. Data collections are scheduled at times that provide
the best opportunity to observe food preparation activities.
    c. Information collection related to handwashing and no bare hand
contact with ready-to-eat foods, which may include use of gloves, is
based on assessment of observations against the most current edition of
the FDA Model Food Code. Provisions of the Food Code identify when
handwashing and no bare hand contact with ready-to-eat food are
required during food preparation and service. The current Food Code
does not recognize the use of hand antiseptics in lieu of handwashing
during food preparation and service.
    d. The study is collecting information regarding the knowledge of
the person in charge related to food allergens and training of food
service employees on allergy awareness as it relates to their assigned
duties in their facility.
    e. The scope of this data collection focuses on foodborne illness
risk factors and does not include assessment of expiration dates of
manufactured foods as part of this research assessment. Related to
institutional operations at the retail level, FDA provides the
following responses:
    a. The data collection protocol provides the definition of the
hospital facility type that will be the focus of information
collection. It is described as foodservice operations that provide for
the nutritional needs of inpatients, by preparing meals and
transporting them to the patient's room and/or serving meals in a
cafeteria setting (meals in the cafeteria may also be served to
hospital staff and visitors).
    b. The data collections are unannounced and separate from any
regulatory routine inspections. Industry's participation in the study
is voluntary. This methodology allows for assessment of direct
observations related to the foodborne illness risk factors during food
preparation and service.
    c. The study is designed to investigate data points focused on the
relationship between food safety management systems, certified food
protection managers, and the occurrence of risk factors and food safety
behaviors/practices commonly associated with foodborne illness in the
randomly selected facility.
    Data items 1 through 10 are considered primary data items. Each of
the primary data items has been placed under the appropriate FDA
foodborne illness risk factor category that will be used as the key
indicator for FDA's statistical analysis for the study:

 Risk Factor--Poor Personal Hygiene
    (1) Employees practice proper handwashing
    (2) Food Employees do not contact ready-to-eat foods with bare
hands
 Contaminated Equipment/Protection from Contamination
    (3) Food is protected from cross-contamination during storage,
preparation, and display
    (4) Food contact surfaces are properly cleaned and sanitized
 Improper Holding/Time and Temperature
    (5) Foods requiring refrigeration are held at the proper
temperature
    (6) Foods displayed or stored hot are held at the proper
temperature
    (7) Foods are cooled properly
    (8) Refrigerated, ready-to-eat foods are properly date marked and
discarded within 7 days of preparation or opening
 Inadequate Cooking
    (9) Raw animal foods are cooked to required temperatures
    (10) Cooked foods are reheated to required temperatures

    The burden for the 2019 to 2020 data collection is as follows. For
each data collection, the respondents will include: (1) The person in
charge of the selected facility (whether it be a healthcare facility,
school, or supermarket/grocery store) and (2) the program director (or
designated individual) of the respective regulatory authority. To
provide the sufficient number of observations needed to conduct a
statistically significant analysis of the data, FDA has determined that
400 data collections will be required in each of the three facility
types. Therefore, the total number of responses will be 2,400 (400 data
collections x 3 facility types x 2 respondents per data collection).
    The burden associated with the completion of Sections 1 and 3 of
the form is specific to the persons in charge of the selected
facilities. It includes the time it will take the person in charge to
accompany the data collector during the site visit and answer the data
collector's questions. The burden related to the completion of Section
2 of the form is specific to the program directors (or designated
individuals) of the respective regulatory authorities. It includes the
time it will take to answer the data collectors' questions and is the
same regardless of the facility type.
    To calculate the estimate of the hours per response, FDA uses the
average data collection duration for similar facility types during the
FDA's 2008 Risk Factor Study plus an additional 30 minutes (0.5 hour)
for the information related to Section 2 of the form. FDA estimates
that it will take the persons in charge of healthcare facility types,
schools, and retail food stores 150 minutes (2.5 hours), 120 minutes (2
hours), and 180 minutes (3 hours), respectively, to accompany the data
collectors while they complete Sections 1 and 3 of the form. FDA
estimates that it will take the program director (or designated
individual) of the respective regulatory authority 30 minutes (0.5
hour) to answer the questions related to Section 2 of the form. This
burden estimate is unchanged from the last data collection. Hence, the
total burden estimate for a data collection in healthcare facility
types is 180 minutes (150 + 30) (3 hours), in schools is 150 minutes
(120 + 30) (2.5 hours), and retail food stores is 210 minutes (180 +
30) (3.5 hours).
    Based on the number of entry refusals from the 2015 to 2016
baseline data collection, we estimate a refusal rate of 2 percent for
the data collections within healthcare, school, and retail food store
facility types. The estimate of the time per non-respondent is 5
minutes (0.08 hour) for the person in charge to listen to the purpose
of the visit and provide a verbal refusal of entry.
    FDA estimates the burden of this collection of information as
follows:

                                                     Table 2--Estimated Annual Reporting Burden \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                              Number of       Total                         Number of
          Activity             Number of    responses per    annual     Number of  non-   responses per    Total  annual    Average  burden      Total
                              respondents    respondent     responses     respondents     non-respondent   non-responses     per  response       hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
2019-2020 Data Collection             400               1         400  ................  ...............  ..............  2.5...............       1,000
 (Healthcare Facilities)--
 Completion of Sections 1
 and 3.
2019-2020 Data Collection             400               1         400  ................  ...............  ..............  2.................         800
 (Schools)--Completion of
 Sections 1 and 3.
2019-2020 Data Collection             400               1         400  ................  ...............  ..............  3.................       1,200
 (Retail Food Stores)--
 Completion of Sections 1
 and 3.
2019-2020 Data Collection-          1,200               1       1,200  ................  ...............  ..............  0.5 (30 minutes)..         600
 Completion of Section 2--
 All Facility Types.
2019-2020 Data Collection-    ...........  ..............  ..........                24                1              24  0.08 (5 minutes)..        1.92
 Entry Refusals--All
 Facility Types.
                             ---------------------------------------------------------------------------------------------------------------------------
    Total...................  ...........  ..............  ..........  ................  ...............  ..............  ..................    3,601.92
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

    The burden for this information collection has not changed since
the last OMB approval.

II. References

    The following references are on display in the Dockets Management
Staff (HFA-305), Food and Drug Administration, 5630 Fishers Lane Rm.
1061, Rockville, MD 20852, and are available for viewing by interested
persons between 9 a.m. and 4 p.m., Monday through Friday; they are also
available electronically at https://www.regulations.gov. FDA has
verified the website addresses, as of the date this document publishes
in the Federal Register, but websites are subject to change over time.

    1. ``Report of the FDA Retail Food Program Database of Foodborne
Illness Risk Factors'' (2000). Available at: https://wayback.archive-it.org/7993/20170406023019/https://www.fda.gov/downloads/Food/GuidanceRegulation/UCM123546.pdf.
    2. ``FDA Report on the Occurrence of Foodborne Illness Risk
Factors in Selected Institutional Foodservice, Restaurant, and
Retail Food Store Facility Types'' (2004). Available at: https://wayback.archive-it.org/7993/20170406023011/https://www.fda.gov/downloads/Food/GuidanceRegulation/RetailFoodProtection/FoodborneIllnessRiskFactorReduction/UCM423850.pdf.
    3. ``FDA Report on the Occurrence of Foodborne Illness Risk
Factors in Selected Institutional Foodservice, Restaurant, and
Retail Food Store Facility Types'' (2009). Available at: https://wayback.archive-it.org/7993/20170406023004/https://www.fda.gov/Food/GuidanceRegulation/RetailFoodProtection/FoodborneIllnessRiskFactorReduction/ucm224321.htm.
    4. FDA National Retail Food Team. ``FDA Trend Analysis Report on
the Occurrence of Foodborne Illness Risk Factors in Selected
Institutional Foodservice, Restaurant, and Retail Food Store
Facility Types (1998-2008).'' Available at: https://wayback.archive-it.org/7993/20170406022950/https://www.fda.gov/Food/GuidanceRegulation/RetailFoodProtection/FoodborneIllnessRiskFactorReduction/ucm223293.htm.
    5. ``FDA Food Code.'' Available at:https://www.fda.gov/Food/GuidanceRegulation/RetailFoodProtection/FoodCode/default.htm.

    Dated: July 24, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-16648 Filed 8-2-18; 8:45 am]
 BILLING CODE 4164-01-P