[Federal Register Volume 81, Number 88 (Friday, May 6, 2016)]
[Notices]
[Page 27432]
[FR Doc No: 2016-10665]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 6731-014]

Aquenergy Systems, Inc.; Coneross Power Corporation; Notice of
Application for Partial Transfer of License and Soliciting Comments,
Motions To Intervene, and Protests

    On April 19, 2016, Aquenergy Systems, Inc. and Coneross Power
Corporation (co-licensees) filed an application for the partial
transfer of license of the Coneross Hydroelectric Project No. 6731. The
project is located on Coneross Creek in Oconee County, South Carolina.
The project does not occupy Federal lands.
    The applicants seek Commission approval to partially transfer the
license for the Coneross Hydroelectric Project from the co-licenses to
Coneross Power Corporation as sole licensee.
    Applicants Contact: For co-licensees: Ms. Megan Beauregard, Senior
Associate General Counsel, Enel Green Power North America, Inc., One
Tech Drive, Suite 220, Andover, MA 01810, Telephone:<PHONE_NUMBER>,
Email<EMAIL_ADDRESS>    FERC Contact: Patricia W. Gillis,<PHONE_NUMBER>,
<EMAIL_ADDRESS>    Deadline for filing comments, motions to intervene, and protests:
30 days from the date that the Commission issues this notice. The
Commission strongly encourages electronic filing. Please file comments,
motions to intervene, and protests using the Commission's eFiling
system at http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact information
at the end of your comments. For assistance, please contact FERC Online
Support at<EMAIL_ADDRESS>(866) 208-3676 (toll free), or
(202) 502-8659 (TTY). In lieu of electronic filing, please send a paper
copy to: Secretary, Federal Energy Regulatory Commission, 888 First
Street NE., Washington, DC 20426. The first page of any filing should
include docket number P-6731-014.

    Dated: May 2, 2016.
Kimberly D. Bose,
Secretary.
[FR Doc. 2016-10665 Filed 5-5-16; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 82, Number 225 (Friday, November 24, 2017)]
[Notices]
[Pages 55912-55914]
[FR Doc No: 2017-25475]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82131; File No. SR-GEMX-2017-52]

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Remove Directed
Order Functionality

November 20, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on November 16, 2017, Nasdaq GEMX, LLC (``GEMX'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and III, below, which
Items have been prepared by the Exchange. The Commission is publishing
this notice to solicit comments on the proposed rule change from
interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to remove Directed Order \3\ functionality on
GEMX.
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    \3\ A ``Directed Order'' is an order routed from an Electronic
Access Member to an Exchange market maker through the Exchange's
System.
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    The text of the proposed rule change is available on the Exchange's
Web site at http://nasdaqgemx.cchwallstreet.com/, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange 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 these 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 aspects of such statements.

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

1. Purpose
    Last year the Exchange filed to delay the implementation of the
Directed Order functionality in conjunction with a replatform to
INET.\4\ INET is the proprietary core technology utilized across
Nasdaq's global markets and utilized on The Nasdaq Options Market LLC
(``NOM''), Nasdaq PHLX LLC (``Phlx'') and Nasdaq BX, Inc. (``BX'')
(collectively, ``Nasdaq Exchanges''). GEMX was migrated to INET
technology in 2017. With the migration, GEMX delayed the implementation
of the Directed Order functionality to stage the re-platform to provide
maximum benefit to its Members while also ensuring a successful
rollout. At that time, the Exchange noted that the Exchange will
introduce the Directed Order functionality within one year from the
date of this filing, otherwise the Exchange will file a rule proposal
with the Commission to remove these rules. The Exchange filed the
initial rule change on December 16, 2016.\5\ The Exchange has
determined at this time not to offer Directed Order functionality.\6\
If the Exchange determines to offer this functionality at a later date,
a rule proposal will be filed at that time.
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    \4\ See Securities Exchange Act Release No. 80011 (February 10,
2017), 82 FR 10927 (February 16, 2017) (SR-ISEGemini-2016-17).
    \5\ Id.
    \6\ This functionality was turned off on February 21, 2017. See
MIC-2017-07.
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\7\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\8\ in particular, in that it is designed 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
because the Exchange will remove rule text related to functionality
which will not be offered on GEMX. The current rule text indicates the
functionality is not offered today. The Exchange believes that removing
Rule 811 from the Rulebook will avoid confusion as to whether this
functionality will be enabled in the future.
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    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
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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 not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange does not believe
that the proposed rule change will impose any burden on intra-market
competition because the Exchange is not offering this functionality
today and believes there is no interest among Members for this
functionality.

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

    No written comments were either solicited or received.

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)(iii) of the Act \9\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\10\
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    \9\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \10\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    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: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act. If the Commission takes such action, the
Commission shall institute proceedings to determine whether the
proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-GEMX-2017-52 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-GEMX-2017-52. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet 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
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-GEMX-2017-52 and should be
submitted on or before December 15, 2017.
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    \11\ 17 CFR 200.30-3(a)(12).

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    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-25475 Filed 11-22-17; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 130 (Monday, July 8, 2019)]
[Notices]
[Pages 32449-32450]
[FR Doc No: 2019-14426]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #2

    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER10-1821-020.
    Applicants: Goshen Phase II LLC.
    Description: Updated Market Power Analysis for Northwest Region of
Goshen Phase II LLC.
    Filed Date: 6/28/19.
    Accession Number: 20190628-5330.
    Comments Due: 5 p.m. ET 8/27/19.

    Docket Numbers: ER10-2249-008.
    Applicants: Portland General Electric Company.
    Description: Updated Market Power Analysis in the Northwest Region
for Portland General Electric Company.
    Filed Date: 6/28/19.
    Accession Number: 20190628-5334.
    Comments Due: 5 p.m. ET 8/27/19.

    Docket Numbers: ER13-520-009; ER10-2605-013; ER12-1626-010; ER13-
1266-021; ER13-1267-009; ER13-1268-009; ER13-1269-009; ER13-1270-009;
ER13-1271-009; ER13-1272-009; ER13-1273-009; ER13-1441-009; ER13-1442-
009; ER13-521-009; ER15-2211-018.
    Applicants: Pinyon Pines Wind I, LLC, Pinyon Pines Wind II, LLC,
Solar Star California XIX, LLC, Solar Star California XX, LLC, Topaz
Solar Farms LLC, CE Leathers Company, Del Ranch Company, Elmore
Company, Fish Lake Power LLC, Salton Sea Power Generation Company,
Salton Sea Power L.L.C., Vulcan/BN Geothermal Power Company, Yuma
Cogeneration Associates, CalEnergy, LLC, MidAmerican Energy Services,
LLC.
    Description: Triennial Market Power Update for the Southwest Region
of the BHE MBR Sellers.
    Filed Date: 6/28/19.
    Accession Number: 20190628-5331.
    Comments Due: 5 p.m. ET 8/27/19.

    Docket Numbers: ER18-1077-001; ER15-1218-008; ER16-38-006; ER16-39-
005; ER17-157-004; ER17-2162-005; ER17-2163-005; ER17-2341-002; ER17-
2453-002; ER18-1076-001; ER18-1775-003; ER18-713-001.
    Applicants: GASNA 36P, LLC, CA Flats Solar 150, LLC, GASNA 6P, LLC,
CA Flats Solar 130, LLC, Imperial Valley Solar 3, LLC, Moapa Southern
Paiute Solar, LLC, SunE Beacon Site 2 LLC, Kingbird Solar A, LLC,
Kingbird Solar B, LLC, Solar Star California XIII, LLC, 64KT 8me LLC,
SunE Beacon Site 5 LLC.
    Description: Triennial Market-Based Rate Update for the Capital
Dynamics Southwest MBR Sellers.
    Filed Date: 6/28/19.
    Accession Number: 20190628-5337.
    Comments Due: 5 p.m. ET 8/27/19.

    Docket Numbers: ER18-1489-001; ER13-1101-026; ER13-1541-025; ER14-
661-016; ER14-787-019; ER15-1475-011; ER15-2593-010; ER15-54-010; ER15-
55-010; ER16-1154-008; ER16-1882-003; ER16-452-009; ER16-705-007; ER16-
706-007; ER17-2508-002; ER17-252-003; ER17-532-002.
    Applicants: SP Cimarron I, LLC, Parrey, LLC, Spectrum Nevada Solar,
LLC, Campo Verde Solar, LLC, SG2 Imperial Valley LLC, Macho Springs
Solar, LLC, Lost Hills Solar, LLC, Blackwell Solar, LLC, North Star
Solar, LLC, Desert Stateline LLC, RE Tranquillity LLC, RE Garland A
LLC, RE Garland LLC, Boulder Solar Power, LLC, RE Gaskell West 1 LLC,
PPA Grand Johanna LLC, 2016 ESA Project Company, LLC.
    Description: Compliance filing of SP Cimarron I, LLC, et. al. 2886-
000.
    Filed Date: 6/28/19.
    Accession Number: 20190628-5332.
    Comments Due: 5 p.m. ET 7/19/19.

    Docket Numbers: ER19-1485-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Compliance filing: Compliance Filing in ER19-1485--
NIMECA Formula Rate to be effective 6/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5291.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2277-001.
    Applicants: ITC Midwest LLC.
    Description: Tariff Amendment: ITC Midwest Supplemental Filing of
Communications Sharing Agreement to be effective 6/28/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5273.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2315-000.
    Applicants: Midcontinent Independent System Operator, Inc., WPPI
Energy.
    Description: Sec.  205(d) Rate Filing: 2019-07-01_WPPI Revisions to
Attachments O, GG & MM to be effective 9/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5102.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2316-000.
    Applicants: Renewable Energy Asset Management Group, LLC.
    Description: Baseline eTariff Filing: Application For Market Based
Rate to be effective 7/2/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5103.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2317-000.
    Applicants: Midcontinent Independent System Operator, Inc.,
MidAmerican Energy Company.
    Description: Sec.  205(d) Rate Filing: 2019-07-01_SA 2787 MEC-IPL
1st Rev WDS (George) to be effective 9/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5220.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2318-000.
    Applicants: New York State Electric & Gas Corporation.
    Description: Sec.  205(d) Rate Filing: Rate Schedule FERC No. 87
Supplement to be effective 9/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5225.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2319-000.
    Applicants: Crystal Lake Wind II, LLC.
    Description: Tariff Cancellation: Crystal lake Wind II, LLC Notice
of Cancellation of Market-Based Rate Tariff to be effective 7/2/2019.

    Filed Date: 7/1/19.
    Accession Number: 20190701-5230.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2320-000.
    Applicants: Osceola Windpower, LLC.
    Description: Tariff Cancellation: Osceola Windpower, LLC Notice of
Cancellation of Market-Based Rate Tariff to be effective 7/2/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5235.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2321-000.
    Applicants: Osceola Windpower II, LLC.
    Description: Tariff Cancellation: Osceola Windpower II, LLC Notice
of Cancellation of Market-Based Rate Tariff to be effective 7/2/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5241.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2322-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 211 to be
effective 9/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5251.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2323-000.
    Applicants: Midcontinent Independent System Operator, Inc., Ameren
Illinois Company.
    Description: Sec.  205(d) Rate Filing: 2019-07-01_SA 2012 Ameren-
City of California, MO 1st Rev WDS to be effective 9/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5261.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2324-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: 3125R6 Basin Electric Power
Cooperative NITSA NOA to be effective 6/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5279.
    Comments Due: 5 p.m. ET 7/22/19.

    Docket Numbers: ER19-2325-000.
    Applicants: Alabama Power Company.
    Description: Sec.  205(d) Rate Filing: APCo-Gulf TFCAT A&R Service
Agreements Amendment Filing to be effective 1/1/2019.
    Filed Date: 7/1/19.
    Accession Number: 20190701-5318.
    Comments Due: 5 p.m. ET 7/22/19.

    Take notice that the Commission received the following foreign
utility company status filings:
    Docket Numbers: FC19-1-000.
    Applicants: I Squared Capital.
    Description: Self-Certification of FC of I Squared Capital.
    Filed Date: 6/28/19.
    Accession Number: 20190628-5315.
    Comments Due: 5 p.m. ET 7/19/19.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: July 1, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-14426 Filed 7-5-19; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: January 10, 2008 (Volume 73, Number 7)]
[Notices]
[Page 1874-1875]
[DOCID:fr10ja08-44]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL08-24-000]

Pacific Gas and Electric Company; Notice of Filing

December 31, 2007.
    Take notice that on December 21, 2007, pursuant to Rule 207 of the
Rules of Practices and Procedure of the Federal Energy Regulatory
Commission (Commission), 18 CFR 385.207, section 1241 of the Energy
Policy Act of 2005, EPAct of 2005 which includes the new section 219 of
the Federal Power Act, 16 U.S.C. 824s (2007), and Order No. 679,
Pacific Gas and Electric Company (PG&E) filed a petition for
declaratory order seeking the Commission to authorize transmission rate
incentives for a new bulk power transmission project in which PG&E is
planning to be a major participant.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date. On or
before the comment date, it is not necessary to serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public

Reference Room in Washington, DC. There is an ``eSubscription'' link on
the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m., Eastern Time on January 22, 2008.

Kimberly D. Bose,
Secretary.
[FR Doc. E8-232 Filed 1-9-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 174 (Wednesday, September 9, 2015)]
[Notices]
[Page 54290]
[FR Doc No: 2015-22674]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2015-N-0001]

Sixth Annual Coalition Against Major Diseases/Food and Drug
Administration Scientific Workshop; Public Workshop; Correction

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice; correction.

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SUMMARY: The Food and Drug Administration (FDA) is correcting a notice
that appeared in the Federal Register of August 3, 2015 (80 FR 45998).
That notice, announcing the sixth annual scientific workshop co-
sponsored by FDA and the Coalition Against Major Diseases Consortium of
the Critical Path Institute, contained incorrect Web links for online
registration and for the FDA Meeting Information Page (where the
workshop agenda will be made available) and an incorrect registration
deadline. This document corrects those errors.

FOR FURTHER INFORMATION CONTACT: Jacqueline Brooks-Leighton, Center for
Drug Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 21, Rm. 4521, Silver Spring, MD 20993, 240-402-
5292, FAX:<PHONE_NUMBER>, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: In FR Doc. 2015-18969, appearing on page
45998, in the Federal Register of Monday August 3, 2015, the following
corrections are made:
    On page 45998, in the second full paragraph of the third column,
the registration link, https://www.SignUp4.net/public/ap.aspx?EID=SIXT10E, is corrected to read http://www.cvent.com/events/6th-annual-coalition-against-major-diseases-food-and-drug-administration-scientific-workshop-public-/invitation-ed6c207cbf09447185a891e4bf62ad7a.aspx?i=70715ca1-f255-46b2-a370-3fe3881bbab2.
    On page 45998, in the third full paragraph of the third column, the
registration deadline, October 14, 2015, is corrected to read October
13, 2015.
    On page 45998, in the third full paragraph of the third column, the
link for the FDA Meeting information page, http://www.fda.gov/Drugs/NewsEvents/ucm410863.htm, is corrected to read http://www.fda.gov/Drugs/NewsEvents/ucm457486.htm.

    Dated: September 2, 2015.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2015-22674 Filed 9-8-15; 8:45 am]
 BILLING CODE 4164-01-P


auditor if the independent third-party auditor employs any person that
was previously employed by an independent third-party auditor whose
registration was revoked.
* * * * *
    (h) Registration shall be on forms, and following policies,
established by the Administrator.
0
10. Section 80.1451 is amended as follows:
0
a. By revising paragraphs (a)(1)(ix) through (xiii);
0
b. By adding paragraphs (a)(1)(xiv) through (xvi);
0
c. By revising paragraph (b)(1)(ii)(T);
0
d. By revising paragraphs (c)(2)(x) through (xvi);
0
e. By adding paragraphs (c)(2)(xvii) and (c)(2)(xviii);
0
f. By revising paragraph (g); and
0
g. By adding paragraph (h).
    The revisions and additions read as follows:

Sec.  80.1451  What are the reporting requirements under the RFS
program?

    (a) * * *
    (1) * * *
    (ix) The total current-year RINs by category of renewable fuel, as
those fuels are defined in Sec.  80.1401 (i.e., cellulosic biofuel,
biomass-based diesel, advanced biofuel, renewable fuel, and cellulosic
diesel), retired for compliance that are invalid as defined in Sec.
80.1431(a).
    (x) The total prior-year RINs by renewable fuel category, as those
fuels are defined in Sec.  80.1401, retired for compliance.
    (xi) The total prior-year RINs by renewable fuel category, as those
fuels are defined in Sec.  80.1401, retired for compliance that are
invalid as defined in Sec.  80.1431(a).
    (xii) The total cellulosic biofuel waiver credits used to meet the
party's cellulosic biofuel RVO.
    (xiii) A list of all RINs generated prior to July 1, 2010 that were
retired for compliance in the reporting period.
    (xiv) A list of all RINs that were retired for compliance in the
reporting period and are invalid as defined in Sec.  80.1431(a).
    (xv) Any deficit RVO(s) carried into the subsequent year.
    (xvi) Any additional information that the Administrator may
require.
* * * * *
    (b) * * *
    (1)(i) * * *
    (ii) * * *
    (T) Producers or importers of any renewable fuel other than
ethanol, biodiesel, renewable diesel, biogas or renewable electricity,
shall report, on a quarterly basis, all the following for each volume
of fuel:
    (1) Total volume of renewable fuel produced or imported, total
volume of renewable fuel blended into gasoline and diesel fuel by the
producer or importer, and the percentage of renewable fuel in each
batch of finished fuel;
    (2) If the renewable fuel producer or importer enters into a
written contract for the sale of a specific quantity of the renewable
fuel to a party who blends the fuel into gasoline or diesel fuel to
produce a transportation fuel, heating oil or jet fuel, or who uses the
neat fuel for a qualifying fuel use, the name, location and contact
information for each puchasing party, and one or more affidavits from
that party including the following information:
    (i) Quantity of renewable fuel received from the producer or
importer;
    (ii) Date the renewable fuel was received from producer;
    (iii) A description of the fuel that the renewable fuel was blended
into and the blend ratios for each batch, if applicable;
    (iv) A description of the finished fuel, and a statement that the
fuel meets all applicable standards and was sold for use as a
transportation fuel, heating oil or jet fuel;
    (v) Quantity of assigned RINs received with the renewable fuel, if
applicable; and
    (vi) Quantity of assigned RINs that the end user separated from the
renewable fuel, if applicable.
    (c) * * *
    (2) * * *
    (x) The total current-year RINs retired that are invalid as defined
in Sec.  80.1431(a).
    (xi) The total prior-year RINs retired.
    (xii) The total prior-year RINs retired that are invalid as defined
in Sec.  80.1431(a).
    (xiii) The number of current-year RINs owned at the end of the
quarter.
    (xiv) The number of prior-year RINs owned at the end of the
quarter.
    (xv) The number of RINs generated.
    (xvi) The volume of renewable fuel (in gallons) owned at the end of
the quarter.
    (xvii) The total 2009 and 2010 retired RINs reinstated.
    (xviii) Any additional information that the Administrator may
require.
* * * * *
    (g) All independent third-party auditors. Any party that is an
independent third-party auditor as defined in Sec.  80.1471 that
verifies RINs must submit to EPA reports according to the schedule, and
containing all the information, that is set forth in this paragraph
(g).
    (1)(i) For RINs verified beginning on January 1, 2014, RIN
generation verification reports for each facility audited by the
independent third-party auditor shall be submitted according to the
schedule specified in paragraph (f)(2) of this section.
    (ii) The RIN generation verification reports shall include all the
following information for each batch of renewable fuel produced or
imported verified, where ``batch'' means a discrete quantity of
renewable fuel produced or imported and assigned a unique batch-RIN per
Sec.  80.1426(d):
    (A) The RIN generator's name.
    (B) The RIN generator's EPA company registration number.
    (C) The renewable fuel producer EPA facility registration number.
    (D) The importer EPA facility registration number and foreign
renewable producer company registration number, if applicable.
    (E) The applicable reporting period.
    (F) The quantity of RINs generated for each batch according to
Sec.  80.1426.
    (G) The production date of each batch.
    (H) The fuel type of each batch.
    (I) The volume of denaturant and applicable equivalence value of
each batch.
    (J) The volume of each batch produced.

    (K) The volume and type of each feedstock used to produce the
batch.
    (L) Which batches met the definition of Renewable Biomass.
    (M) The quantity and type of co-products produced.
    (N) Any additional information the Administrator may require.
    (2) RIN verification activity reports shall be submitted to EPA
according to the schedule specified in paragraph (f)(2) of this
section. Each report shall summarize RIN verification activities for
the reporting period. The quarterly RIN verification activity reports
shall include all of the following information:
    (i) The submitting party's name.
    (ii) The submitting party's EPA company registration number.
    (iii) The number of current-year RINs verified at the start of the
quarter.
    (iv) The number of prior-year RINs verified at the start of the
quarter.
    (v) The total current-year RINs verified.
    (vi) The total prior-year RINs verified.
    (vii) The number of current-year RINs verified at the end of the
quarter.
    (viii) The number of prior-year RINs verified at the end of the
quarter.
    (ix) A list of all RINs subject to the audit that were not verified
or that were identified as Potentially Invalid RINs (PIRs) pursuant to
80.1474, along with a narrative description of why the RINs were not
verified or were identified as PIRs.
    (x) Any additional information that the Administrator may require.
    (3) All reports required under this paragraph (g) must be signed
and certified as meeting all the applicable requirements of this
subpart by the independent third-party auditor or a responsible
corporate officer of the independent third-party auditor.
    (h) All reports required under this section shall be submitted on
forms and following procedures prescribed by the Administrator.
0
11. Section 80.1452 is amended by revising paragraph (d) and adding
paragraph (e), to read as follows.

Sec.  80.1452  What are the requirements related to the EPA-Moderated
Transaction System (EMTS)?

* * * * *
    (d) Alternative method of reporting buy and sell transactions in
EMTS. For buyers and sellers of assigned RINs that agree to utilize
this alternative reporting method, the reporting requirements of
paragraph(c) of this section are modified as follows:
    (1) The seller of assigned RINs shall do the following:
    (i) Report the sell transaction in EMTS within five (5) business
days of shipping, and;
    (ii) Indicate that the alternative reporting method is being
utilized; and
    (iii) Report the date the renewable volume is shipped in place of
the date of transfer (c)(7) in the EMTS sell transaction report; and
    (iv) Report a unique identifier and provide a product transfer
document (PTD) that meets all requirement of Sec.  80.1453 and that
includes the unique identifier agreed upon by the buyer and seller.
    (2) The buyer of assigned RINS shall do the following:
    (i) Report the buy transaction in EMTS within five (5) business
days of receipt;
    (ii) Indicate that the alternative reporting method is being
utilized;
    (iii) Include the unique identifier provided by the seller under
paragraph (g)(1)(iii) in the EMTS buy transaction report; and
    (iv) Report the date the renewable volume is received in place of
the date of transfer (c)(7) in the EMTS buy transaction report.
    (e) All information required under this section shall be submitted
on forms and following procedures prescribed by the Administrator.
0
12. Section 80.1453 is amended as follows:
0
a. Revising paragraph (a) introductory text; and
0
b. Adding paragraphs (a)(5), and (a)(12)
    The revisions and additions read as follows:

Sec.  80.1453  What are the product transfer document (PTD)
requirements for the RFS program?

    (a) On each occasion when any party transfers ownership of neat
and/or blended renewable fuels or separated RINs subject to this
subpart, the transferor must provide to the transferee documents that
include all of the following information, as applicable:
* * * * *
    (5) Name and blend level of all blending components in a product
containing renewable fuel, if applicable.
* * * * *
    (12) For the transfer of renewable fuel with or without RINs, an
accurate and clear statement on the product transfer document of the
fuel type from Table 1 to Sec.  80.1426, and designation of the fuel
use(s) intended by the transferor, as follows:
    (i) Ethanol. ``This volume of neat or blended ethanol is designated
and intended for use as transportation fuel or jet fuel in the 48 U.S.
contiguous states and Hawaii. Any other use in the 48 U.S. contiguous
states and Hawaii is a violation of 40 CFR 80.1460(g), unless the
requirements in Sec.  80.1433 are met.''
    (ii) Biodiesel. '' This volume of neat or blended biodiesel is
designated and intended for use as transportation fuel, heating oil or
jet fuel in the 48 U.S. contiguous states and Hawaii. Any other use in
the 48 U.S. contiguous states and Hawaii is a violation of 40 CFR
80.1460(g), unless the requirements in Sec.  80.1433 are met.''
    (iii) Renewable Heating oil. ``This volume of heating oil is
designated and intended for use as heating oil in the 48 U.S.
contiguous states and Hawaii. Any other use in the 48 U.S. contiguous
states and Hawaii is a violation of 40 CFR 80.1460(g), unless the
requirements in Sec.  80.1433 are met.''
    (iv) Renewable Diesel. ``This volume of neat or blended renewable
diesel is designated and intended for use as transportation fuel,
heating oil or jet fuel in the 48 U.S. contiguous states and Hawaii.
Any other use in the 48 U.S. contiguous states and Hawaii is a
violation of 40 CFR 80.1460(g), unless the requirements in Sec.
80.1433 are met.''
    (v) Naphtha. '' This volume of neat or blended naphtha is
designated and intended for use as transportation fuel or jet fuel in
the 48 U.S. contiguous states and Hawaii. This naphtha may only be used
as a gasoline blendstock or jet fuel. Any other use in the 48 U.S.
contiguous states and Hawaii is a violation of 40 CFR 80.1460(g),
unless the requirements in Sec.  80.1433 are met.''
    (vi) Butanol. ``This volume of neat or blended butanol is
designated and intended for use as transportation fuel or jet fuel in
the 48 U.S. contiguous states and Hawaii. This butanol may only be used
as a gasoline blendstock or jet fuel. Any other use in the 48 U.S.
contiguous states and Hawaii is a violation of 40 CFR 80.1460(g),
unless the requirements in Sec.  80.1433 are met.''
    (vii) Renewable fuels other than ethanol, biodiesel, heating oil,
renewable diesel, naptha or butanol. ``This volume of neat or blended
renewable fuel is designated and intended to be used as transportation
fuel, heating oil, or jet fuel in the 48 U.S. contiguous states and
Hawaii. Any other use in the 48 U.S. contiguous states and Hawaii is a
violation of 40 CFR 80.1460(g), unless the requirements in Sec.
80.1433 are met.''
0
13. Section 80.1454 is amended as follows:
0
a. By adding paragraph (b)(7);
0
b. By revising paragraphs (l), (m), (n), (o), and (p); and
0
c. By adding paragraphs (q) and (r).
    The revisions and additions read as follows:

Sec.  80.1454  What are the recordkeeping requirements under the RFS
program?

* * * * *
    (b) * * *
    (7) Records related to the implementation of a QAP under Sec.
80.1469.
* * * * *
    (l) Requirements for producers or importers of any renewable fuel
other than ethanol, biodiesel, renewable diesel, biogas or renewable
electricity. A renewable fuel producer that generates RINs for any
renewable fuel other than ethanol, biodiesel, renewable diesel, biogas
or renewable electricity shall keep all of the following additional
records:
    (1) Documents demonstrating the total volume of renewable fuel
produced, total volume of renewable fuel blended into gasoline and
diesel fuel, and the percentage of renewable fuel in each batch of
finished fuel;
    (2) Contracts and documents memorializing the sale of renewable
fuel to parties who blend the fuel into gasoline or diesel fuel to
produce a transportation fuel, heating oil or jet fuel, or who use the
renewable fuel in its neat form for a qualifying fuel use; and
    (3) Such other records as may be requested by the Administrator.
    (m) Requirements for independent third-party auditors. Any
independent third-party auditor (as described at Sec.  80.1471) must
keep all of the following records for a period of at least five (5)
years:
    (1) Copies of all reports submitted to EPA under Sec.  80.1451(g),
as applicable.
    (2) Records related to the implementation of a QAP under Sec.
80.1469 for each facility including records from facility audits and
ongoing and quarterly monitoring activities.
    (3) Records related to the verification of RINs under Sec.
80.1471(e).
    (4) Copies of communications sent to and received from renewable
fuel producers or foreign renewable fuel producers, feedstock
suppliers, purchasers of RINs, and obligated parties.
    (5) Copies of all notes relating to the implementation of a QAP
under Sec.  80.1469.
    (6) List of RINs reported to EPA and renewable fuel producers or
foreign renewable fuel producers as potentially invalidly generated
under Sec.  80.1474 compliance.
    (7) Records related to the professional liability insurance
requirement under Sec.  80.1471(c).
    (8) Copies of all records related to any financial assurance
instrument as required under Sec.  80.1470 under a quality assurance
plan implemented under Sec.  80.1469(a).
    (9) Such other records as may be requested by the Administrator.
    (n) The records required under paragraphs (a) through (d) and (f)
through (l) of this section and under Sec.  80.1453 shall be kept for
five years from the date they were created, except that records related
to transactions involving RINs shall be kept for five years from the
date of the RIN transaction.
    (o) The records required under paragraph (e) of this section shall
be kept through calendar year 2022.
    (p) On request by EPA, the records required under this section and
under Sec.  80.1453 must be made available to the Administrator or the
Administrator's authorized representative. For records that are
electronically generated or maintained, the equipment or software
necessary to read the records shall be made available; or, if requested
by EPA, electronic records shall be converted to paper documents.
    (q) The records required in paragraphs (b)(3) and (c)(1) of this
section must be transferred with any renewable fuel sent to the
importer of that renewable fuel by any foreign producer not generating
RINs for his renewable fuel.
    (r) Copies of all reports required under Sec.  80.1464.
0
14. Section 80.1460 is amended by adding paragraphs (g), (h), and (i)
to read as follows.

Sec.  80.1460  What acts are prohibited under the RFS program?

* * * * *
    (g) Failing to retire RINs when fuel for which RINs have been
generated is designated for use in an application other than
transportation fuel, heating oil or jet fuel. No person shall designate
fuel for which RINs were generated for a non-qualifying fuel use,
unless the requirements of 80.1433 have been met.
    (h) RIN Separation Violations. No person shall do any of the
following:
    (1) Identify separated RINs in EMTS with the wrong separation
reason code.
    (2) Identify separated RINs in EMTS without having a qualifying
separation event pursuant to 80.1429.
    (3) Separate more than 2.5 RINs per gallon of renewable fuel that
has a valid qualifying separation event pursuant to Sec.  80.1429.
    (4) Separate RINs outside of the requirements in Sec.  80.1452(c).
    (5) [Reserved]
    (6) Improperly separate RINs in any other way not listed in
paragraphs (i)(1)-(5) of this section.
    (i) Independent third-party auditor violations. No person shall do
any of the following:
    (1) Fail to fully and competently implement a QAP approved under
Sec.  80.1469.
    (2) Fail to notify appropriate parties of potentially invalid RINs
under Sec.  80.1474(b).
    (3) Identify a RIN as verified in accordance with Sec.  80.1471(e)
that is invalid under Sec.  80.1431.
0
15. Section 80.1461 is amended by revising paragraphs (a)(1) and (a)(2)
to read as follows.

Sec.  80.1461  Who is liable for violations under the RFS program?

* * * * *
    (a) * * *
    (1) Any person who violates a prohibition under Sec.  80.1460(a)
through (d) or Sec.  80.1460(g) through (h) is liable for the violation
of that prohibition.
    (2) Any person who causes another person to violate a prohibition
under Sec.  80.1460(a) through (d) or Sec.  80.1460(g) through (h) is
liable for a violation of Sec.  80.1460(e).
* * * * *
0
16. Section 80.1469 is added to read as follows:

Sec.  80.1469  Requirements for Quality Assurance Plans.

    This section specifies the requirements for two types of Quality
Assurance Plan (QAP).
    (a) Option A QAP Requirements.
    (1) Feedstock-related components.
    (i) Components requiring ongoing monitoring:
    (A) Feedstocks are renewable biomass as defined in Sec.  80.1401.
    (B) Feedstocks are being separated according to a separation plan,
if applicable under Sec.  80.1426(f)(5)(ii).
    (C) Crop and crop residue feedstocks meet land use restrictions, or
alternatively the aggregate compliance provisions of Sec.  80.1454(g).
    (D) If applicable, verify that feedstocks with additional
recordkeeping requirements meet requirements of Sec.  80.1454(d).
    (E) Feedstocks are valid for the D code being used, and are
consistent with information recorded in EMTS.
    (F) Feedstock is consistent with production process and D code
being used as permitted under Table 1 to Section 80.1426 or a petition
approved through section 80.1416.
    (G) Feedstock is not renewable fuel for which RINs were previously
generated.
    (ii) Components requiring quarterly monitoring:
    (A) Separated food waste or separated yard waste plan is accepted
and up to

date, if applicable under Sec.  80.1426(f)(5)(ii).
    (B) Separated municipal solid waste plan is approved and up to
date, if applicable under Sec.  80.1426(f)(5)(ii).
    (C) Contracts or agreements for feedstock acquisition are
sufficient for facility production.
    (D) Feedstock processing and storage equipment are sufficient and
are consistent with engineering review under Sec.  80.1450(b)(2).
    (E) If applicable, accuracy of feedstock energy (FE) calculation
factors related to feedstocks, including average moisture content m and
feedstock energy content E.
    (2) Production process-related components.
    (i) Components requiring ongoing monitoring:
    (A) Production process is consistent with that reported in EMTS.
    (B) Production process is consistent with D code being used as
permitted under Table 1 to Sec.  80.1426 or a petition approved through
Sec.  80.1416.
    (C) Certificates of analysis verifying fuel type and quality, as
applicable.
    (ii) Components requiring quarterly monitoring:
    (A) Mass and energy balances are appropriate for type and size of
facility.
    (B) Workforce size is appropriate for type and size of facility,
and sufficient workers are on site for facility operations.
    (C) If applicable, process-related factors used in feedstock energy
(FE) calculation are accurate, in particular the converted fraction
(CF).
    (D) Verify existence of quality process controls designed to ensure
that fuel continues to meet applicable property and quality
specifications.
    (E) Volume production is consistent with that reported to EPA and
EIA, as well as other federal or state reporting.
    (F) Volume production is consistent with storage and distribution
capacity.
    (G) Volume production capacity is consistent with RFS registration.
    (3) RIN generation-related components.
    (i) Components requiring ongoing monitoring:
    (A) Standardization of volumes pursuant to Sec.  80.1426(f)(8) are
accurate.
    (B) Renewable fuel type matches the D code being used.
    (C) RIN generation is consistent with wet gallons produced or
imported.
    (D) Fuel shipments are consistent with production volumes.
    (E) If applicable, renewable content R is accurate pursuant to
80.1426(f)(9).
    (F) Equivalence value EV is accurate and appropriate.
    (G) Renewable fuel was intended and sold for qualifying uses as
transportation fuel, heating oil, or jet fuel.
    (H) Verify that appropriate RIN generation calculations are being
followed under Sec.  80.1426(f)(3), (4), or (5), as applicable.
    (ii) Components requiring quarterly monitoring:
    (A) Registration, reporting and recordkeeping components.
    (4) RIN separation-related components.
    (i) Components requiring ongoing monitoring:
    (A) If applicable, verify that RIN separation is appropriate under
Sec.  80.1429(b)(4).
    (B) If applicable, verify that RINS were retired for any fuel that
the producer produced and exported.
    (ii) Components requiring quarterly monitoring:
    (A) Verify that annual attestation report is accurate.
    (b) Option B QAP Requirements.
    All components specified in this paragraph (b) require quarterly
monitoring.
    (1) Feedstock-related components.
    (i) Feedstocks are renewable biomass as defined in Sec.  80.1401.
    (ii) If applicable, separated food waste or separated yard waste
plan under Sec.  80.1426(f)(5)(ii) is accepted and up to date.
    (iii) If applicable, separated municipal solid waste plan under
Sec.  80.1426(f)(5)(ii) is approved and current.
    (iv) Feedstocks are being separated according to a separation plan,
if applicable under Sec.  80.1426(f)(5)(ii).
    (v) Crop and crop residue feedstocks meet land use restrictions, or
alternatively the aggregate compliance provisions of Sec.  80.1454(g).
    (vi) Feedstock is consistent with production process and D code
being used as permitted under Table 1 to Section 80.1426 or a petition
approved through section 80.1416, and is consistent with information
recorded in EMTS.
    (vii) Feedstock is not renewable fuel for which RINs were
previously generated.
    (viii) If applicable, accuracy of feedstock energy (FE) calculation
factors related to feedstocks, including average moisture content m and
feedstock energy content E.
    (2) Production process-related components.
    (i) Production process is consistent with that reported in EMTS.
    (ii) Production process is consistent with D code being used as
permitted under Table 1 to Sec.  80.1426 or a petition approved through
Sec.  80.1416.
    (iii) Mass and energy balances are appropriate for type and size of
facility.
    (iv) If applicable, process-related factors used in feedstock
energy (FE) calculation are accurate, in particular the converted
fraction CF.
    (3) RIN generation-related components.
    (i) Renewable fuel was intended and sold for qualifying uses as
transportation fuel, heating oil, or jet fuel.
    (ii) Certificates of analysis verifying fuel type and quality, as
applicable.
    (iii) Renewable fuel type matches the D code being used.
    (iv) If applicable, renewable content R is accurate pursuant to
80.1426(f)(9).
    (v) Equivalence value EV is accurate and appropriate.
    (vi) Volume production capacity is consistent with RFS
registration.
    (vii) Verify that appropriate RIN generation calculations are being
followed under Sec.  80.1426(f)(3), (4), or (5), as applicable.
    (4) RIN separation-related components.
    (i) If applicable, verify that RIN separation is appropriate under
Sec.  80.1429(b)(4).
    (ii) Verify that fuel that is exported was not used to generate
RINs, or alternatively that were generated but retired.
    (iii) Verify that annual attestation report is accurate.
    (c) Each QAP shall represent a specific RIN-generating pathway as
provided in Table 1 to Sec.  80.1426 or as approved by the
Administrator pursuant to Sec.  80.1416, and shall contain elements
specific to particular feedstocks, production processes, and fuel types
as applicable.
    (d) Submission and approval of a QAP.
    (1) Each independent third-party auditor shall annually submit a
QAP to the EPA which demonstrates adherence to the requirements of
paragraphs (a) and (c) or (b) and (c) of this section, as applicable,
and request approval on forms and using procedures specified by the
Administrator.
    (2) No third-party independent auditor may present a QAP as
approved by the EPA without having received written approval from the
EPA.
    (3) A QAP is approved on the date that EPA notifies the third-party
independent auditor of such approval.
    (4) EPA may revoke its approval of a QAP for cause, including, but
not limited to, an EPA determination that the approved QAP has proven
to be inadequate in practice.
    (5) EPA may void ab initio its approval of a QAP upon EPA's
determination that the approval was based on false information,
misleading

information, or incomplete information, or if there was a failure to
fulfill, or cause to be fulfilled, any of the requirements of the QAP.
    (e) Conditions for revisions of a QAP.
    (1) A new QAP shall be submitted to EPA according to paragraph (d)
of this section whenever the following changes occur at a production
facility audited by a third-party independent auditor using an approved
QAP:
    (i) Change in feedstock.
    (ii) Change in type of fuel produced.
    (iii) Change in facility operations or equipment that may impact
the capability of the QAP to verify that RINs are validly generated.
    (2) An original QAP ceases to be valid as the basis for verifying
RINs until a new QAP, submitted to EPA under this paragraph (e), is
approved pursuant to paragraph (d).
0
17. Section 80.1470 is added to read as follows:

Sec.  80.1470  RIN Replacement Mechanisms for Option A Independent
Third Party Auditors.

    (a) Applicability. This section applies to independent third party
auditors using a QAP approved under Option A pursuant to Sec.
80.1469(a) and (c).
    (b) Requirements. An independent third party auditor must establish
or participate in the establishment of a RIN replacement mechanism. The
RIN replacement mechanism must fulfill, at a minimum, the following
conditions:
    (1) The RIN replacement mechanism must be capable of fulfilling the
independent third party auditor's RIN replacement responsibility, as
described in section 1474(b)(5)(i) of this subpart.
    (2) The independent third party auditor is responsible for
calculating and maintaining the minimum coverage afforded by the RIN
replacement mechanism at all times.
    (3) RINs held by the RIN replacement mechanism (if any) must be
identified in a unique EMTS account designated for the exclusive use of
the replacement mechanism.
    (4) Distribution and removal of RINs from the replacement mechanism
may not be under the sole operational control of the third-party
auditor.
    (5) An originally signed duplicate of the agreement or contract
establishing the RIN replacement mechanism must be submitted to EPA by
the independent third party auditor in accordance with 40 CFR
1450(g)(7).
    (6) Any substantive change to the agreement establishing the RIN
replacement mechanism must be submitted to EPA within 30 days of the
change.
    (c) Cap on RIN Replacement for Independent Third Party Auditors of
A-RINs.
    (1) If required to replace invalid A-RINs pursuant to paragraph (b)
of this section, the independent third party auditor shall be required
to replace no more than the percentage specified in paragraph (c)(2) of
this section of each D code of A-RINs verified by the auditor in the
current calendar year and four previous calendar years.
    (2)(i) The cap on RIN replacement for auditors of A-RINs shall be
2% for A-RINs generated in 2013, 2014, and 2015.
    (ii) The cap on RIN replacement for auditors of A-RINs shall be [to
be determined] for A-RINs generated in 2016 and beyond.
    (3) The auditor's potential replacement responsibility for a given
RIN will expire at the end of the fourth calendar year after the
calendar year in which the RIN was verified.
    (4) The minimum RIN replacement coverage (RRC) that must be held by
the third-party auditor's RIN replacement mechanism is the lesser of:
    (i)
    [GRAPHIC] [TIFF OMITTED] TP21FE13.001

Where:

RRCy = RIN replacement coverage in year y in units of A-
RINs that the mechanism is capable of replacing
y = The current year
ARINVERy-i = The sum of all A-RINs of a particular D code
verified by the third-party auditor in year y-i
or

(ii)

RRCy = 0.02 x ARINVERy + RRCy-1 -
ARINREPy-1,
Where:
RRCy = RIN replacement coverage in year y in units of A-
RINs that the mechanism is capable of replacing
y = The current year
ARINVERy = The sum of all A-RINs of a particular D code
verified by the third-party auditor in year y
RRCy-1 = RIN replacement coverage in year y-1 in units of
A-RINs that the mechanism is capable of replacing
ARINREPy-1 = The sum of all A-RINs of a particular D code
that were replaced by the third-party auditor in year y-1

    (d) The cap on RIN replacement does not apply when invalid verified
RINs are a result of auditor error, omission, negligence, fraud,
collusion with the renewable fuel producer, or a failure to implement
the QAP properly or fully.
0
18. Section 80.1471 is added to read as follows:

Sec.  80.1471  Requirements for QAP Auditors

    (a) QAP audits conducted pursuant to Sec.  80.1472 must be
conducted by an independent third-party auditor that is a professional
engineer, as specified in paragraphs Sec.  80.1450(b)(2)(i)(A) and
Sec.  80.1450(b)(2)(i)(B).
    (b) To be considered an independent third-party auditor under
paragraph Sec.  80.1471(a):
    (1) The independent third-party auditor shall not be owned or
operated by the renewable fuel producer or foreign ethanol producer, or
any subsidiary or employee of the renewable fuel producer or foreign
ethanol producer.
    (2) The independent third-party auditor shall be free from any
interest in the renewable fuel producer or foreign ethanol producer's
business.
    (3) The renewable fuel producer or foreign renewable fuel producer
shall be free from any interest in the third-party auditor's business.
    (4) The independent third-party auditor must not be debarred,
suspended, or proposed for debarment pursuant to the Government-wide
Debarment and Suspension regulations, 40 CFR part 32, or the Debarment,
Suspension and Ineligibility provisions of the Federal Acquisition
Regulations, 48 CFR, part 9, subpart 9.4.
    (c) Independent third-party auditors shall maintain professional
liability insurance, as defined in 31 CFR 50.5(q), of a minimum amount
equal to 2% of the RINs the auditor verifies in a year to cover
replacement of any invalid verified RINs due to auditor error,
omission, or negligence. Independent third-party auditors shall use
insurance providers that possess a financial strength rating in the top
four categories from either Standard & Poor's or Moody's, i.e., AAA,
AA, A or BBB for Standard & Poor's and Aaa, Aa, A, or Baa for Moody's.
Replacement of any such invalid verified RINs is not subject to the cap
on RIN replacement set forth in Sec.  80.1474(e).
    (d)(1) In the event that an independent third-party auditor
identifies a RIN that may have been invalidly generated, the
independent third-party auditor shall, within 24 hours, send
notification of the potentially invalidly generated RIN to EPA and the
renewable fuel producer that generated the RIN.
    (2) The independent third-party auditor shall provide the
notification required under paragraph (d)(1) of this section in writing
(which includes email or facsimile) and, if requested by the party
being notified of a potentially invalidly generated RIN, by telephone.

    (e) The independent third-party auditor shall identify RINs
generated from a renewable fuel producer or foreign renewable fuel
producer as having been verified under a QAP.
    (1) For RINs verified under QAP Option A pursuant to Sec.
80.1469(a), RINs shall be designated as A-RINs.
    (2) For RINs verified under QAP Option B pursuant to Sec.
80.1469(b), RINs shall be designated as B-RINs.
    (3) The independent third-party auditor shall not indentify RINs
generated from a renewable fuel producer or foreign renewable fuel
producer as having been verified under a QAP if a revised QAP must be
submitted to and approved by EPA under Sec.  80.1469(e).
    (f)(1) Except as specified in paragraph (f)(2) of this section,
auditors may only verify RINs that have been generated after the audit
required under Sec.  80.1472 has been completed.
    (i) For A-RINs, ongoing monitoring must have been initiated.
    (ii) Verification of RINs may continue for no more than 100 days
following an audit.
    (2) Auditors may verify RINs that were generated before the audit
required under Sec.  80.1472 has been completed, under the following
conditions:
    (i) The RINs in question were generated between January 1, 2013 and
December 31, 2013 inclusive.
    (ii) The audit is completed between January 1, 2013 and the
effective date of the final rule.
    (iii) The audit is performed in accordance with the elements
specified in a QAP that has been approved by the EPA per Sec.
80.1469(c).
    (iv) The audit requirements of Sec.  80.1472(e)(1) are met for
every batch of renewable fuel for which RINs were generated and are
being verified.
    (v) The auditor may not perform more than one (1) audit under this
subparagraph for any single RIN generator.
    (g) The independent third-party auditor shall permit any
representative of EPA to monitor at any time the implementation of QAPs
and renewable fuel production facility audits.
    (h) Any person who fails to meet a requirement under (f)(1) of this
section shall be subject to a separate violation pursuant to section
1460(f) of this subpart.
0
19. Section 80.1472 is added to read as follows:

Sec.  80.1472  Requirements for Quality Assurance Audits

    (a) General requirements.
    (1) An audit shall be performed by an auditor who meets the
requirements of Sec.  80.1471.
    (2) An audit shall be based on either an Option A QAP per Sec.
80.1469(a) or an Option B QAP per Sec.  80.1469(b).
    (3) Each audit shall verify every element contained in an
applicable and approved QAP.
    (4) Each audit shall include direct contact with all feedstock
suppliers to the facility to obtain documents related to the feedstocks
used in the production of renewable fuel at the facility.
    (5) Each audit shall include a review of documents generated by the
renewable fuel producer.
    (6) Each audit shall include direct contact with all purchasers of
renewable fuel produced at the facility to obtain documents related to
renewable fuel purchased from the facility.
    (b) On-site visits.
    (1) Option A QAP.
    (i) The auditor shall conduct an on-site visit at the renewable
fuel production facility at least 4 times per calendar year.
    (ii) The on-site visits specified in paragraph (b)(1)(i) of this
section shall occur at least 60 days apart. The 60-day period shall
start the day after the previous on-site ends.
    (iii) The on-site visit shall include verification of all QAP
elements that require inspection or evaluation of the physical
attributes of the renewable fuel production facility, except for any
physical attribute that is verified through remote monitoring equipment
per the applicable QAP.
    (2) Option B QAP.
    (i) The auditor shall conduct an on-site visit at the renewable
fuel production facility at least 4 times per calendar year.
    (ii) The on-site visit specified in paragraph (b)(2)(i) of this
section shall occur at least 60 days after the previous on-site visit.
The 60-day period shall start the day after the previous on-site visit
ends.
    (iii) An on-site visit shall include verification of all QAP
elements that require inspection or evaluation of the physical
attributes of the renewable fuel production facility.
0
20. Section 80.1473 is added to read as follows:

Sec.  80.1473  Affirmative Defenses

    (a) Any person who engages in actions that would be a violation of
the provisions of either Sec.  80.1460(b)(2) or (c)(1), other than the
generator of an invalid RIN, will not be deemed in violation if the
person demonstrates that the criteria under Sec.  80.1473 (c) or (d)
are met.
    (b) Applicability of affirmative defenses. The following provisions
apply to affirmative defenses asserted under subsection (a) of this
section:
    (1) Affirmative defenses only apply to RINs that were invalidly
generated and verified through a quality assurance audit using an EPA-
approved Option A or Option B QAP.
    (2) Affirmative defenses only apply in situations where an
invalidly generated verified RIN is either transferred to another
person (violation of Sec.  80.1460(b)(2)) or used for compliance for an
obligated party's RVO (use violation of Sec.  80.1460(c)(1)).
    (3) Affirmative defenses do not apply to the generator of an
invalid RIN.
    (c) Asserting an affirmative defense for invalid A-RINs. To
establish an affirmative defense to a violation of Sec.  80.1460 (b)(2)
or (c)(1) involving invalid A-RINs, the person must meet the
notification requirements of Sec.  80.1473(e) and prove by a
preponderance of evidence that:
    (1) The RIN in question was verified through a quality assurance
audit pursuant to Sec.  80.1472 using an approved Option A QAP as
defined in Sec.  80.1469(a).
    (2) The person did not know or have reason to know that the RINs
were invalidly generated prior to being verified by the independent
third-party auditor.
    (3) If the person self-identified the RIN as having been invalidly
generated, the person notified EPA within the next business day of
discovering the invalidity.
    (4) The person did not cause the invalidity.
    (5) The person did not have a financial interest in the company
that generated the invalid RIN.
    (d) Asserting an affirmative defense for invalid B-RINs. To
establish an affirmative defense to a violation of Sec.  80.1460 (b)(2)
or (c)(1) involving invalid B-RINs, the person must meet the
notification requirements of Sec.  80.1473(e) and prove by a
preponderance of evidence that:
    (1) The RIN in question was verified through a quality assurance
audit pursuant to Sec.  80.1472 using an approved Option B QAP as
defined in Sec.  80.1469(b).
    (2) The person did not know or have reason to know that the RINs
were invalidly generated at the time of transfer or use for compliance,
unless a remedial action as defined in Sec.  80.1474 was implemented.
    (3) If the person self-identified the RIN as having been invalidly
generated, the person notified EPA within the next business day of
discovering the invalidity.
    (4) The person did not cause the invalidity.

    (5) The person did not have a financial interest in the company
that generated the invalid RIN.
    (6) If the person used the invalid B-RIN for compliance, the person
adjusted its records, reports, and compliance calculations in which the
invalid B-RIN was used as required by Sec.  80.1431, unless a remedial
action as defined in Sec.  80.1474 was implemented.
    (e) Notification Requirements. A person asserting an affirmative
defense to a violation of Sec.  80.1460 (b)(2) or Sec.  80.1460(c)(1),
arising from the transfer or use of an invalid A-RIN or B-RIN, must
submit a written report to the EPA, including all pertinent supporting
documentation, demonstrating that the requirements of Sec.  80.1473(c)
or (d) were met. The written report must be submitted within 30 days of
the person discovering the invalidity.
0
21. Section 80.1474 is added to read as follows:

Sec.  80.1474  Replacement Requirements for Invalidly Generated RINs.

    (a) Responsibility for replacement of invalid verified RINs.
    (1) The generator of the A-RIN and the independent third-party
auditor that verified the A-RIN are required to replace invalidly
generated A-RINs with valid RINs pursuant to the procedures specified
in paragraph (b) of this section.
    (2) The generator of the B-RIN and the obligated party that owns
the B-RIN are required to replace invalidly generated B-RINs with valid
RINs pursuant to the procedures specified in paragraph (b) of this
section.
    (3) The producer of an unverified RIN and the obligated party that
owns an unverified RIN are required to replace invalidly generated and
unverified RINs pursuant to the procedures specified in paragraph (b)
of this section.
    (b) Identification and treatment of Potentially Invalid RINs (PIRs)
    (1) Any RIN can be identified as a PIR by the RIN generator, an
independent third-party auditor that verified the RIN, or EPA.
    (2) For PIRs identified by the RIN generator, the generator is
required to notify EPA within 24 hours of the identification, including
a detailed explanation of why the RIN is believed to be invalid, and is
required to take one of the following corrective actions within 30
days:
    (i) Retire the PIR, or
    (ii) Retire a valid RIN meeting the requirements of paragraph (c)
of this section.
    (3) For PIRs identified by the independent third-party auditor that
verified the RIN, the independent third-party auditor is required to
notify EPA and the RIN generator in writing within 24 hours of the
identification, including a detailed explanation of why the RIN is
believed to be invalid.
    (4) Within 30 days of being notified by EPA or the independent
third-party auditor that verified the RIN that a RIN is a PIR, the RIN
generator is required to take one of the following actions:
    (i) In the event that EPA identifies a RIN as a PIR:
    (A) Retire the PIR,
    (B) Retire a valid RIN following the requirements of paragraph (c)
of this section, or
    (C) Submit a demonstration in writing to EPA that the PIR is valid.
    (1) If EPA determines that the demonstration is satisfactory, the
PIR will be deemed to be a valid RIN.
    (2) If EPA determines that the demonstration is not satisfactory,
the PIR will be deemed invalid and the PIR generator must retire the
PIR or a valid RIN following the requirements of paragraph (c) of this
section within 30 days of notification by EPA.
    (ii) In the event that the independent third-party auditor
identifies a RIN as a PIR:
    (A) Retire the PIR,
    (B) Retire a valid RIN following the requirements of paragraph (c)
of this section, or
    (C) Submit a demonstration in writing to the independent third-
party auditor that the PIR is valid.
    (1) If the independent third-party auditor determines that the
demonstration is satisfactory, the PIR will be deemed to be a valid
RIN; however, EPA reserves the right to make a determination regarding
the validity of the RIN.
    (2) If the independent third-party auditor determines that the
demonstration is not satisfactory, EPA will then make a determination
whether the demonstration is not satisfactory, and if so, the PIR will
be deemed invalid and the PIR generator must retire the PIR or a valid
RIN following the requirements of paragraph (c) of this section within
30 days of notification by EPA.
    (5) Within 60 days of receiving a notification from EPA that a PIR
generator has failed to perform a corrective action required pursuant
to this section,
    (i) For A-RINs, the independent third-party auditor that verified
the PIR is required to retire valid RINs meeting the requirements of
paragraph (c) of this section.
    (ii) For B-RINs and unverified RINs, the obligated party that owns
the PIR is required to either
    (A) Retire the PIR.
    (B) If the PIR has already been used for compliance with the
obligated party's RVO, correct the RVO to subtract the PIR.
    (c) The following specifications apply when retiring valid RINs to
replace PIRs or invalid RINs:
    (1) When a RIN is retired to replace a PIR or invalid RIN, it must
be of the same verification type, either A-RIN, B-RIN, or unverified.
The D code of the retired RIN must be eligible to be used towards
meeting all the renewable volume obligations as the PIR or invalid RIN
it is replacing, as specified in paragraph (a)(2) of Sec.  80. 1427.
    (2) The number of RINs retired must be equal to the number of PIRs
or invalid RINs being replaced, subject to paragraph (d) of this
section and paragraph (c) of Sec.  80.1470.
    (d) Limited Exemption for invalid B-RINs.
    (1) In the event that an obligated party is required to retire or
replace a PIR that is a B-RIN pursuant to paragraph (b) of this
section, the obligated party will be afforded a ``limited exemption''
equal to 2% of its annual Renewable Volume Obligation (RVO) for
calendar years 2013 and 2014.
    (2) Limited exemptions are calculated as follows:

LECB,i = 0.02 x RVOCB,i
LEBBD,i = 0.02 x RVOBBD,i
LEAB,i = 0.02 x RVOAB,i
LERF,i = 0.02 x RVORF,i

Where:

LECB,i = Limited exemption for cellulosic biofuel for
year i
LEBBD,i = Limited exemption for biomass-based diesel for
year i
LEAB,i = Limited exemption for advanced biofuel for year
i
LERF,i = Limited exemption for renewable for year i
RVOCB,i = The Renewable Volume Obligation for cellulosic
biofuel for the obligated party for calendar year i, in gallons,
pursuant to Sec.  80.1407.
RVOBBD,i = The Renewable Volume Obligation for biomass-
based diesel for the obligated party for calendar year i after 2010,
in gallons, pursuant to Sec.  80.1407.
RVOAB,i = The Renewable Volume Obligation for advanced
biofuel for the obligated party for calendar year i, in gallons,
pursuant to Sec.  80.1407.
RVORF,i = The Renewable Volume Obligation for renewable
fuel for the obligated party for calendar year i, in gallons,
pursuant to Sec.  80.1407.

    (3) If the number of invalidly generated B-RINs required to be
retired or replaced in a calendar year is less than or equal to LE as
calculated in paragraph (d)(2) of this section, the entire RIN
retirement obligation is excused.

    (4) If the number of invalidly generated B-RINs required to be
retired or replaced in a calendar year is greater than LE as calculated
in paragraph (d)(2) of this section, the retirement of a number of B-
RINs equal to 2% of the obligated party's RVO is excused.
    (5) The limited exemption applies only in calendar years 2013 and
2014.
    (e) Failure to Take Corrective Action. Any person who fails to meet
a requirement under paragraph (b)(5) of this section shall be liable
for full performance of such requirement, and each day of non-
compliance shall be deemed a separate violation pursuant to section
1460(f) of this subpart.

[FR Doc. 2013-03206 Filed 2-20-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: April 21, 2010 (Volume 75, Number 76)]
[Notices]
[Page 20871-20873]
[DOCID:fr21ap10-103]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61905; File No. SR-Phlx-2010-55]

Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Relating to
a New Category of Fees for ``Professionals''

April 14, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 31, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'')
filed with the Securities and Exchange Commission (``SEC'' or
``Commission'') the proposed rule change as described in Items I, II,
and III, below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to adopt fees for a new type of participant
called ``professional.'' \3\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 61802 (March 30,
2010), 75 FR 17193 (April 5, 2010) (SR-Phlx-2010-05).
---------------------------------------------------------------------------

    While changes to the Exchange's Fee Schedule pursuant to this
proposal are effective upon filing, the Exchange has designated this
proposal to be operative on April 1, 2010.
    The text of the proposed rule change is available on the Exchange's
Web site at http://nasdaqtrader.com/micro.aspx?id=PHLXfilings, at the
principal office of the Exchange, at the Commission's Public Reference
Room, and on the Commission's Web site at http://www.sec.gov.

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 Exchange 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 these 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 aspects of such
statements.

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

1. Purpose
    The purpose of the proposed rule change is to adopt a new category
of fees, ``professional.'' The Exchange believes that the proposed fees
for professional orders will allow the Exchange to remain competitive
with other options exchanges who apply fees to professional orders.
    The Exchange defines a ``professional'' as any person or entity
that (i) is not a broker or dealer in securities, and (ii) places more
than 390 orders in listed options per day on average during a calendar
month for its own beneficial account(s) \4\ (hereinafter
``Professional'').
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    \4\ A Professional will be treated in the same manner as an off-
floor broker-dealer for purposes of Rules 1014(g) (except with
respect to all-or-none orders, which will be treated like customer
orders), 1033(e), 1064.02 (except professional orders will be
considered customer orders subject to facilitation), and 1080.08 as
well as Options Floor Procedure Advices B-6, B-11 and F-5. Member
organizations must indicate whether orders are for professionals.
---------------------------------------------------------------------------

    The Exchange proposes to add a ``Professional'' fee category to its
transaction fees for equity options, index options and foreign currency
options. The Exchange proposes to amend Categories II, III and IV of
the Fee Schedule to assess a $0.20 transaction fee on Professional
orders in all equity option classes, a $0.35 transaction fee on
Professional orders in sector index options and a $0.30 transaction fee
on Professional orders in U.S. dollar-settled foreign currency options.

    The Exchange is also proposing that Payment For Order Flow Fees \5\
not be assessed on Professional orders and is amending Category II of
the Fee Schedule to reflect that. The Exchange would not assess a
payment for order flow fee on professional orders, because the Exchange
believes payment for order flow fees are not required to remain
competitive with other options exchanges with respect to Professional
orders.\6\
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    \5\ The Exchange currently assesses $.25 per contract for
options that are executed in the penny pilot program and $.70 for
remaining equity options. These fees are assessed for trades
resulting from either Directed or non-Directed Orders that are
delivered electronically and executed on the Exchange: Assessed on
ROTs, specialists and Directed ROTs on those trades when the
specialist unit or Directed ROT elects to participate in the payment
for order flow program.
    \6\ See Securities Exchange Act Release No. 61693 (March 11,
2010), 75 FR 13175 (March 18, 2010) (SR-ISE-2010-16).
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    In Category V of the Fee Schedule, the Exchange is also proposing
that Cancellation Fees \7\ not be assessed on Professional orders. The
Exchange is excluding professional orders from the computation of the
Cancellation Fee, because the Exchange does not believe that these
orders raise the types of issues that the Cancellation Fee is intended
to address.\8\
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    \7\ The Exchange currently assesses $2.10 per order for each
cancelled electronically delivered customer order in excess of the
number of customer orders executed on the Exchange by a member
organization in a given month. All customer orders from the same
member organization that are executed in the same series on the same
side of the market at the same price within a 300 second period will
be aggregated and counted as one executed customer options order.
    \8\ See Securities Exchange Act Release No. 60188 (June 29,
2009), 74 FR 32986 (July 9, 2009) (SR-Phlx-2009-48).
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    The Exchange also proposes to add a notation to the Routing Fees in
Category IX to indicate that Professional orders will be subject to the
Routing Fees.
2. Statutory Basis
    The Exchange believes that its proposal to amend its schedule of
fees is consistent with Section 6(b) of the Act \9\ in general, and
furthers the objectives of Section 6(b)(4) of the Act \10\ in
particular, in that it is an equitable allocation of reasonable fees
and other charges among Exchange members. The Exchange believes that
adding Professional fees to the fees applicable to the other equity
options, sector index options and foreign currency options transaction
fees is fair and reasonable, because the proposed fees are similar to
the transaction fees applicable to broker-dealers trading on Phlx \11\
as well as fees assessed by other options exchanges. For example, CBOE
assesses a $0.20 per contract fee for professional orders in equity
options,\12\ the same as the Exchange's proposed Category II fees.
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    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(4).
    \11\ The options transaction charge for firms is $.25 per
contract; see Category II of the Fee Schedule.
    \12\ See Securities Exchange Act Release No. 61329 (January 11,
2010), 75 FR 2901 (January 19, 2010) (SR-CBOE-2009-101).
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    With regard to the sector index options fees and foreign currency
options fees proposed for Professionals, these charges are similar to
the current transaction fees assessed on the Exchange's Registered
Options Traders pursuant to Categories III and IV of the Exchange's Fee
Schedule; and therefore, the Exchange believes the proposed fee is fair
and reasonable.
    The Exchange believes that excluding Professional orders from the
computation of the Cancellation Fee will continue to fairly allocate
costs among members according to system use, which is the purpose of
cancellation fees. In addition, the Exchange will not assess
specialists, SQTs, RSQTs and ROTs a payment for order flow fee on
Professional orders, in order to compete with other options exchanges.
    The Exchange also proposes to specify that Routing Fees apply to
Professional orders for purposes of clarity.

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 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 either solicited or received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \13\ and paragraph (f)(2) of Rule 19b-4 \14\
thereunder. At any time within 60 days of the filing of the proposed
rule change, the Commission may summarily abrogate 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.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \14\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

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 No. SR-Phlx-2010-55 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 No. SR-Phlx-2010-55. 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 Phlx. All comments
received will be posted without change; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File No. SR-Phlx-2010-55 and should be
submitted on or before May 12, 2010.
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    \15\ 17 CFR 200.30-3(a)(12).

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    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-9115 Filed 4-20-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 18 (Friday, January 29, 2021)]
[Rules and Regulations]
[Pages 7496-7498]
[FR Doc No: 2021-01764]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 97

[Docket No. 31351; Amdt. No. 3940]

Standard Instrument Approach Procedures, and Takeoff Minimums and
Obstacle Departure Procedures; Miscellaneous Amendments

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This rule amends, suspends, or removes Standard Instrument
Approach Procedures (SIAPs) and associated Takeoff Minimums and
Obstacle Departure Procedures for operations at certain airports. These
regulatory actions are needed because of the adoption of new or revised
criteria, or because of changes occurring in the National Airspace
System, such as the commissioning of new navigational facilities,
adding new obstacles, or changing air traffic requirements. These
changes are designed to provide for the safe and efficient use of the
navigable airspace and to promote safe flight operations under
instrument flight rules at the affected airports.

DATES: This rule is effective January 29, 2021. The compliance date for
each SIAP, associated Takeoff Minimums, and ODP is specified in the
amendatory provisions.
    The incorporation by reference of certain publications listed in
the regulations is approved by the Director of the Federal Register as
of January 29, 2021.

ADDRESSES: Availability of matter incorporated by reference in the
amendment is as follows:

For Examination

    1. U.S. Department of Transportation, Docket Ops-M30, 1200 New
Jersey Avenue SE, West Bldg., Ground Floor, Washington, DC 20590-0001;
    2. The FAA Air Traffic Organization Service Area in which the
affected airport is located;
    3. The office of Aeronautical Navigation Products, 6500 South
MacArthur Blvd., Oklahoma City, OK 73169 or,
    4. The National Archives and Records Administration (NARA).
    For information on the availability of this material at NARA, email
<EMAIL_ADDRESS>or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

Availability

    All SIAPs and Takeoff Minimums and ODPs are available online free
of charge. Visit the National Flight Data Center online at nfdc.faa.gov
to register. Additionally, individual SIAP and Takeoff Minimums and ODP
copies may be obtained from the FAA Air Traffic Organization Service
Area in which the affected airport is located.

FOR FURTHER INFORMATION CONTACT: Thomas J. Nichols, Flight Procedures
and Airspace Group, Flight Technologies and Procedures Division, Flight
Standards Service, Federal Aviation Administration. Mailing Address:
FAA Mike Monroney Aeronautical Center, Flight Procedures and Airspace
Group, 6500 South MacArthur Blvd., Registry Bldg 29, Room 104, Oklahoma
City, OK 73169. Telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: This rule amends 14 CFR part 97 by amending
the referenced SIAPs. The complete regulatory description of each SIAP
is listed on the appropriate FAA Form 8260, as modified by the National
Flight Data Center (NFDC)/Permanent Notice to Airmen (P-NOTAM), and is
incorporated by reference under 5 U.S.C. 552(a), 1 CFR part 51, and 14
CFR 97.20. The large number of SIAPs, their complex nature, and the
need for a special format make their verbatim publication in the
Federal Register expensive and impractical. Further, airmen do not use
the regulatory text of the SIAPs, but refer to their graphic depiction
on charts printed by publishers of aeronautical materials. Thus, the
advantages of incorporation by reference are realized and publication
of the complete description of each SIAP contained on FAA form
documents is unnecessary. This amendment provides the affected CFR
sections, and specifies the SIAPs and Takeoff Minimums and ODPs with
their applicable effective dates. This amendment also identifies the
airport and its location, the procedure and the amendment number.

Availability and Summary of Material Incorporated by Reference

    The material incorporated by reference is publicly available as
listed in the ADDRESSES section.

    The material incorporated by reference describes SIAPs, Takeoff
Minimums and ODPs as identified in the amendatory language for part 97
of this final rule.

The Rule

    This amendment to 14 CFR part 97 is effective upon publication of
each separate SIAP and Takeoff Minimums and ODP as amended in the
transmittal. For safety and timeliness of change considerations, this
amendment incorporates only specific changes contained for each SIAP
and Takeoff Minimums and ODP as modified by FDC permanent NOTAMs.
    The SIAPs and Takeoff Minimums and ODPs, as modified by FDC
permanent NOTAM, and contained in this amendment are based on criteria
contained in the U.S. Standard for Terminal Instrument Procedures
(TERPS). In developing these changes to SIAPs and Takeoff Minimums and
ODPs, the TERPS criteria were applied only to specific conditions
existing at the affected airports. All SIAP amendments in this rule
have been previously issued by the FAA in a FDC NOTAM as an emergency
action of immediate flight safety relating directly to published
aeronautical charts.
    The circumstances that created the need for these SIAP and Takeoff
Minimums and ODP amendments require making them effective in less than
30 days.
    Because of the close and immediate relationship between these
SIAPs, Takeoff Minimums and ODPs, and safety in air commerce, I find
that notice and public procedure under 5 U.S.C. 553(b) are
impracticable and contrary to the public interest and, where
applicable, under 5 U.S.C. 553(d), good cause exists for making these
SIAPs effective in less than 30 days.
    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore--(1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under DOT
regulatory Policies and Procedures (44 FR 11034; February 26, 1979);
and (3) does not warrant preparation of a regulatory evaluation as the
anticipated impact is so minimal. For the same reason, the FAA
certifies that this amendment will not have a significant economic
impact on a substantial number of small entities under the criteria of
the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 97

    Air Traffic Control, Airports, Incorporation by reference,
Navigation (Air).

    Issued in Washington, DC, on January 8, 2021.
Wade Terrell,
Aviation Safety, Manager, Flight Procedures & Airspace Group, Flight
Technologies and Procedures Division.

Adoption of the Amendment

    Accordingly, pursuant to the authority delegated to me, Title 14,
CFR part 97, (is amended by amending Standard Instrument Approach
Procedures and Takeoff Minimums and ODPs, effective at 0901 UTC on the
dates specified, as follows:

PART 97--STANDARD INSTRUMENT APPROACH PROCEDURES

0
1. The authority citation for part 97 continues to read as follows:

    Authority:  49 U.S.C. 106(f), 106(g), 40103, 40106, 40113,
40114, 40120, 44502, 44514, 44701, 44719, 44721-44722.

0
2. Part 97 is amended to read as follows:
    By amending: Sec.  97.23 VOR, VOR/DME, VOR or TACAN, and VOR/DME or
TACAN; Sec.  97.25 LOC, LOC/DME, LDA, LDA/DME, SDF, SDF/DME; Sec.
97.27 NDB, NDB/DME; Sec.  97.29 ILS, ILS/DME, MLS, MLS/DME, MLS/RNAV;
Sec.  97.31 RADAR SIAPs; Sec.  97.33 RNAV SIAPs; and Sec.  97.35 COPTER
SIAPs, Identified as follows:

* * * Effective Upon Publication

----------------------------------------------------------------------------------------------------------------
      AIRAC date            State            City             Airport       FDC No.   FDC date       Subject
----------------------------------------------------------------------------------------------------------------
25-Feb-21.............  MI            Flint............  Bishop Intl......   0/0813    12/8/20  RNAV (GPS) RWY
                                                                                18, Amdt 1B.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1937   11/20/20  ILS OR LOC RWY
                                                                                5, Amdt 23C.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1943   11/20/20  RADAR 1, Amdt
                                                                                5B.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1945   11/20/20  RNAV (GPS) RWY
                                                                                5, Orig-E.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1947   11/20/20  RNAV (GPS) RWY
                                                                                14, Orig-D.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1950   11/20/20  RNAV (GPS) RWY
                                                                                32, Orig-D.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1952   11/20/20  VOR RWY 5, Amdt
                                                                                18.
25-Feb-21.............  IN            Terre Haute......  Terre Haute Rgnl.   0/1954   11/20/20  VOR RWY 23, Amdt
                                                                                21.
25-Feb-21.............  MN            Marshall.........  Southwest           0/2066   11/24/20  RNAV (GPS) RWY
                                                          Minnesota Rgnl                         12, Amdt 1A.
                                                          Marshall/Ryan
                                                          Fld.
25-Feb-21.............  NH            Claremont........  Claremont Muni...   0/2324   11/24/20  NDB-A, Amdt 1B.
25-Feb-21.............  ME            Augusta..........  Augusta State....   0/2741   11/27/20  VOR RWY 35, Amdt
                                                                                6B.
25-Feb-21.............  OH            Washington Court   Fayette County...   0/3503   11/27/20  NDB RWY 23, Amdt
                                       House.                                                    5B.
25-Feb-21.............  OK            Weatherford......  Thomas P.           0/5580    12/7/20  RNAV (GPS) RWY
                                                          Stafford.                              35, Amdt 3.
25-Feb-21.............  FL            Naples...........  Naples Muni......   0/5866   12/16/20  VOR RWY 5, Amdt
                                                                                5B.
25-Feb-21.............  MI            Saginaw..........  Saginaw County H.   0/6063   11/27/20  ILS OR LOC RWY
                                                          W. Browne.                             28, Amdt 1.
25-Feb-21.............  AR            Warren...........  Warren Muni......   0/6197   11/27/20  RNAV (GPS) RWY
                                                                                21, Orig-B.
25-Feb-21.............  MN            Walker...........  Walker Muni......   0/6953   11/27/20  RNAV (GPS) RWY
                                                                                15, Amdt 2.
25-Feb-21.............  TX            Georgetown.......  Georgetown Muni..   0/6984   11/27/20  RNAV (GPS) RWY
                                                                                11, Amdt 1A.
25-Feb-21.............  WY            Guernsey.........  Camp Guernsey....   0/8066     1/4/21  Takeoff Minimums
                                                                                and Obstacle
                                                                                DP, Amdt 1.

25-Feb-21.............  TN            Morristown.......  Moore-Murrell....   0/8891   12/30/20  Takeoff Minimums
                                                                                and Obstacle
                                                                                DP, Amdt 6.
25-Feb-21.............  VT            Barre/Montpelier.  Edward F. Knapp     0/9161     1/4/21  ILS OR LOC RWY
                                                          State.                                 17, Amdt 7A.
25-Feb-21.............  CO            Pueblo...........  Pueblo Memorial..   0/9867   11/17/20  ILS OR LOC RWY
                                                                                8R, Amdt 1B.
----------------------------------------------------------------------------------------------------------------

[FR Doc. 2021-01764 Filed 1-28-21; 8:45 am]
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